EFTA01294870.pdf

KY(' P n t Page I of 10
DB PWM GLOBAL KYC/NCA: PART A
KYC Case Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York
Relationship Manager: Paul Morris
F New PWM Relationship I Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile:
r
F Client Referral 17 RM Prospect r Intermediary/FIN Other Source (C18, etc.)
How Was the Client(s)
Introduced? How long has %ease provide details (e.g. name of referral source, how many years RM personalty has known client,
the RM personally known etc.): Jeffrey is a current client of the bank. These are new accounts. Introduction of Paul and Jeffrey: Jeffrey
client? Epstein was a client of PauFs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who
the
introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to
bring some of his funds over to JPMorgan
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If Yes, descfibe):
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 Jeepers Inc 9/18/2013
2 F Jeepers Inc 9/18/2013
Who is the primary contact
person for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indicate phone
signatory rights and/or no., fax no., e-mail
Information right for the address, etc.):
accounts.):
SDNY_GM_00053497
EtropAtoD9Di&eid=5006000...
Ims://na4.salesforce.com/servet Iip: 9/9/2013
CONFIDENT AL - PURSUANT TO FED.l R. Atpb) l'-' DB-SONY-0016321
EFTA_0016 4078
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Jeepers Inc Acct Number (Ifa vailable):
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Checking account for Jeepers Inc daily liquidity needs.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan Chase. New York, NY
1 Physical Deposits (specify Cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 5-10 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 25,000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 50,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the Other column.
• Abney describe t e relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
legal5escription AccountPIC Setter of „Iltimate Signatory-irnitecAnancial Significant
Entityof Source Holder OwnerTrust / Benefioabr Full POA nterrnedlary5harehoider
of Weakh =minder of Owner POA ,FIM) K>=25%)
required 'ouridabon Non-P1C abet (please
entity describe other roles
(indicate and/or indicate
parties related to pn ership relationship between
s account J%) parties)
1 F F Jeepers, Inc F F F F F F F
2 F F Jeffrey Epstein F F F F F F F
SDNY_GM_0005.34913
litt iFIEW 0 ACED9Di&eid=5006000... 9/9/2013
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CONFIDENpTsI:A//nLa -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. it b) 1 I''' DB-SONY-0016322
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2. Account Ownership Summary
Account Name: Jeepers Inc Acct. Number (if available'.
Account Manager: Paul Morris
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense
account)? Money Market account to hold Jeepers Inc's cash.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate (*location and account details):
F Other Insbtubon (Indicate name & location): 3PMorgan Chase. New York, NY
F Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000-$10,000
What is the expected volume of assets and currency for 50,000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other column.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPlC Settfor of Ultimate Signatory4nitedRnancial Significant
Entitrof Source Holder OwnerTrust / Beneficiakor Full • *A Intermediaryehareholder
of Weakh Founder of Owner POA (FIM) K>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
PPaartrietiseess related to pwnership relationship between
. account '0) oarbes)
1 F F Jeepers, Inc F F F F F F F
2 F F Jeffrey Epstein F F F F F F
SDNY_GM_00053499
plIiFff Ewr pActoD9Di&eid=5006000...
Ims://na4.salesforce.com/serve 9/9/2013
CONFIDENT AL — PURSUANT TO FED.l R. Filb) l'-' DB-SDNY-00 16323
EFTA_OO 164080
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all parties)
Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953
Country of Residence: USVI Country of Citizenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802
r-
Yes R No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(,f Family or Fnendstw, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes ,—
l•' No
with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of '
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Bank Officer Name(s) Bank Office: D C o li m en ic t i l P e r : i vate o C f l B ie u n s t i n P e la s c s e : Other Location (specify): Date:
Paul moms r r F 8/7/2013
F r r
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
35. Wealth Details (Only for parse requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
r; Business Owner F Salary/Eamings F Investment F Inheritance/Gifts
Summarize Source of Wealth:
r-
Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an
options trader at Bear Stearns and became a partner n 1980. In 1982, Epstein founded his own financial management firm, ). Epstein & Co.,
managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust
Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy
businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM
a):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
i. _ SDNY_GM_00053500
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Institution: JPtiorgan Chase Country: USA Est. Assets Under Mgt: 20,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Bt. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.): Single
Att SDNY_GM_00053501
littps://na4.salesforce.com/servlet IBENTIIkt0 D9Di&eid=5006000... 9/9/2013
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One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name: Jeepers, Inc - 00000486423
F Private Investment
F Foundation/Association r Trust F Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
F Estate F Partnership
r Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States Virgin Island 8/18/2003
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 66-0629193
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabl ty,settlor and beneflcianes,etc.:
Jeffrey Epstein is the sole hareholder of Jeepers Inc
Please indicate how ownership of the legal entity is reflected: 1,000 shares of common stock are solely owned by Jeffrey Epstein
F Special attention: Bearer Shares - Indicate where shares are custodied:
Desaibe the chain from the direct owner of the entity to the ukimate beneficial owner (ifn or the same persau). Jeffrey Epstein is the sole
shareholder of Southern Trust Company, Inc
To the best of your knowledge, is the entity party to a non-banking relationship with
Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods yes F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Jeepers Inc is a private company that holds investments of its owner, Jeffrey
Nature of the business:
Epstein.
Countries where business is transacted: USA, USVI
Number of employees: 3
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities):
Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no
par value. Its revenue comes from the gains of the in estments it holds.
Estimated gross receipts p.a.(g): 400,000.00
Estimated net profit p.a. (5): 200,000.00
Estimated investable assets (S): $20 MM - 50 MM
Potential Amount to be invested with PWM (S): 200,000.00
Other Known Financial Institutions:
Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
tic iEflirtipAtoD,Di&eid=5006000.S.D.N Y GM_00053502
littps://na4.salesforce.com/serylet 979/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-00 16326
EFTA_00 164083
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•
SDNY_Gt.4_00053503
hupslina4.salesforce.comiservle littliefFrAtD9Dieceid=5006000... 9/9/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016327
EF1'A_00164084
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY r- NY/Offshore r Offshore F Moderate i 7 - 7 High Risk Gwen Hill
Risk
(Compliance Signature)
DO Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other
Checklist of names (indivKluals and/or enbties) that were submitted for database
B. searches is attached F Yes F No
C. Please indicate the results of the database searches performed
RDC searches complete r Yes F No negative results found f resF No
KR checks complete F Yes F No negative results found r Yes Ft.°
OFAC checks complete F Yes F NO negative results found r yes F No
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes No
D&B) r r negative results found F Yes F No
r F
Denial Orders checks complete 17 yes No negative results found Yes F No
Mattindate-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found r yes F No
Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN:
Jeffrey was approved in KYC S01082293
His PCR/ROC alerts and clearances and all documentation is contained in the above mentioned KYC
D.
lEEPERS, INC
No Negative Media
All court cases are not our client. The cast cases refer to a Jeepers Inc in Arizona and one in North Caroina. Our client is based in the US
Virgin Islands
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F YeS F No
To the best of your knowledge, has the customer ever been involved in any past
litigation against Deutsche Bank AG or any of its subsidiaries or is the customer
r
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, Yes P. No
pinvide details below and contact Quality Mgt. (LatAmfintl) or de Regaatary Control
Glow and nobly Compliance immediately)
the client or related party have any financial or other association / interactions
F Yes F NO
"GI'' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
H. Does the client or related party have any financial or other association/ interactions
F Yes F No
within high risk countries?
I. Corporate Documentation Attached (Legal Entities Only) 17 Yes F No r Not Applicable
J. Undisclosed Principal Form Complete (Intermediaries Only) F yes F No F Not Applicable
K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is net in English, please provide an English
summary of the nature/contents of the non-English Documentation:
SDNY_GM_00053504
plri ifEwr apki toD 9Di&eid=5006000...
Ims://na4.salesforce.com/seryet 9/9/2013
CONFIDENTIAL -P URSUANT TO FED.l R. AL I DB-SDNY-00 16328
EFTA_00 164085
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M. Case Comments
records to display.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Monis (Signature) 9/4/2013
Paul Moms
Office Director/Bvsiness Head: Brian M. Biggar (Signature) 9/4/2013
Bnan M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Janice Franklin Janice Franklin 9/6/2013
Gwen Hill Gwen Hill 9/6/2013
LATAM/ INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Si... ,+.
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Hank Private Wealth
SDNY_GM_00053505
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Management (PWM) worldwide is committed top rofessionally serve the interests ofi ts clients. To do so,
Client Facing Professionals)( I) (CFP's) should establish andm aintain business relationships only with
persons who satisfy our high standards ofs uitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CFP. It is the responsibility ofC FP's to
demonstrate that they know their client both at the inception ofa relationship and on at ongoing basis.
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofm y knowledge and belieft he
above information is correct and up to date. I confirm that I have no suspicions relating to the money
laundering or unethical activities on the part of the chent(s) and that I have followeda ll the procedures
relating to account opening as described in the PWM Americas Procedures and the PWM GlobalK YC
Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers, Client Managers, etc.
Deutsche Bank Americas New York
SDNY_Ght00053506
h ups://na4. salesforce. comiservle nr iDECIA,MACE/D9Diateid=5006000... 9/9/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016330
EF1'A_00164087
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