EFTA01294910.pdf

KYC Print Page I of 12
DB PWM GLOBAL KYC/NCA: PART A
rA
KYC Case # : 01121946 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:00000483290 Booking Center: I New York
Relationship Manager: Paul Morris
17 New PWM Relationship 1 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 r
Client Referral P. RM Prospect I— Intermediary/FIM Other Source (O6, 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 Epstein Is a current client of the Bank. Wants to open a new account. Introduction details of Paul
and Jeffrey: Jeffrey Epstein was a client of Paul's at P Morgan. Paul and Jeffrey Epstein had a mutual
the client?
friend/colleague who introduced them while Paul was at ;Morgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction air Yes, deptsibe):
of this relationship?
List all existing and new accounts involved in this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
I r The Haze Trust 9/18/2013
2 r The Haze Trust 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 212.750.9895
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
accounts.):
Atb.)
SDNY_GM_00053561
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l 9/16/2013
CONFIDENTIAL -P URSUANT TO FED. R. DB-SONY-0016385
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: The Haze Trust I 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 The Haze Trusts daily liquidity needs.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DES Group: Other Booking Cents (indicate DB location and account details):
P* Other Institution (Indicate name & location): JP Morgan 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 5-10 inflows and outflows per month ranging from 51,000-$10,003
What is the expected volume of assets and currency for 25000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 50000 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 iri the 'Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
egal Description AccountPIC Settlor of Jtimate Signatory _imitec nancial Significant
Enutyof Source Holder OwnerTrust / Benefiaalor Full ?0A IntermediarySharehoider
of Weakh Founder of Owner POA (FIM) (>=25%)
required •:ouriliation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
this account '/o) parties)
1 F F The Haze Trust F r F F F r F
2 F F Darren Indyke F F F F F F F Trustee:;
3 F F Jeffrey Epstein F F F F F F F
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2. Account Ownership Summary
Account Name: The Haze Trust 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 for The Haze Trust to hold its cash.
Indicate from where the assets are expected to arrive?
F DI3 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate O13 location and account details):
17 Other Insbtubon (Indicate name & location): JPMorgan 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 to $20,000
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 AccountPIC Settior of Ultimate Signatory_imitedflnancial Significant
Entityrof Source Holder OwnerTrust / Beneficialor Full BOA Intermediaryehareholder
of Weakh Founder of Owner POA (FIM) !(> -25%)
required Foundation Van-pic Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
. s account %) Parbes)
1 F F The Haze Trust F r r r r F r
r r
2 Darren Indyke F r r F F r r Trustee:;
3 F F Jeffrey Epstein r F F F F F F
SDNY_GM_00053563
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CONFIDENTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDry.lRet. At) l'-' DB-1SDNY-0016387
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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 - 00000483289 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: 090-44-3348
Current Employer: Southern Financial LLC Posibonifide/Ftank: President
Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802
F Yes 17 No
Is the individual a Politically Exposed Person (PEP)?(if yes, describe)
To the best of your knowledge, is the individual related to an employee of the 08 F Family F Friendship F None
group?(If Family or Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r—
i Yes F No
with Deumche 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:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r 17 8/7/2013
r r
F
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 parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
17 Business Owner F Salary/Eamings 7 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 ?rugs, 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 partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Cm,
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): $50 MM - 100 MM
($):
Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): 200,000.00
Other Known Financial Institutions:
SDNY GM_00053564
Imps://na4.salesforce.com/servlet ritriciEtfirtipAtoD,Di&eid=500600... 9/-16/2013
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Institution: JPflorgan Chase Country: USA Est. Assets Under Mgt: 23,000,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the famity situation of the individual (marital status, other family members, etc.): Single
SDNY_Ght00053565
pliREIntrAtD9Diateid=500600...
hups://na4.salesforce.com/servle 9/16/2013
CONFIDENTIAL - PURSUANT TO FED_ R. 'MN ' I"" DB-SDNY-0016389
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (far all parties)
Individual's Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965
Country of Residence: USA Country of Citizenship: USA
Address of primary 2 Kean Court Livingston NJ 07039 USA
residence:
Profession/Occupation: Accountant Tax ID / SSN: 098-54-8596
Current Employer: Southern Financial LLC Position/Tide/Rank:
Address of employer: 6100 Red Hook Quarter 83 St Thomas USVI 00802
F Yes 17 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 D43 F Family F Friendship F None
group?(rf Family a- Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship
r Yes F 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:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r F 9/6/2013
r r r
F r r
r
Wealth Details for this individual are not filled in, because they are the same as for the following person:
35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
F Other.
Further Describe Source of Wealth /Detail the history of vealth 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.)
Estimated Annual Income
($): Estimated amount of investable assets(S):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm /FsEeDre.lRet. Fill - ) DB-SDNY-00 16390
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'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
SDNY_GM_00053567
https://na4.salesforce.com/servle liBEtritACL0D9Di&eid=500600 . 9/16/2013
CONFIDENTIAL—PURSUANT TO FED. R. Fit DB-SONY-0016391
EFTA 00164148
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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: The Haze Trust - 00000486428
r r F Private Investment
Foundation/Association F Trust Company r
Type of Entity: Purpose of Entity: Philanthropic/Charitable
r Estate r Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States VIrigin Islands 2/9/1999
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/E1N: 13-7185414
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocalal ty,settlor and beneficiaries,etc.:
Jeffrey Epstein: Grantor
Darren Indyke: Trustee
Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor
Darren Indyke: Trustee
F Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ukimate beneficial owner (ifn ot the same persons) Jeffrey Epstein: Grantor
Darren Indyke: Trustee
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 r No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
The trust was initially funded with $100. The trust makes and holds investements
Nature of the business: and the gains It makes from those investments is rts source of revenue. The trust, in
turn, puts these gains back into the trust and reinvests.
Countries where business Is transacted: USA, USVI
Number of employees: 2
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):
The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investements and the gains it makes from those
Investments is its source of revenue. The trust, in turn puts these gains back into the trust and reinvests.
Estimated gross receipts p.a.($): 300,000.00
Estimated net profit p.a. ($): 200,000.00
Estimated investable assets ($): $20 MM - 50 MM
Potential Amount to be invested with PWT4 (5): 200,000.00
Other Known Financial Institutions:
Institution: JPMorgan Chase Country: USA Bt. Assets Under Mgt: 23,000,000.00
Institution: Country: Bt. Assets Under Mgt:
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit) DB-SDNY-00 16392
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I I
'Institution: I Est. Assets Under Mgt I
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CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016393
EFTA_00164150
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY F NY/Offshore F Offshore sFkM°derate r; High Risk Janice Franklin
(Compliance Signature)
F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other
Checklist of names (individuals and/or entities) that were submitted for database
F Yes F No
B. searches is attached
C. Please indicate the results of the database searches performed
RDC searches complete F Yes F No negative results found F Yes F No
KR checks complete F Yes F No negative results found F yes F No
OFAC checks complete F Yes F No negative results found F yes F No
BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, F yes r— to
D&B) negative results found F Yes F No
Denial Orders checks complete 17 Yes r No negative resift found r yes ri No
Martindale-Hubbell searched (Lawyers/Law Arms only) F Yes F No negative results found F Yes F No
Please summarize any negative resuks from the database searches indicated above: JEFFREY EPSTEIN:
Please see KYC 01082293 for Jeffrey Epstein approval and for all Compliance approvals
Darren Indyke:
D.
No Negative Media
No Court Cases
The Haze Trust
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
F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes F No
provide details below and contact Quality Mgt (LatAm/Intl) or de Regliatory Control
Gump and nobly Compliance immediately)
the client or related party have any financial or other association / interactions r F No
"G"- within counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' Yes
H. Does the client or related party have any financial or other association/ interactions
within high risk countries? F Yes F No
r-
I. Corporate Documentation Attached (Legal Entities Only) 17 Yes F No Not Applicable
3. 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 not in English, please provide an English
summary of the nature/contents of the non-English Documentation:
ipticiEtfropAtoD,Di&eid=500600..S. DNY GM_00053570
lums://na4.salesforce.com/servlet 9/-16/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016394
EFTA 00164151
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M. Case Comments
Created By Date Comments
Please see KYC 01082293 for Jeffrey Epstein KYC approval and all due diligence, attachments and
Amanda Kirby 9/9/2013 5:13 PM
source of wealth
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Moms (Signature) 9/5/2013
Paul Morns
Office Director/Business Head: Mary Keaveney (Signature) 9/5/2013
Mary Keaveney
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Jacqueline Lighttody Jacqueline Lightbody 9/10/2013
Janice Franklin Janice Franklin 9/10/2013
LATAM /INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
SDNY_GM_00053571
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit) DB-SDNY-00 16395
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing Proftssionalsl(I) (CFP 's) should establish and maintain business relationships only with
persons who sail* our high standards of suitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CEP. It is the responsibility of CFP's to
demonstrate that they know their client both at the inception of a relationship and on an ongoing basis
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the
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 client(s) and that I have followed all the procedures
relating to account opening as described in the PWM Americas Procedures and the MI Global KYC
Policy
(i) Client Facing Professionals (CFP :5) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
Deutsche Bank Americas New York
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SON Y_GM_00053572
hupslina4.salesforce.comiservle 9/16/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016396
EFTA_00164153
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