EFTA01294951.pdf

KYC Print Page 1 of 15
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: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York
Relationship Manager: Paul Morris
r
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: Update of approved KYC 1147850 to add Darren Indyke as an authorized signer. Darren has been
approved in KYC
F Client Referral F. RM Prospect F Intermediary/FIM F Other Source (CIB, etc)
How Was the Client(s)
Introduced? Flow long has Please provide details (e.g. name of referral source, how many years RM personalty has known client,
the RM personally known etc.): Jeffrey Epsten is a current client of the Bank. Wants to open a new account. Introduction details of Paul
the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual
friend/colleague who introduced them white Paul was at JRMorgan. 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
compensabon to a third
party for the introduction (If Yes, descnbe):
of this relationship?
Ust all existing and new accounts Involved In this relationship
Legal Entity Account Name / Number Opening Date (intended/actual)
Account(s)
1 F Mort, Inc 11/12/2013
2 F Mott, nc -- Money Market 11/12/2013
Wh0 i the primary ontact
perso for the RM? (Note: Preferred method of
This person needs to have Harry Geller contact(indicate phone
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
accounts.):
AtliEyEtrirtpALO9Diateid=500600S..D. NY_GM_00053602
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One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Mort, 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 to hold assets for the company.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Cent (indicate DB location and account details):
gr Other Institution (Indicate name & location): JPMorgan. New York
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 10 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 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 in the "Other column.
• Abney describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Description AccountPIC Settler of Jlbmate Signatory.rmitecFnancial Significant
Enutyof Source Holder OwnerTrust / Benefioalor Full POA nterrnediarySharehoider
of Weakh Founder of Owner FOA kFIM) (>=25%)
required •:ouriliabon Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
ities related to ownership relationship between
pis account 4%) dailies)
1 F F Harry Beller F F F F F F F
2 F r Mort, Inc F F F r r F F
3 F F Jeffrey Epstein F F F F F F F
4 F F Darren Indyke F F F F F F F
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2. Account Ownership Summary
Account Name: Mort, Inc -- Money Market 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 assets for the company and to earn interest.
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, New York
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 1-3 inflows and outflows per month ranging from $1000 to $10,000
What is the expected volume of assets and currency for 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 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 Settlor of Ultimate Signatory imitecFnancial Significant
Entityof Source Holder OwnerTrust / Beneficialor Full *OA Intermediarybhareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-plc Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
Oils account Parbes)
‘%)
1 F F Mort, Inc F F F F r F r
2 r r r r
Harry Beller F F F F F
r
3 F F Jeffrey Epstein r F F F r7 r
4 F F Darren Indyke F F F F F F F
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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:
Current Employer: Southern Financial LLC Position/Tide/Rank: President
Address of employer:
1- Yes 1.; 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?(if Family or Fnendship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship r• ,
yes it" 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 10/22/2013
r 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:
38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
r; 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 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 partneri 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): $50 MM - 100 MM
(S):
Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
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Institution: Country: Bt. Assets Under Mgt:
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.):
--I
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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: Harry Beller Date of Birth:
Country of Residence: Country of Citizenship:
Address of primary
residence:
I
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Tide/Rank:
Address of employer:
F Yes F 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?(rf Family a- From/ship, 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: Other Location (specify): Date:
Domicile: of Business:
Paul Moms r r F 11/4/2013
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:
38. 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):
(S):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(S):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY_GM_00053607
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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_00053608
https://na4.salesforce.com/servlet 0D9Di&eid=500600... 3/21/2014
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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: Darren Indyke Date of Birth:
Country of Residence: Country of Citizenship:
Address of primary
residence:
Profession/Occupation: Lavryer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Trde/Ftank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
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 DB F Family F Friendship F None
group?(,f Family a- Fnendship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship ,
r Ito 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:
r r r
r 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:
38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
r- Business Owner F SaiatwEamings F Investment F Inhentance/GiRs
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 vealth?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):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM(s):
Other Known Financial Institutions:
Institution: I Country: I Est. Assets Under Mgt:
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'
Institution: I 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.):
Ate,i - SDNY_GM_00053610
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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: Mort, Inc -
— Foundation/Association r Trust 17 Company F r Private Investment
Type of Entity: :— Estate F partne,ship Purpose of Entity: r Philanthropic/Charitable
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USVI 4/12/2011
incorporation /
incorporation/registration:
registration:
Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/E1N:
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 beneliciaries,etc.:
Corporation with 1000 issued. AI issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and
Owner.
Please indicate how ownership of the legal entity is reflected:
r
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same persons).
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
Investment holding company. A private company that Is used to hold investemenM
Nature of the business:
that the sole owner, Jeffrey, would like to keep separate from other investments
Countries where business is transacted: USVI
Number of employees: 2
3D. Wealth Profile (Only for parties requiring source of wealth descnption as indicated in Section 2)
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
Capital contnbutlon of $1000 from Jeffrey Epstein
Estimated gross receipts p.a.($):
Estimated net profit p.a. ($):
Estimated investable assets ($): <$1 MM
Potential Amount to be invested with PWIN (5): 100,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: Est. Assets Under Mgt: 100,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
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DB PWM GLOBAL KYC/NCA: US/LatArn/Inel PART B
.0e.l3abonship Name SOUTHERN FINANCIAL RELATIONSHIP
long Center F NY F NY/Offshore F Offshore s i— k Moderate F High Risk Jacqueline Lightbody
(Compliance Signature)
7 DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares
4. Attachments
A. Type of Photo ID Provided 17 Drivers License F Passport F National/State ID F Other
Checklist of names (indivKluals and/or entitles) that were submitted for database
B. F Yes F No
searches is attached
C. Please indicate the results of the database searches performed
RDC searches complete F Yes r No negative results found F Yes F No
PCR checks complete F yes F No negative results found F Yes Fheo
OFAC checks complete F Yes F No negative results found F Yes F NO
r-
D BI & S B s ) e arches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, r yes No negative results found F Yes F No
Denial Orders checks complete 17 Yes r No negative results found r Yes r7 No
Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes Fheo
Please summarize any nir.vte results from the database searches indicated above: DMREN INDYKE:
KYC approved in case #
JEFFREY EPSTEIN:
KYC Approved and all pertaining documents in case A:
D
' HARRY BEU-ER:
KYC approved in case #
MORT INC:
All negative media does not pertain to our client.
All court cases do not pertain to our client
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 F No
prow* details below and contact Quality Mgt (LatAni/Intl) or the geode:ay Control
Group and noOfy Compliance immediately)
client or related party have any financial or other association / interactions
F Yes F No
C`'''" within counties 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 r
within high risk countries? Yes F No
r r
I. Corporate Documentation Attached (Legal Entities Only) 17 Yes No Not Applicable
SDNY2-G1M/2_0001045 3613
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r r
J. Undisclosed Principal Form Complete (Intermedianes Only) Yes 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:
SDNY_GM_00053614
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M. Case Comments
Created By Date Comments
Jacqueline I page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable.
3/14/2014 3:12 PM
ughtbody The only revision was the 2nd page with the correct signers that is attached separately.
....
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris (Signature) 2/24/2014
Paul Morris
Office Director/Business Head: Brian M. Biggar (Signature) 2/24/2014
Brian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Gwen Hill o/b/o Janice Franklin Gwen Hill o/b/o Janice Franklin 3/14/2019
Jacqueline lightbody Jacqueline Lightbody 3/14/2014
LATAM /INTERNATIONAL APPROVALS
Client Faong Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GHTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
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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 Professionalsl(1) (CFPs) should establish and maintain business relationships only with
persons who satisfy our high standards als uitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CFR 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 ofmy 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 PWM Global KYC
Policy
(i) Client Facing Professionals (CFPV include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
VA
Deutsche Bank Americas New York
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