EFTA01295105.pdf

KYC Print Page 1 of 29
raid
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01133377 Status : 7. Approved with Temporary Exception
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: New York
Relationship Manager: Paul Morris
F New PWM Relationship F Existing PWM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile:
F
17 Client Referral F RM Prospect F Intermediary/FIM Other Source (06, etc.)
How Was the Ctient(s)
Introduced? How long has please provide details (e.g. name of referral source, how many years RM personally has known client,
the RM personally known etc.): Darren Indyke is the in-house lawyer for Jeffrey Epstein, who is a current client of the bank. Darren has
the client? worked extensively with Paul here at DB while we've opened accounts for Jeffrey Epstein and he was a previous
client of Paul's when he was at PMorgan. He met Paul at JPM through Jeffrey Epstein
F Yes F No
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If Yes, descnbe).
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 F The 2007 Jeffrey E. Epstein Insurance Trust # 3 10/16/2013
2 F HBRK Associates, Inc 10/16/2013
3 F HBRK Associates, Inc -- Money market 10/16/2013
4 F Darren K. Indyke PLLC 10/16/2013
5 F Darren K. Indyke PLLC -- Money Market 10/16/2013
6 F Darren K. Indyke PLLC-Attorney Trust Account 10/16/2013
7 F Darren K. Indyke PLLC-Attorney Trust Account -- Money Market 10/16/2013
a F New York Strategy Group, LLC 10/16/2013
9 F New York Strategy Group, LLC -- Money Market 10/16/2013
Who is the primary ontact
person for the RM? (Note: Preferred method of
This person needs to have Darren Indyke contact(indicate phone 212 971 1319
signatory rights and/or no., fax no., email
information right for the address, etc.):
accounts.):
SDNY_GM_00053823
httpsfina4.salesforce.corniservIet e PIDEN1911kt0 D9Di&eid=50060... 11/18/2013
CONFIDENTIAL - PURSUANT TO FED. R. Fit) DB-SDNY-00 16647
EFTA_00I 64393
EFTA01295105

KYC Print Page 2 of 29
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 I 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)? Checking account to hold funds for this trust.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DS Group: Other Booking Center (indicate DB location and account details):
1; Other Institution (Indicate name & location): JPMorgan. 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 10 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150000 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 AocountPIC Settlor of Ultimate Signatory imiteciFnancial Significant
Entityof Source Holder OwnerTrust / Benefiaabr Full POA (ntermediary6harehoider
of Wealth =ounder of Owner POA (FIM) K>=25%)
required l'ouridabon Non-NC Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
s account %) Dailies)
The 2007 Jeffrey E.
1 F F Epstein Insurance F F F F F F F
Trust #3
2 F F Jeffrey Epstein F F F F F F Grantor;
F
3 F F Darren Indyke F F F F F F F Trustee:;
4 F F Richard Kahn F r F F F r r Trustee:;
'I..) SDNY_GM_00053824
hops://na4.salesforce.com/serele PIDE/TRAt0 D9Di&eid=50060... 11/18/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-00 16648
EFTA (()164394
EFTA01295106

KYC Print Page 3 of 29
2. Account Ownership Summary
The 2007 Jeffrey E. Epstein Insurance Trust #3 --
Account Name: Acct. Number (ifa vailable):
Money Market
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 hinds for the insurance bust
Indicate from where the assets are expected to arrive?
F 013 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, 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 200000 Currency LlSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 250,000 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 Settler of _Iltimate Signatory _imitecRnancial Significant
Entity of Source Holder OwnerTrust / Beneficiabr Full 0OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
?arties related to ownership relationship between
Ithis account %) oarbes)
The 2007 Jeffrey E.
1 F F Epstein Insurance F F F F F F F
Trust *3
2 F F Jeffrey Epstein F F F F F F F grantor;
3 F F Darren lndyke F F F F F F F Trustee:;
4 F F Richard Kahn F F F F F F F Trustee:;
SDNY_GM_00053825
hups://na4.salesforce.com/serylet PPRE lfr0pAt0D9Di &eid=50060... 11/18/2013
CONFIDENTIAL - PURSUANT TO FED. R. Ate) I l'-' DB-SONY-0016649
EFTA _OO164395
EFTA01295107

KYC Print Page 4 of 29
2. Account Ownership Summary
Account Name: HBRK Associates, 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 funds for daily use for the company.
Indicate from where the assets are expected to arrive?
F DS Group: Same Booking Center (indicate account number):
F 06 Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan. 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 10 inflows and outflows per month ranging from 51,000 to $10,000
What is the expected volume of assets and currency for 50000 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 patty:
• 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 _Itimate Signatory_imitecRnancial ignificant
Entityof Source Holder OwnerTrust / Beneficiakx Full POA Intermedia hareholder
of Weakh Founder of Owner POA (FIM) > ai25%)
required Foundation -PIC Other (please
tity describe other roles
indicate and/or indicate
p ities related to ership relationship between
is account o) parties)
HBRK Associates, F F F F F F F
1 F F
Inc
F F
2 F Richard Kahn F F F F F F
3 F F Harry Beller F F F F F F F
SDNY_GM_00053826
htt s://na4 0D9Di&eid=50060. .. 1 I/18/2013
F e E ITRAt
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Fit DB-SONY-0016650
EFTA_0016 4396
EFTA01295108

KYC Print Page 5 of 29
2. Account Ownership Summary
Account Name: HBRK Associates, Inc -- Money market 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)? MOney market account to hold hinds for the company and 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 013 location and account details):
F Other Insbtubon (Indicate name & location): JPMorgan. new York, NY
7 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 $1,000 to $10,000
What is the expected volume of assets and currency for 100000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150000 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.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/untie ying Beneficial Owner(s).
Legal Description AccountPlC Sector of _Iltimate Signatory_imitedflnancial Significant
Entity of Source Holder OwnerTrust / Beneficiakor Full ?OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) i(>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
ities related to ownership relationship between
is account %) oarbes)
r r
1 F F I HBRK Associates, r r r F F
nc
2 r r Richard Kahn F F F F F r F
3 F F Harry Beller F F F 7 F F F
SDNY_GM_00053827
piFIEWRACEDD9Di&eid=50060...
has://na4.salesforce.com/servlet 11/18/2013
l
CONFIDENTIAL- PURSUANT TO FED. R. Fil b) 1 I''' DB- S DNY-0016651
EFTA 00164397
EFTA01295109

KYC Print Page 6 of 29
2. Account Ownership Summary
Account Name: Darren K. Indyke PLLC 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)? Checking account for the daily use of the this law firm
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F 06 Group: Other Booking Center (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan. 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 10 inflows and outflows per month ranging from 51,000 to $10,000
What is the expected volume of assets and currency for 50000 Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 75000 Currency USD
the account approx. one year after openng?
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 (tom to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settfor of Jftimate Signatory_imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full °OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) 0.25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p ridesrelated to ownership relationship between
i s account %) ,arties)
1 F F Darren Indyke F F F F F F F
2 F Darren K. Indyke r-
iT F F F F F
PLLC
SDNY_GM_00053828
plifrffEtfrapAtoD9Di&eid=50060...
lutps://na4.salesforce.com/sen/let 1 1 /18/2013
CONFIDENTIAL - PURSUANT TO FED. R. Ate) I '''' DB-SDNY-0016652
EFTA_00I 64398
EFTA01295110

KYC Print Page 7 of 29
2. Account Ownership Summary
Account Name: Darren K. Indyke PLLC -- 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 for the company to hold funds and 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 O13 location and account details):
F Other Institution (Indicate name & location): JPMorgan. 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 1-3 inflows and outflows per monthr anging from $1,000 to $10,000
What is the expected volume of assets and currency for 100000 Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 125000 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/unde ying Beneficial Owner(s).
Legal Description AccountPIC Setttor of _Iltimate Signatory_imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p ates related to ownership relationship between
is account %) oarbes)
1 F F Darren Indyke F F F F F F F
2 F Darren K. Indyke i7 r— r-- r-
F F F
PLLC
SDNY_GM_00053829
pifrffEm AtoD9Di&eid=50060...
Ims://na4.salesforce.com/servlet 11/18/2013
l
CONFIDENTIAL- PURSUANT TO FED. R. At b) 1 I''' DB- S DNY-00 16653
EFTA_00 I 64399
EFTA01295111

KYC Print Page 8 of 29
2. Account Ownership Summary
Account Name: Dan-en K. Indyke PLLC-Attorney Trust Account Acct. Number (if availabreet.
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 clients escrow. Funds are placed here 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, 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 10 inflows and outflows per month ranging from 51,000 to $10,000
What is the expected volume of assets and currency for 50000 Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 75000 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.
• Ahiray describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settfor of Jftimate Signatory_imitedflnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K>"25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
rises related to ownership relationship between
account %) tames)
1 P F Darren K. Indyke 17 p r r r n r
PLLC
2 P F Darren Indyke n r n r p I- r
SDNY GM_0005.3830
hups://na4.salesforce.com/servle r eleEtepAt0D9Di&eid=50060... 11 /I 8/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016654
EFTA 0()164400
EFTA01295112

KYC Print Page 9 of 29
2. Account Ownership Summary
Darren K. Indyke PLLC-Attorney Trust Account -- Money
Account Name: Acct. Number (if available):
Market
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 clients escrow. Funds are placed here to earn interest
Indicate from where the assets are expected to arrive?
F 08 Group: Same Booking Center (indicate account number):
F De Group: Other Booking Center (indicate DB location and account details):
F7 Other Institution (Indicate name & location): JPMorgan. 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 1-3 inflows and outflows per month ranging from $1,000 to $10,000
What is the expected volume of assets and currency for 75000 Currency USD
the account approx. 90 days after opening?
What Is the expected volume of assets and currency for 100000 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.
• Ahmay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settler of Jtimate Signatory _imitecRnancial Significant
Entityof Source Holder OvvnerTrust / Beneficiakor Full 0OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
?antes related to ownership relationship between
is account %) cartes)
1 F F Darren Indyke F F F F F F F
2 F Darren K. Indyke ET r r- r-
F F F
PLLC
SDNY_GM_00053831
p irjEwr opAtoD,Di&eid=50060...
htt 1 I/8/2013
CONFIDENTs:I/A/nLa -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Filb) 1 DB- -0001166665555
EFTA (()164401
EFTA01295113

KYC Print Page 10 of 29
2. Account Ownership Summary
Account Name: New York Strategy Group, LLC Acct. Number Ofa 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 daily needs of the company
Indicate from where the assets are expected to arrive?
F D8 Group: Same Booking Center (indicate account number):
F 08 Group: Other Booking Center (indicate 08 location and account details):
F7 Other Institution (Indicate name & location): JPMorgan. 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 10 inflows and outflows per month ranging from 51,000 to $10,000
What is the expected volume of assets and currency for 25000 Currency LSD
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 openng?
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 tither column.
• Alway describe the relationship between the parties in the last column.
• Please drill (tom to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settior of Jltimate Signatory _imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiakir Full POA IntermediaryShareholder
of Weakh Founder of Owner ?OA (FIM) K>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p rbe srelated to ownership relationship between
is account %) ,arbes)
1 F F New York Strategy F F F F F F F
Group, /IC
2 F r Darren Indyke F r F F F f F
SDNY_GM_00053832
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CONFIDENTs:I/A/nLa-4P.UsaRleSsUfoArNceT.c ToOm F/sEeDry.lRet. Fli l'-' DB-1SDNY-0016656
EFTA (()16440?
EFTA01295114

KYC Print Page 11 of 29
2. Account Ownership Summary
Account Name: New York Strategy Group, LLC -- Money Market Acct. Number Of avallab.eet.
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 funds for the company and 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):
17 Other Institution (Indicate name & location): JPMorgan. New York, NY
7
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 $1,000 to $10,000
What is the expected volume of assets and currency for 50000 Currency LSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 75000 Currency USD
the account approx. one year after openng?
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 tither column.
• Ahmay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Setttor of Jftimate Signatory_imitecRnancial Significant
Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) K>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p ities related to ownership relationship between
is account %) oarbes)
1 F F New York Strategy F F r r r n r
Group, LLC
2 F F Darren Indyke F r F F F f F
SDNY_GM_00053833
pip:E isfrtAtoD9Di&eid=50060...
lut s://na4.salesforce.com/serylet 11/18/2013
CONFIDENTIAL-PURSUANT TO FED. R. Fit) 1 l'-' DB- -0001 166665577
EFTA (()16=403
EFTA01295115

KYC Print Page 12 of 29
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 - 00000486405 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Lawyer Tax ID / SSN:
Current Employer: Southern Financial LLC Position/Tide/Rank:
Address of employer: 6100 Red Hoak Quarter 83 St Thomas USVI 00802
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?(if Family a- Fneniship, 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 9/13/2013
F 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 parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Attorney
F 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.) Darren has been an in-house lawyer for Jeffrey Epstein
at Southern Financhial LLC for over 10yrs, whererin his main source of income comes form (See KYC #1082293). He also owns a few of his
own small companies (LLC' ) for his private investments and well his own law practice, Darren Indyke PLLC
Estimated Annual Income
300,000.00 Estimated amount of investable assets(S): $1 MM - 2 MM
a):
Estimated Net Worth(S): $2 MM - 5 MM Amount of assets planned to invest with PWM($): 200,000.00
Other Known Financial Institutions:
1 I I I I
ne) i. _ SDNY_GM_00053834
https://na4.salesforce.com/serylet Ri : EltepAt0D9Di&eid=50060... 11/18/2013
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Institution: JPMorgan Country: USA Bt. Assets Under Mgt: 10 000 000.00
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_00053835
plippyINTMEM9Diaceid=50060...
hups://na4.salesforce.com/servle c 11/18/2013
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KYC Print Page 14 of 29
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 - 00000487202 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Tide/Rank:
Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022
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 DB F Family F Friendship F None
group?(,f Family a- Fnendstw, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r• yes ,t—o 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:
Chent Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r r F 9/13/2013
F 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: Accounting Firm
F Business Owner F Salary/Eamings 7 Investment F Inhentance/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, counties of major activities, important business partners.) Harry is an accountant and owns his own firm. He is
also the in-house accountant for Southern Financial LLC KYC #:01082293). He has gained his wealth from his years as the in-house
accountant and his own firm
Estimated Annual Income
500,000.00 Estimated amount of investable assets(S): $1 MM - 2 MM
(S):
Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
I I I I I
SDNY_GM_00053836
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Institution: JPMorgan Country: USA Est. Assets Under Mgt: 5 000 000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: ESt. Assets Under Mgt:
Please indkate the family situation of the individual (marital status, other family members, etc.): Married
SDNY_GM_00053837
httpsl/na4.salesforce.com/servle fitrliEjEtrbektD9Diateid=50060... 11/18/2013
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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: Richard Kahn - 00000486407 Date of Birth:
Country of Residence: USA Country of Citizenship: USA
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Position/Tide/Rank:
Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022
F Yes F 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 D43 F Family F Friendship F None
group?(If Family a- From/ship, descnbe)
To the best of your knowledge, is the individual party to a non-banking relationship f— yes i—
t*" 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:
Chent Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Other Location (specify): Date:
Businew:
Paul Moms r F 17 9/13/2013
F r r
r 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 parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Accountant
17 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 famdy 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.) Richard owns HBRK Associates Inc with Harry Beller.
He is also an in-house accountant for Southern Financial, LLC (KYC #1082293), for over 10yrs. His wealth comes from his own firm and
being an in-house accountant
Estimated Annual Income
300,000.00 Estimated amount of investable assets($): $1 MM - 2 MM
($):
Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
I I I I I
SDNY GM_00053838
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Institution: JPMorgan Country: USA Est. Assets Under Mgt: 1 000 000.00
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_Ght00053839
hups://na4.salesforce.com/servle nriEjEtrrpAtD9Diaceid=50060... 11/18/2013
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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: 6100 Red Kook 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 DB F Family F Friendship F None
group?(if Family a- Fnendstv, describe)
To the best of your knowledge, is the individual party to a non-banking relationship ri - 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:
Gent Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul Moms r f F 9/13/2013
r r
F
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 parte requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts
Summarize Source of Wealth:
F 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, ). 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($): $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:
AttleEmPACL0D9Di&eid=50060 SDNY_GM_00053840
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Institution: 3Ptiorgan Country: USA Est. Assets Under Mgt: 120,000,000.00
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_00053841
htt Pt iriElliritAt0D9Di&eid=50060... 11/8/2013
CONFIDENTs:I/A/nLa—4.PsaUlResSfUoArcNeT.c ToOm /FsEerDy.lRet. At) I DB- -00011 66666655
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KYC Print Page 20 of 29
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: New York Strategy Group, LLC - 00000487215
r r F Private Investment
Foundation/Association Trust F Company r
Type of Entity: Purpose of Entity: Philanthropic/Chantabfe
F Estate F Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 1/13/2000
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 575 Lexington Ave, 4th Fl New York NY 10022 USA U.S. TIN/EIN: 13-4097417
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,settJor and beneficianes,etc.:
New York Strategy Group, LLC is a single member LLC owned by Darren K. Indyke.
Please indicate how ownership of the legal entity is reflected: Darren K. Indyke is the sole member
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 or the same pesons). Darren K. Indyke is the
sole member
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 I— No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Private LLC used for the personal investments of Darren Indlcye. The LLC holds
Nature of Mel usiness:
funds and invests in assets that Darren finds interesting
Countries where business is transacted: USA
Number of employees: 1
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 equwalent summary of assets/liabilities):
New York Strategy Group, LLC invests in different asset classes and gains its assets through the revenue it makes on the return investments
Estimated gross receipts p.a.(;): 100,000.00
Estimated net profit p.a. (5): 75,000.00
Estimated investable assets (5): <51 MM
Potential Amount to be invested with PWT4 (5): 50,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: LISA Est. Assets Under Mgt: 500,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053842
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CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. ) DB-SDNY-00 16666
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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: Darren K. Indyke PLLC - 00000487220
r Foundation/Association r Trust 17 Company F r Private Investment
Type of Entity: Purpose of Entity: Philanthropic/Charitable
F Estate F Partnership r
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 9/5/2008
incorporation /
incorporation/registrabon:
registration:
Address (city, street, post 575 Lexington Avenue New York NY 10022 USA U.S. TIN/EIN: 30-0503849
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include
information about revocabil ty,settior and beneficianes,etc.:
Single member PUG with Darren K. Indyke as the sole member and owner
Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member and owner
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). Single member PLLC wth
Darren K. Indyke as the sole member and owner
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
Nature of the business: Law practice. This is Darren Indykes private law firm.
Countries where business is transacted: USA
Number of employees:
3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2)
Provide Evidence of Corporate Assets (e g balance sheet or equivalent summary of assets/habilibes):
Assets come from the rates he charges clients for his law services
Estimated gross receipts p.a.($): 300,000.00
Estimated net profit pa. (5): 200,000.00
Estimated investable assets (5): <$1 MM
Potential Amount to be invested with PWT4 (5): 100,000.00
Other Known Financial Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 500,000.00
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053843
pliciEwitipAtoD,Di&eid=50060...
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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: HBRK Associates, Inc - 00000487223
F Private Investment
r Foundation/Association r Trust rj Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
r Estate r partne,ship
r Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USA 8/29/2008
incorporation /
incorporation/registration:
registration:
Address (city, street, post 575 Lexington Avenue, 4th Fl New York NY 10022 USA U.S. TIN/EIN: 30-0503838
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 beneficiaries,etc.:
Richard Kahn 50% owner
Harry Beller 50% owner
Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner
Harry Beller 50% owner
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 petsons) Richard Kahn 50% owner
Harry Beller 50% owner
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
Nature of the business: Accounting firm
Countries where business is transacted: USA
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):
Harry and Rich are both in-house accountants for Jeffrey Epstein. Their company's, HBRK, assets comes from the fees they charge for this
service
Estimated gross receipts p.a.($): 400,000.00
Estimated net profit p.a. (5): 300,000.00
Estimated investable assets ($): <5i MM
Potential Amount to be invested with PlA/M (5): 200,000.00
Other Known Finanoal Institutions:
Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000.00
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_00053844
https://na4.salesforce.com/serylet liBEWRACED9Di&eid=50060 11/18/2013
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Institution: I Icountry. I I Bt. Assets Under Mgt: I
I
SDNY_GM_00053845
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KYC Print Page 24 of 29
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 2007 Jeffrey E. Epstein Insurance Trust 0/3 - 00000487199
r Foundation/Association F Trust r Company F r Private Investment
Type of Entity: F Estate F partnership Purpose of Entity: r Philanthropic/Charilabie
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of USVI 11/1/2007
incorporation /
incorporation/registration:
registration:
Address (city, street, post 575 Lexington Ave, 4th Fl New York NY 10022 USA U.S. TIN/E1N: 26-6387242
code):
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, inckide
information about revocabl ty,setUor and beneflciaries,etc.:
Jeffrey Epstein: Grantor
Darren Indyke: Trustee
Richard Kahn: Trustee
Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor
Darren Indyke: Trustee
Richard Kahn: Trustee
F Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner ("ingot bbe same persons). Jeffrey Epstein: Grantor
Darren Indyke: Trustee
Richard Kahn: 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 F No F
or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business: Trust account
Countries where business is transacted: USVI, USA.
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 funds for this trust account come from contributions made by the Grantor, Jeffrey Epstein. His source of wealth can be found in his
wealth profile
Estimated gross receipts p.a.(;):
Estimated net profit p.a. (5):
Estimated investable assets ($): <51 MM
Potential Amount to be invested with PWM (5): 400,000.00
Other Known Financial Institutions:
Institution: JPMorgan I Country: I USA I Est Assets Under Mgt: 1400,000.00
SDNY GM_00053846
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KYC Print Page 25 of 29
!
InstibAlca: I Country: Bt. Assets Under Mgt: I I
Institution: I Country: Est. Assets Under Mgt:
SDNY_GM_00053847
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KYC Print Page 26 of 29
DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name I EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY F NY/Offshore F Offshore aFkModerate it.: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 57 Drivers License r Passport F National/State ID F Other
Checklist of names (individuals and/or entitles) that were submitted for database
B. F Yes F No
searches s 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/Nexis, Factiva, Reuters, Dow Jones, F r--
D88) Yes No negative results found F Yes F No
r r
Denial Orders checks complete F Yes No negative resit found Yes F No
Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F yes F No
Please summarize any negative results from the database searches indicated above: DARREN K. 1NDYKE:
No negative Media
No court cases
NEW YORK STRATEGY GROUP, LLC:
No negative media
No court cases
DARREN K. INCMCE FUC:
No negative media
No court cases
HBRK ASSOCIATES INC:
No negative media
No court cases
D. RICHARD KAHN:
Approved KYC *01082293
NIL Clearance attached to this KYC
Not barred from NYSE Arca and he was cleared twice as seen In the attachments
HARRY BELLER:
Negative media: Not our client All negative media pertains to an environmental microbiologist. Our client is an accountant
Court Cases:
*1: Disposed in 1987
All other cases are not our client. The other court cases refer to a Dr. Harry Seller. Our client is an accountant
JEFFREY EPSTEIN INSURANCE TRUST:
No negative media
No court cases
JEFFREY lids] N:
Previously KYCd and approved in: 01082293 and 01121718
SDNY_GM_00053848
if rffEtritpAtoD9Di&eid=50060...
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KYC Print Page 27 of 29
r-
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes 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 leigation against Deutsche Bank AG or any of its subsidiaries? (If Yes r yes F No
prowde details below and contact Quality Mgt (Lat4m/Intl) or dr Regulatory Control
Group and notify Compliance immediately)
the client or related party have any financial or other association / interactions r yes F No
'G''' ' 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
r Yes F NO
within high risk countries?
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No r Not Applicable
r r-
J. Undisclosed Principal Form Complete (Intermediaries Only) Yes No F Not Applicable
K. If Lexis/Nexis Search Resues, 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_00053849
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KYC Print Page 28 of 29
M. Case Comments
Created By Date Comments
10/11/2013 9:21
Amanda Kirby Need to clone to make 2 new KYC's
AM
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris "Signature) 10/3/2013
>au! Morris
Office Director/Business Head: Brian M. Biggar :Signature) 10/4/2D::
Brian M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Jacqueline Lightbody Jacqueline Lightbody 10/11/2013
Janice Franklin Janice Franklin 11/1/2013
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_00053850
IDEMETAt
https://na4.salesforee.com/seMet 0D9Di&eid=50060 11/18/2013
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KYC Print Page 29 of 29
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(1) (CFP's) should establish and maintain business relationships only with
persons who satisfy our high standards of suitability, 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 (CFP's) include: Relationship Managers. Wealth Advisors, Product
Officers, Brokers. Client Managers, etc.
Deutsche Bank Americas New York
SONY_GM_00053851
hups://na4.salesforce.com/servle ntliEjEtrrtAtD9Di&eid=50060... 11/18/2013
CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016675
EF1'A_00164421
EFTA01295133