EFTA01298881.pdf

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Deutsche Bank
Account Holder Haws MIX LLC: Plan D. LLC
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ERNE TM» LLC Plan 0. LLC (Accourt Holder) a e y e a X x x xN x e x
Arrant Epelein (Sole Member ad NES& Mine LLC)(S*
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basin K. lady's (AulhommetRametOty) a [ne a ten., N /INN NA
*Maas 0 Assoccitoneic fOrgi Harry Bells (Ranted SMIIMOM) a as a g a a a ic a NNAMANA
Lemont., Paul Metal ilf MUMMA or Plan 0 LLC1 a a i x 2 X a ENRIORNNAMR NA
Legal Ellelence Catraeng Aomernent
Comments (l)(2) (3)
other i , ,i;fr, IC' („„ r„, noo. ca., i , .
Signing Autlemtey Coma Resolutions Barx Account A S.gnevs 2) IDs boa Jeerer. Harry' w.....
3) ROC alert rot Jeffrey Epee
MIIIIMMOStiliflablialvelli J Ccerabrg Are- - - •
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Required Approvels/Documents include but not limited to: General Notes.
ABR Apprman noniUS clients wen indicts of US 'talus [ II ino nide in comeenie i iniorn itic, ie no: feu e0 in ciirrent Kit o• Customer Prot lc (enter cp.-cher in Ilea, L I5 W2ti one error.< to
tutu: to Coign,' a uS podor..VS cvie.:Citanadj Statird to boon a that number in the comments) es pinch in which NYC Cane or where In the Repos Cory the Information can be round
di MidgeC oe tgnalpy 0 nOn.l./ $ Out Ais • U S eckirese)
(I AFC Ropulational Risk Approval (Rending nexus) (2) indicate If imonnetlem is missing
MIL Compliance A BRM Approval Ida US pewee with an offshore PIC t 3) If the aCCOialt holder IS a POP US intiNklual and Na a US Individual as PO& tar opens Pena Sherpa and Rich Largo. need to be
Informed as the rs considered a US unchain
0 ChM and.. U00 from EU (refer to Tab EU Country Lie) -add note lo cart
Veda FOORIOMS:
Client Risk Program (CRP) Form lot at flew loans (CRP forms are required at NYC (a) State Occupation. Employers Name and Address. Etta/late," income Net Worth
-ay elcai.SC roan. do not go threogh Inds • RCN US CLEATS ONLY
0 Cross Border Approval ID) if there is any negative news. assure to summarize It In OBlorce.
0 CRP Eeislatioll Body Approval- ExcAptiOnti to Meal as country let parmiled NO (c) Make sum the PEP determination captured a0Curately
EXCEPTIONS for Global *sit countnes
0 ExCo Approval Oign Q4A KYCS Foe Nee fleets MO Gents diacin(raded eon, Id) Make sute the account Staffs am completed (I • account Illalliraer. account type. cuinincy. purpose Of aCCOun)
otieddidn V rro5r4 AND or Even: Omen Rena)
0 FinCENA COO Rule Form (Maine sure the client meeting information le entered In 011 Force Are the booking center. referral source. Introduction detail and
parteM retrocession question muted to this client entered In OBlotcs?
German Bank Separation Act (GBEa( Questionnaire • requeed for ALL new cleft
:GBSA *atom naten made fof cionts ozahno as ot A30 17 . MA NEEDS to be tecantsfec
lor Covy Wit. ironed °ern) and any in between canted MN marectN own SOft of more
Group Suits/inabilityApproval (env recent...al:soca: nth)
0 indiadry Rep Risk Escalation (htiptEnpa.elskiintranet dteCanters/apiRAPP•Mmil -
defense Industry
MD Approval (Men adoptions On ,V nee rat*, r Sub(ed to upcoming 035
approval Chairlgt4 . may be removed.
Noma/get market Approval
PEPPfmgative media escalation Applegate - Held WY AML Compliance
0 Venezuela Lino of business Approval to common*. NYC adoption process
0 RATIONALE MEMO stating tees for approving NYC
NES & Plan D_ANC CM ABR 014C alit SDNY_GNI_00064265
CONFIDENTIAL
6(e) DB-SDNY-0027090
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P.
EFTA 00174771
EFTA01298881