EFTA01298930.pdf

KYC Print Page 1 of 27
DB PWM GLOBAL KYC/NCA: PART A P2
KYC Case # : 01977694 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationshi
I. Relationship Details
Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Stewart Oldfield
Li [el
New PWM Relationship Existing PWM Relationship
If existing, please indicate since when the relationship exists, provide reason for new profile and attach old
profile: m 2018 Periodic Review - IC Overdue KYC " 1,
Relationship to PWM:
Last Approved KYC 4 Plan D LLC - 1790820; NES LLC - 1790739;
The 2007 3effrey E Epstein Insurance Trust & The Haze Trust - 1804531.
IDs for Darren Indyke & Richard Kahn can be found in "Repository" of GUS 4 486405.
R Client Referral II RM Prospect 0 Intermediary/FIM 0 Other Source (GB, etc.)
How Was the Oient(s)
Introduced? How long
has the RM personally Please provide details (e.g. name of referral source, how many years RM personally has known client,
known the dient? etc.): Jeffrey Epstein reached out to Stew Oldfield on 3/7/17 to have a new acct opened under this
relationship..
Does Deutsche Bank pay 0 Yes I LVJ No
a retrocession or similar
compensation to a third
party for the introduction (/f yes describe).
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 Nes LLC • 42953758 • DDA-42953758 11/8/2013
7i
2 Plan D LLC - 42953467 - DOA-42953467 10/18/2013
2
3 The Haze Trust - 77000949 - DDA-77000949 2/21/2017
4 5::.4 The Haze Trust - 146024943 - 0651-N46024943 9/23/2013
5 R1 The Haze trust - 42967287 - DDA-42967287 2/27/2017
Who is the primary
contact person for the Preferred method of
RM? (Note: This person Darren K. Indyke contact(indicate phone 212 971 1314
needs to have signatory no., fax no., e-mail
rights and/or information address, etc.):
right for the accounts.):
SDNY_GM_00064323
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EFTA_00 174826
EFTA01298930

KYC Print Page 2 of 27
One sheet must be established for each account to be opened
2. Account Owns-ship Summary
Acct. Number (if
Account Name: Nes LLC - 42953758 - DDA 42953758
evadable):
Account Manager: Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? This is a simple checking account to take care of the expenses associated with running Jeffrey Epstein's NY
home
Indicate from where the assets are expected to arrive?
17, DB Group: Same Booking Center (indicate account number): Existing
0
DB Group: Other Booking Center (Indicate DB location and account details):
0
Other Institution - (Indicate name & location):
L..1
Physical Deposits (specify cash, securities, cheques, ...):
What Is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per
month)?: ni, 10-20/month; $30 - $20K
What is the expected volume of assets and currency for the account 252,347.66 'Currency I USD
approx. 90 days after opening?
What is the expected volume of assets and currency for the account 252,347.66 I Currency I USD
approx. one year alter opening?
Does/will the client have Assets Under Management (AuM) within 0 Yes Witlo
DB under Eur. 3M?
mean 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.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s .
_egal Descnption AccountblC Settlor of Jltimate Signatorycimeed mantle! Significant
!Mayor Source Holder OwnerTrust / Beneficial or Full POA ntermediary Shareholder
of Wealth Founder of Owner POA FIM) (>=25%) Other (please
required Foundation Von-PIC describe other
entity roles and/or
;indicate ndicate
Parties related to ownership relationship
this account j%) petween parties)
1 rtZ 2 NES, LLC 2 0 0 0 U 0 0
2 Li 0 Darren K. lndyke 0 • 0 0 2 iii 0 Auth Signor;
3 0 [1 Harry Beller 0 0 0 0 Z El 0 Aunt Signor;
Beneficiary:Sole
0 Member;Primary
4 0 q Jeffrey E. Epstein 0 0 0 Z CI 0 100 Decision
Maker;Sole
Owner;
SDNY_GM_00064324
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EFTA 00174827
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2. Account Ownership Summary
Acct. Number (if
Account Name: Plan 0 LLC - 42953467 - DDA 42953467
availatVel
Account Manager: Stewart Oldfield
What is toe purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? This is a simple checking account for pay for costs associated for Jeffrey Epstein's airplanes
Indicate from where the assets are expected to arrive?
:47i-..1 DB Group: Same Booking Center (indicate account number): Existing
O
DB Group: Other Booking Center (indicate DB location and account details):
D
Other Institution - (Indicate name & location):
,..
"I
t..J 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)?: ••••• 1-5/month; $100 • $500K
What Is the expected volume of assets and currency for the account 790,453.14 1Currency
approx. 90 days after opening? I US°
What is the expected volume of assets and currency for the account 790,453.19 I Currency USO
approx. one year after opening? I
Does/will the client have Assets Under Management (AuM) within DB O Yes Z No
under Eur. 3M?
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.
• Always descnbe the relationship between the parties in the last column.
• Please drill down to the ultintate/undedying Beneficial Oviner(s .
_egal Description Account ?IC Settlor of Jlbmate Signatorysimpted Financial Significant
Inbtyof Source Holder OwnerTrust / 3eneficial x Full POA ntermediary5hareholder
of Wealth Founder of Owner POA (FIM) (>2•25%) Other (please
required Foundation Non-PIC Jesaibe other
entity roles and/or
;indicate ndicate
Parties related to iwnership "elationship
this account %) Dehveen parties)
1 2 2 Plan D, LLC O Li O • O O
Beneficiary;Sole
O O O 11.€1
2 U [A Jeffrey E. Epstein 5 O O Member;Primary
Decision Maker;
3 -' O Darren K. Inclyke L • O O El q O Auth Signor;
4 L...] D Harry Beller O O [1] O W C7 O Auth Signor;
q O O O
5 r- Lawrence Paul O O q O Manager;
1Asoski 3r
SDNY_GM_00064325
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2. Account Ownership Summary
Acct. Number 0'
Account Name: The Haze Trust - 77000949 - DDA
available):
Account Manager: Stewart Oilfield
what is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? This is an interest bearing checking account for costs (taxes, etc.) related to this Trust
Indicate from where the assets are expected to anive?
E. DB Group: Same Booking Center (indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
O Other Institution — (Indicate name & location):
i...] 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)?: ••• 1.3/month; $10K - $10MM
What is the expected volume of assets and currency for the account 7,707,707.25 1Currency I USD
approx. 90 days after opening?
What is the expected volume of assets and currency for the account 7,707,707.25 'Currency I USD
approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DB O yes R No
under Eur. 3M?
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 theCk boxes apply, describe the party's relation to the account in the "Other" column.
• Always descnbe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
_egal Description AccountPIC Senior of Jlbmate Signatory_imitedlinancial Significant
Enbtyof Source Holder OvmerTrust / Beneficiator Full ?OA IntermediarySharehoider
of Wealth Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related ownership 'elabonship between
o this account %) parties)
1 Lii Ri The s e t H aze O D O q O O O
2 I I LI
lDand
rr
y
e
ke
n K. O O O O W..1 O O Trustee:Trustee;Auth
Signor as Trustee;
Setdor;Beneficiary;
Trustee:Trustee;Auth
3 El FA E J p e s ff te r e in y E. Oq OO gz M V .i J O Signor as Trustee &
'riflery Decision
(Maker;
SDNY_GM_00064326
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2. Account Ownership Summary
Account Name: The Haze Trust - N4G024943 - DBSI Acct. Number (it N4G024943
available):
Account Manager: Stewart Oktfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? This is a brokerage account for the trust to hold and make investments in marketable securities is the
purpose of the account
Indicate from where the assets are expected to arrive?
.12l DB Group: Same Booking Center (Indicate account number): Existing
O DB Group: Other Booking Center (indicate DB location and account details):
--,
....! Other Institution - (Indicate name & location):
.::-,sts (specify cash, securities, cheques, ...):
1. hat is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: - 3-10/month; $10 • $2MM
What is the expected volume of assets and currency for the account 20,355,143.12 I Currency I USD
approx. 90 days after opening?
What is tne expected volume of assets and currency for the account 20,355,143.12 'Currency I USD
approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DE El yes R No
under Eur. 3M'
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.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).
_egal Description AccounWIC Settlor of Jltimate SignatoryjmitedFinancial Significant
cnbtyof Source Holder OwnerTrust / Beneficial."( Full ?OA IntermediarySliarehoider
of Wealth Founder of Owner POA (FIM) (>=25%)
required Foundation Non•PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related ownership relationship between
to this account %) parties)
TTrhues tHaze n
1 R 5 z U O O i_i O C
Settlor;Beneficiary;
Trustee:Trustee;Au
Jeffrey E. L i Li --.
2 O 5 Epstein y;.1 0 Y.I O O Signor as Trustee &
Primary Decision
Maker;
Darren K. O O O E6
3 L U lndyke U Trustee:Trustee;Au
Signor as Trustee;
Paul has Limited
'I El El Paul Barrett O DO O O O T A r u a th d o in r g iz ation for
Brokerage account;
5 O [1 Harry Beller • o a a O D POA for Brokerage
Account;
6 O O O O O • '5 III O POA for Brokerage
Account;
SDNY_GM_00064327
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EFTA_OOI 74830
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I I I I I I I
Jean Anne
Brennan
W,ebracht
SDNY_GM_00064328
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CONFIDENTIAL - PURSUANT TO FED. R.CIRIa DB-SDNY-0027153
EFTA_00174831
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2. Account Ownership Summary
Acct. Number (if
Account Name: The Haze trust - 42967287 - DDA 42967287
available).
Account Manager: Stewart Oilfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment,
payment/expense account)? This is a simple checking account for costs (taxes, etc.) related to this Trust
Indicate from where the assets are expected to amve?
E.
DB Group: Same Booking Center (indicate account number): Existing
2
DB Group: Other Booking Center (indicate DB location and account details):
0 Other Institution - (Indicate name & location):
i..i 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)?: There are regular transactions in The Haze brokerage account, which is where most of the activity is. The deposit account
just holds cash to earn the interest. Wouldn't expect many transactions there.
What is the expected volume of assets and currency for the account 2,503,667.84 'Currency 1115O
approx. 90 days after opening?
What is the expected volume of assets and currency for the account 2,503,667.84 'Currency I OW
approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DB Ell yes g No
under Eur. 3M'
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.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Oviner(s).
_egal Description AccounWIC Settlor of Jltimate Signatorytimited Financial Significant
zntityof Source Holder Ownerfrust / Beneficialor Full POA Intermediary5hareholder
of wealth Founder of Owner POA (FIM) (>=25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related ownership relationship between
this account %) ciarties)
ri
1 ce, IA TruhestH aze 2 C 2 CI i_i 0 E
Settler:Beneficiary;
0 2 Trustee:Trustee;Au
2 E J p e s ff t r e e in y E. 0 72 Si) 0 C Signor as Trustee &
Primary Decision
Maker;
3 0 0 ln D d a y rr k e e n K. 0 0 0 U d Li L Trustee:Trustee;Au
Signor as Trustee;
SDNY_GM_00064329
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CONFIDENTIAL - PURSUANT TO FED. R. . ( ) DB-SDNY-0027154
EFTA 00174832
EFTA01298936

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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 E. Epstein - 00000483289 Date of Birth: 1/20/1953
Country of Residence: Virgin Islands, U.S. Country of Citizenship: United States
Has client raided outside
Little Saint James Saint Thomas 00802 Virgin Islands, of his/her country of
Address of primary U.S. nationality for 5 years or 0 Yes - W - T I No
residence:
more?
Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348
Current Employer: Southern Trust Company Inc Position/Title/Rank: President
Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, V.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity in ,.._
the financial industry? or an entity listed on a DO-recognised exchange? (Not L Yes M No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Ve4 destribe) bi Yes 0 No
Connection with Prince Andrew and Bill Clinton
To the best of your knowledge, is the individual related to an employee of the DB ri Famity ri Friendship WI None
grout:P(1fF amily or Fnenclsivp, descfibe) N/A
To the best of your knowledge, is the individual party to a non-banking
relationship with Deutsche Bank (e.g., external legal counsel, client referral 0 Yes W No
source, supplier of goods or servIces)?(f Ye5descnbe) NA
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Bank Officer Name(s) Bank Office: Private Cl B ie u n t P e la s c s e : Other Location (specify): Date:
of sin
Domicile:
Stewart Oklfield W q r i_ n _i 6/28/2017
0 0
0 0 F..._ .,
0 Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investments
Primary Country of source of wealth/source of Funds? United States
Primary industry of source of Wealth/Source of
High Risk financial Institutions
Funds?
W Business Owner 0 SalSalary/EarningsW. Investment Ell Inheritance/Gifts
Summarize Source of Wealth:
D Other:
Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settior accumulate
wealth? For inheritance, how did family accumulate wealth?For businms owners, how long in business, how many employees, level of
SDNY_GM_00064330
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profitabikty? Indicate type of business, countries of major activities, important business partners.) Jeffrey Edward Epstein (born
January 20, 1953) is an American financier and registered sex offender in the United States. He worked at Bear Steams early in his
career and then formed his own firm, J. Epstein & Co. He lives in the US V1rgin Islands. Epstein taught calculus and physics at the
Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns.
In 1976, Epstein started work as an options trader at Bear Steams where he worked in the special products division, advising high-net-
worth clients on tax strategies. Proving successful in his financial career, in 1980 Epstein became a partner at Bear Stearns.
In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion
in net worth. In 1987, Leslie Wexner, founder and chairman of Ohio-based The Limited chain of women's clothing stores, became a
well-known client. Wexner acquired Abercrombie & Fitch the following year. In 1992 he converted a private school on the Upper East
Side into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the
name of his firm to the Financial Trust Company and, for tax advantages, based it on the island of St. Thomas In the U.S. Virgin Islands.
In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Peitz,
media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were
ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor, who paid $55 million.
In 2004, Epstein and Zuckerman committed up to $25 million to finance Radar a celebrity and pop culture magazine founded by Maer
Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its editor-in-chief, retained a small ownership stake.
Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests the assets of their clients and
gets their revalue from the return of these investments. Southern Trust invests in different portfolios catered to their clients and makes
their revenue based on the returns and the fees associated with managing their client's assets
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM
(5):
Estimated Net Worth(S): $500 MM + Amount of assets planned to invest with PWM($): 2,300,000.00
Other Known Financial Institutions:
Country: Est. Assets Under Mgt:
Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (mantal status, other family members, etc.): N/A
SDNY_GM_00064331
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Darren K. Inclyke - 00000486405 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
Address of primary o na f t h io is n / a h l e it r y c f o o u r n 5 u y y e o a f r s or O Yes K• -ii. . No
residence:
mere?
Profession/Occupabon: Accountant Tax ID / SSN:
Current Employer: Southern Rnancial LLC Position/Title/Rank: Accountant
Address of employer: 6100 Red Hook Quarter 83 Livingston Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DO-recognised exchange? (Not q Yes ki No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Yes describe) N/A • Yes W No
To the best of your knowledge, is the indMdual related to an employee of the DB O Fan* O Friendship 0 None
group?(ifF amily or Fnenclsivp, desalbe) N/A
To the best of your knowledge, Is the Individual party to a non-banking
O Yes W No
relationship with Deutsche Bank (e.g., external legal counsel, client referral
source, supplier of goods or servIces)?(f Yesdeseebe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
Stewart Oldfield R O O 12/12/2016
O iiii O
O • O
[11w ealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O Business O O
Owner Salary/Earnings El] Investment Inheritance/Gifts
Summarize Source of Wealth:
O other:
SDNY_GM_00064332
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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 invariable assets(f):
(S):
Estimated Net Worth($): Amount of assets planned to invest with FWM(S):
Other Known Financial Insbtubons:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation or the individual (marital status, other family members, etc.):
SDNY_GM_00064333
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K Ye Pi nl Page 12 of 27
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Harry Belle - 00000487202 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
Address of prim ar y o na f t h io is n / a h l e it r y c f o o u r n 5 t r y y e o a f r s or O Yes I - gJ - l. ii No
residence:
more?
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Posibon/litle/Rank: Accountant
Address of employer: 575 Lexington Avenue, 4th floor Monsey NY United States 10022
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DB-recognised exchange? (Not O Yes R: No
:applicable for operating entitles
IIII R
Is the individual a Politically Exposed Person (PEP)?(if Yes dewily) N/A Yes No
To the best of your knowledge, Is the indMdual related to an employee of the DB O Famiy O Friendship Wil None
group?(,fF amei y or Fnendshep, describe) N/A
To the best of your knowledge, Is the individual party to a non-banking R
O Yes No
relationship with Deutsche Bank (e.g., external legal counsel, client referral
source, supplier of goods or services)?(if Yes describe) NA
If applicable, indicate which bar* officers have met Indicate where and when the client meeting(s) took place:
the person.
Client
Chem Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
O
O a
O O O
o El E.7,
I
r--1
:..i Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O Business O O
Owner Salary/EarningsEl Investment Inheritance/Gifts
Summarize Source of Wealth:
O
Other:
SDNY_GM_00064334
https://dbforcepb.my.salesforce.ci cfriAtOgvIDENoTtp 14/0L130000000D9Di&... 11/19/2018
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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(f):
(S):
Estimated Net Worth($): Amount of assets planned to invest with FWM(S):
Other Known Financial Insbtubons:
Institution: Country: Est. Assets Under Mgt:
Insbtutlon: 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_00064335
littps://dbforcepb.my.salesforce.PA IflpENcriA0L130000000D9Di8c... 11/19/2018
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KYC Print Page 14 of 27
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Paul Barrett - 0030031758 4 Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
of his/her country of
Address of primary nationality for 5 years or 0 Yes• - . No
residence:
mere?
Profession/Occupation: Investment Advisor Tax ID / SSN:
Current Employer: 3.P. Morgan Securities LLC Position/Title/Rank: Investment Advisor
Address of employer: 277 Park Ave New York NY United States 10172
Does the person work as senior executive of a DB-recognized regulated entity In .._
the financial industry? or an entity listed on a DB-recognised exchange? (Not LI Yes 66 No
applicable for operating entitles
Is the individual a Politically Exposed Person (PEP)?(if Yes descnbe) N/A • Yes g No
To the best of your knowledge, Is the IndMdual related to an employee of the DB q Fumy 0 Friendship Ea None
group7(,1F amei y or Poem/ship, describe) N/A
To the best of your knowledge, Is the individual party to a non-banking Oyes Ebb
relationship with Deutsche Bank (e.g., external legal counsel, client referral
source, supplier of goods or serykes)?(if Ye4descnbe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
III 0 0
III III 0
o 0 0
: ---,
...1 Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
0 Business 0
Owner SalSalary/EarningsEl Investment [11 Inheritance/Gifts
Summarize Source of Wealth:
0 Other:
SDNY_GM_00064336
lilt ps://db forcepbmi .salesforce.ccAtatis.gviDENoTtAti3 0000000D9Di&... 11/19/2018
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, how did settior 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($):
(S):
Estimated Net Worth(3): Amount of assets planned to invest with PWM($):
Other Known Rnancial lnsbtutions:
Institution: Country: Est. 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.):
SDNY_GM_00064337
littps://dbforcepb.my.salesforce.cPA IDENoTIA01±B0000000D9Di&... 11/19/2018
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KYC Print Page 16 of 27
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Symms
3A. Individual Details (for all parties)
Individual's Name: Jean Anne Brennan Wlebracht - 00000487647 Date of Birth:
Country of Residence: Virgin Islands, U.S. Country of Citizenship: virgin Islands, U.S.
Has client resided outside
Address of prim ar y n o a f t h io is n / a h l e it r y c f o o u r n 5 t r y y e a a t r s or O Yes • ! 1 - .1 No
residence:
mere?
Profession/Occupabon: Finance Tax ID / SSN:
Current Employer: Southern Financial LLC Posibon/litientank: Finance
Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virgin Wanda, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DO-recognised exchange? (Not q Yes R: No
applicable for operating entitles
R
Is the individual a Politically Exposed Person (PEP)?(if Yes. desa0e) N/A • Yes NO
To the best of your knowledge, Is the individual related to an employee of the D8 O Family O Friendship Ed None
group?(,fF amei y or Fnendsivp, desalbe) N/A
To the best of your knowledge, is the Individual party to a non-banking R
relationship with Deutsche Bank (e.g., external legal counsel, client referral O Yes No
source, supplier of goods or serykes)?(f Ye4describe) N/A
If applicable, indicate which bar* officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Bank Officer Name(s) Bank Office: Private Client Place Other Location (specify): Date:
of Business:
Domicile:
o O O
O ii O
O O O
1....114/fealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Busi iess:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O Business Owner O El
Salary/EarningsEl Investment Inheritance/Gifts
Summarize Source of Wealth:
O
Other:
SDNY_GM_00064338
littps://dbforcepb.my.salesforce.cC rieMbilspletEittpA0L‘130000000D9Di& ... 11/19/2018
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Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusls, 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 actwities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets($):
(5):
Estimated Net Worth(3): Amount of assets planned to invest with PWM($):
Other Known Rnancial Inautions:
Institution: Country: Est. 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.):
SDNY_GM_00064339
littps://dbforcepb.my.salesforce.caRA in,ENTIA0L130000000D9Ditic... 11/19/2018
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One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa
3A. Individual Details (for all parties)
Individual's Name: Lawrence Paul Visoskl Jr - Date of Birth:
Country of Residence: United States Country of Citizenship: United States
Has client resided outside
of his/her country of
Address of prim ar y nationality for 5 years or Ei Yes i-l -l No
residence:
more
Profession/Occupation: Manager Tax ID / SSN:
Current Employer: Plan D LLC Position/Title/Rank: Manager
Address of employer: 6100 Red Hook, Quarter B3 St, Thomas Virgin Islands, U.S. 00802
Does the person work as senior executive of a DB-recognized regulated entity In
the financial industry? or an entity listed on a DO-recognised exchange? (Not q Yes R: No
applicable for operabng entitles
R
Is the individual a Politically Exposed Person (PEP)?(if Yes desaibe) N/A • Yes No
To the best of your knowledge, Is the indMdual related to an employee of the DB ri Family El Friendship gel None
group7(,1F amei y or Fnendsivp, descfibe) N/A
To the best of your knowledge, is the individual party to a non-banking Et
relationship with Deutsche Bank (e.g., external legal counsel, client referral 1.: Yes No
source, supplier of goods or services)?(f Yesdesalbe) N/A
If applicable, indicate which bank officers have met Indicate where and when the client meeting(s) took place:
the person:
Client
Client Place
Bank Officer Name(s) Bank Office: Private Other Location (specify): Date:
of Business:
Domicile:
O O O
O a O
o Li O
---:
L...1Wealth Details for this individual are not filled in, because they are the same as for the following person:
36. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of
Funds?
O O El Investment O
Business Owner Salary/Earnings Inheritance/Gifts
Summarize Source of Wealth:
O other:
SDNY_GM_00064340
N30000000D9Di&... 11/19/2018
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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.)
Estimated Annual Income
Estimated amount of investable assets($):
($):
Estimated Net Worth($): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: Country: Est. Actors 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.):
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
[I
0 O!Trust 6 Private Investment
Foundation/Association 0 Company
Type of Entity: Purpose of 0
0 Entity: P:4hilanthropic/Charitable
Estate El Partnership
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States 2/9/1999
Incorporation /
iinnccoorrppoorraattiioonn//rregistration:
registration:
Identified on Customer Profile No
Volcker Status: Volcker flag:
6100 Red Hook Quarter 63 St, Thomas 00802 Virgin
Address (city, street, post U.S. TIN/IEIN: 117185414
Islands, U.S.
code):
Provide a descnption of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations,
include information about revocability,setdor and beneficiaries,etc.:
This is a Revocable Trust.
Jeffrey Epstein: Grantor/Trustee/Beneficiary
Darren Indyke: Trustee
Please indicate how ownership of the legal entity is reflected: Trust Agreement
7 Special attention: Bearer Shares - Indicate where shares are custodied:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same pawns): Jeffrey Epstein:
Grantor/Trustee/Beneficiary
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 f - 1 rat
goods or services)?: Yes
N/A
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: nd 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.
Countries where business is transacted: United States
SDNY_GM_00064341
littps://dbforeepb.my.salesforce.ec inic-MsepgvitiDENTIFAOL130000000D9Di&... 11/19/2018
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Number of employees: 2
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investements and the gains it makes from those
investments is its source of revenue. The trust, in turn, puts these gains back into the bust and reinvests.
Estimated gross receipts p.a.(g): 300,000.00
Estimated net profit p.a. ($): 200,000.00
Estimated investable assets ($): $20 MM • 50 MM
Potential Amount to be invested with PWM (S): 200,000.00
Other Known Financial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
InsbhAion: Country: Est. Assets Under Mgt:
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: Plan D, LLC - 00000487219
e] Private Investment Eli
0 Foundation/AssociationO Trust ;A Company
Type of Entity: Purpose of Entity:
0 Estate II Partnership Philanthropic/CharitaNe El
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of Virgin Islands, U.S. 10/19/2012
incorporation /
incorporation/registration:
registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
6100 Red Hook, Quarter 83 St, Thomas 00802 Virgin
Address (city, street, post U.S. TIN/EIN: 66-0795246
Islands, U.S.
code):
Provide a description of the entity's organizational structure, it ownership structure and Its Top Management. For trusts/foundations,
include information about revocability,setdor and beneficiaries,etc.:
Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke
Please Indicate how ownership of the legal entity is reflected: Operating Agreement
El 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). Single member LLC.
Sole member Is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyke
SDNY_GM_00064342
Intps://dbforeepb.my.salesforce.ettmetisgviDENopp14/0u30000000D9Di&... 11/19/2018
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Lawrence Paul Visoski Jr is the manager.
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 r---1 r-A
goods or services)?: Yes LJ No affi
N/A
Describe Nature of Entity's Primary Business and Investment Activities
LLC created to hold funds to pay for costs associated with one of Jeffrey
Nature of the business: Epstein's planes. Personal airplanes are generally leased out to others when the
owner is not using the plane.
Countries where business is transacted: United States
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as Indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
High Risk Financial Institutions
Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Initial contribution of $1,000 from Jeffrey
Epstein and all source of funds come from Jeffrey Epstein.
An airplane is equipment. Personal airplanes are generally leased out to others when the owner is not using the plane.
Estimated gross receipts p.a.($): 1,000,000.00
Estimated net profit p.a. (5): 500,000.00
Estimated investable assets ($): <51 MM
Potential Amount to be invested with PWM ($): 200,000.00
Other Known Anancial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary
3C. Legal Entity Details (For all Legal Enm es)
Legal Entity Name: NES, LLC - 00000487265
0 Foundation/AssociationO Trust rkl Company RIPrivate Investment LI
Type of Entity: 0 Estate • Partnership Purpose of Entity: Philanthropic/Charitable Ell
Commercial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of United States 8/13/1998
incorporation /
incorporation/registration:
registration:
Identified on Customer Profile No
Volcker Status: Volcker Rag:
SDNY_GM_00064343
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6100 Red Hook Quarter, B3 St, Thomas 00802 Virgin U.S. TIN/IEIN: 13-4146141
Address (city, street pest stands, U.S.
code):
Provide a description of the entity's organizational structure, Its ownership structure and Its Top Management. For trusts/foundations,
include information about revocability,setdor and beneficiaries,etc.:
Single member LLC. Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Darren Indyke and Harry Beller
Please indicate how ownership of the legal entity is reflected: Operating Agreement
0 Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner Ofn ot the same persons) Single member LLC.
Jeffrey Epstein is the sole member. The signors on this account are Jeffrey Epstein, Darren Indyke and Many Beller
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 r—i
Yes L_J No
goods or services)?:
N/A
Describe Nature of Entity's Primary Business and Investment Activities
NES, LLC was formed to take care of the expenses associated with running one
Nature of the business'
of Jeffrey Epstein's homes
Countries where business is transacted: United States
Number of employees: 1
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of
United States
Funds?
Primary industry of source of Wealth/Source of
Funds? High Risk Fnancial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities):
All funds come from Jeffrey Epstein, who has been KYCd previously
Estimated gross receipts p.a.(5): 1,000,000.00
Estimated net profit pa. (5): 500,000.00
Estimated investable assets ($): <51 MM
Potential Amount to be invested with PWM (5): 150,000.00
Other Known Anancial Institutions:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
SDNY_GM_0006434 4
lilt ps://dbforcepb.my.salesforce.ctAtstisgvIDENMA0L130000000D9Di&... 11/19/2018
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name SOUTHERN FINANCIAL RELATIONSHIP
The Haze-Overall-HIGH,Entity-HIGH,Inclustry-HIGH,Country-MEDIUM,Product-HIGH.The 2007 Jeffrey-Overall-
Risk Rating Comments: HIGH,Entity-HIGH,Industry HIGH,Country-MEDIUM,Product-HIGH.Plan D & NES LLC- Overall-HIGH,Entity-
MEDIUM,Industry-HIGH,Country-MEDIUM,Product-HIGH.
Booking CCeenntteerr R I NY ._, Li Offshore R[iIs]k Moderate fJ High RiSki
NY/Offshore JJ
(Compliance Signature)
----,
1 Bearer Shares
LI DB Employee Li DB Managed PIC Li DB is Trustee/Co-Trustee [..„
4. Attachments
A. Type of Photo ID Provided R Drivers License RI Passport O National/State ID O Other
Checklist of names (individuals and/or entities) that were submitted for database nt
B. searches is attached MI Yes O No
C. Please indicate the results of the database searches performed
RDC searches complete R Yes O No negative results found . yes O No
PCR checks complete - Yes O No negative results found R yes Li No
CfAC checks complete g Yes O No negative results found O Yes Pi No
B Jo IS ne s s e , a D rc & h B e ) s complete (Lexis/Nexis, Factiva, Reuters, Dow g Yes O No negative results found RI Yes L No
g
Denial Orders checks complete yes O No negative results found O Yes RI No
Martindale-Hubbell searched (Lawyers/Law Firms only) O yes g No negative results found Oyes O No
D. Please summarize any negative results from the database searches indicated above: Plan D:
- No negative media
- No court cases
The Haze Trust:
- No negative media
- No court cases
me 2007 Jeffrey E. Epstein Insurance Trust #3:
- No negative media
- No court cases
NES LLC:
- No negative media,
- Court case was filed way back in 4/5/2005 which pertains to NES LLC that is involved in doing business as National Educational
Service and the status of the case stands closed. This doesnot pertain to our entity as our entity is not into educational service.
Harry Beller:
• No negative media
- Harry Beier is the plaintiff in the court case, also it has been disposed.
Jeffrey Edward Epstein:
• Adverse results in Google relates to Jeffrey's Sec offence in the past which are cleared already. Attached clearances in the case
- Negative media rates to the sex offence in the past which are already cleared. (KYC # - 01790655)
• Court cases relates to Jeffreys sex offence in the past which is already cleared, another (Gerber Et Al V. The Rnanciat Trust
Company Et Al) is a recent ongoing civil lawsuk pertaining to fraud which has been dismissed (attached document), but part of
normal business operations for this (Bent. And in one of the case he's neither defendant nor plaintiff. He's Just named as a
respondent and the casein immaterial in nature
- Criminal Filings relates to sex offence which is already cleared in the past
SDNY_GM_00064345
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- RDC alert found • Sex offences in the past which has been cleared - Clearance attached
Darren Indyke:
- Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature.
- Court case mentioned in Google search relates to Jeffrey Epstein's sex offence In the past which has been cleared already. Darren is
just an attorney for Jeffrey in the case.
- Fircosofc alert has been cleared by AML Compliance. Clearance attached.
Richard Kahn:
- No negative media
- Court case was dismissed and he was not barred from NYSE Arca and was cleared In the previous KYCs. Attached clearances
• RDC alert found • realates to violation of NYSE Arca Equities Rule - Clearance attached.
Mr ga ve media
• No court cases
Paul S Barrett :
- No negative media
• No court cases
- RDC alert found - False positives, does not pertain to our client Clearance attached.
Jean Anne Brennan Wiebracht:
• No negative media
- No court cases
Lawrence Paul Visoski Jr:
• No negative media
- No court cases
Southern Trust Company Inc:
- No negative media
- No court cases
The Financial Trust Company:
• Negative news in research is false positive and immaterial in nature. The hit is on IRA Financial Trust Company and not our SOW
entity The Financial Trust Company.
- Court case • rtains to First Financial Trust Corn and not our SOW en; The Financial Trust Com• an
E. To the best of your knowledge, has the client ever been convicted of a aiminal 12 Yes Ono
offense?
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 O Yes 0No
pogo* details below and contact Quality Mgt (Lat4m/Intl) or the Regulatory
Control Group andn o* Compliance immolate)))
Does the client or related party have any financial or other association / interactions
G. within countries or regimes sanctioned by the Office of Foreign Assets Control No
(OFAC)?
Does the client or related party have any financial or other association/ interactions r--1
within high risk countries? Li Yes No
I. Corporate Documentation Attached (Legal Entities Only) E0 Yes C3 No O Not Applicable
1 Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No g1.6 Not Applicable
K. If Lexe./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:
L. Special Risk Factors
Does the account have Nexus to Special Risk Countries? Di Yes CZ No
Is the account structure unusually complex? E3 Yes FqI No
SDNY_GM_00064346
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Is there any Indication the client set up a non operating Ores RiNo
company expressty for the purpose of transferring shares to
third parties?
Is there any Indication this could be a prohibited business Ores rg No
relationship?
Are the bearer shares identified subject to acceptable controls? Oyes 1 No
SDNY_GM_00064347
N30000000D9Di&... 11/19/2018
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M. Case Comments
Created By Date Comments
Alla Babu 11/5/118 4:18 AM Dan-en Indyke on 10/22/18 confirmed that there are no material charges.
RM Confirmed that the clients will be closing the accounts before the end of the year. Case will
Yoonsun Chung 11/16/118 1:32 PM
be closed. 11/16/18
This KYC serves as Periodic Review for the follovang existing clients:
(I) Nes LLC
(2) Plan D LLC
(3) The Haze Trust
Risk factors include:
• Source of Wealth (SOW) Industry: Financial Management (managing client assets)
• PEP/RCA: Jeffrey Epstein, UBO & SOW, is considered an RCA based on his dose relationship
with Bill Clinton (Former US President) and Prince Andrew (Bntish Royal Family)
• Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated
11/19/118 11:42 for reputational risk concerns. Evidence of prior approval to proceed with the relationship is
Dimitra Manley AM attached to this case, including a stipulation to review further if new media is identified.
Accordingly, approval from the Divisional Control Officer Is attached to this KYC in regards to a
recently filed (and dismissed) court case. (Please see clearances for more details)
We are comfortable signing-off on this KYC for the following reasons:
• Information and supporting documents required by our AML Policy were provided and
reviewed. As a result, we have a reasonable understanding of the purpose of the account and
expected transaction activity.
• The source of wealth was sufficiently detailed and appears plausible.
• We performed due diligence searches on all parties and did not find the names searched to be
on any sanctions lists.
Yoonsun Chung 11/16/118 4:45 PM The only account closing is the insurance trust,
Alka Babu 8/24/118 5:48 AM No material changes confirmation "email" attached in the case
ONSHORE APPROVALS
Client Facing Professional (CFP): Bradley &lin (Signature) 10/5/2018
Bradley Gillin
Office Director/Business Head: Andrew F Gallivan (Signature) 10/9/2018
Andrew F Gallivan
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Dimitra Manley Dimitra Manley 11/19/2018
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
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KYC Print Page 27 of 27
Global Market Team Head (Signature)
(GMTH)/Sub.Market Team Head
(SMTH):
AML Business Risk:
(Signature)
ANL Compliance:
(Signature)
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 Professionals1(1) (CFP's) should establish and maintain business relationships
only with persons who swish our high standards of suitability, background and character. Due
diligence obtained on the client must be appropriately documented by the CFP. 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 clients) and that I have followed all the
procedures relating to account opening as described in the PWA1A mericas Procedures and the PWM
Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product
Officers, Brokers, Client Managers, etc.
Deutsche Bonk Americas New York
SDNY_GM_00064349
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