EFTA01299130.pdf

KYC Print Page 1 of' 19
Int
DB PWM GLOBAL KYC/NCA: PART A
KYC Case # : 01141308 Status : 6. Approved
One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York
Relationship Manager: Paul Moms
17 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: ONLY adding signers to account. All signers have already been approved in previous KYC's. Please rush
as this is a simple update.
Harry Beller was approved in KYC 01133624
r r
Client Referral P. RM Prospect F Intermediary/FIN Other Source (CIB, etc.)
How Was the Chent(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.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul
the client? and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual
friend/colleague who introduced them while Paul was at JINIorgan. Over the course of a few meetings Paul was
able to get Jeffrey to bring some of his funds over to Deutsche Bank
r
F Yes NO
Does Deutsche Bank pay a
retrocession or similar
compensation to a third
party for the introduction (If ye, tame).
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 r Southern Financial, LLC 8/19/2013
2 F Southern Financial, LLC 8/19/2013
3 r Southern Trust Company, Inc. 8/19/2013
4 F Southern Trust Company, Inc. 8/19/2013
5 r Jeffrey Epstein 9/11/2013
6 F Jeffrey Epstein 9/11/2013
Who is the primary contact
person for the RM? (Note: Preferred method of
This person needs to have Jeffrey Epstein contact(indicate phone
signatory rights and/or no., fax no., e-mail
information right for the address, etc.):
accounts.):
SDNY_GM_00064834
PPR EW TOApCE D9Di&eid=50060. .. 10/30/2013
CONFIDENpTIAL - P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. 'Pt) 1 `—' DB-SONY-0027659
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KYC Print Page 2 of 19
One sheet must be established for each account to be opened
2. Account Ownership Summary
Account Name: Southern Fnancial, LLC 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. To hold funds for the company.
Indicate from where the assets are expected to arrive?
F DB Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Cents (indicate DB location and account details):
F Other Institution (Indicate name & location): JPMorgan, NYC
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 2 inflows & outflows per month ranging from $1000 to $10,000.
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 150,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the -Other column.
• Ahway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Cuner(s).
legabescription AccountfIC Settler of Jltimate Signatory-imitecEnancial Significant
Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermedlaryShareholder
of Weakh Pounder of Owner POA (FIM) K>=25%)
required Poundation Non-P1C Other (please
entity describe other roles
(indicate and/or indicate
parties related to ownership relationship between
is account %) 'parties)
Sole shareholder of
1 F F Jeffrey Epstein F F F F r F F
Southern Trust;
2 F F Southern Financial F F F F r r p
LLC
Southern Trust is
the sole member of
Southern Anancial
Southern Trust
3 F F F F F F F F F 100 and Jeffrey Epstein
Company, Inc.
s the sole
shareholder of
Southern Trust;
SDNY_GM_00064835
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CONFIDENTs :A//Lna -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRet. Ft) I 1-1 DB-SONY-0027660
EFTA_00 175336
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KYC Print Page 3 of 19
2. Account Ownership Summary
Account Name: Southern Fnancial, LLC Acct. Number (ifavailable),I
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 the company.
Indicate from where the assets are expected to arrive?
F DI3 Group: Same Booking Center (indicate account number):
F DB Group: Other Booking Center (indicate 013 location and account details):
F Other Institution (Indicate name & location): JPMorgan, NYC
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 10 outflows per month ranging from $1,000 to 410,000.
What is the expected volume of assets and currency for Currency LlSD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 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 appropnate 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 descnbe the relationship between the parties in the last column.
• Please drill down to the ultimate/untie ying Beneficial Ovmer(s).
Legal Description AccountPlC Setttor of Ultimate Signatory imitedRnancial Significant
Entitrof Source Holder OwnerTrust / Beneficialor Full POA Intermediaryehareholder
of Weakh Founder of Owner POA (FIM) I(>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
Parties related to ownership relationship between
pis account 4%) oarbes)
1 F F Jeffrey Epstein F F F F F F F Sole shareholder of
Southern Trust;
F
2 F F Southern Financial F r F F
LLC F
Southern Trust is
the sole member of
Southern Anancial
3 F F Southern Trust F F F F F F F 100 and Jeffrey Epstein
Cornpany, Inc.
s the sole
shareholder of
Southern Trust;
At..) SDNY_GM_00064836
hops://na4.salesforce.com/serelet PHEYENIVIkt0 D9Di&eid=50060... 10/30/2013
CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0027661
EFTA_00 175337
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KYC Print Page 4 of 19
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. 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 company
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 Insbtubon (Indicate name & location): JPMorgan, NYC
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 10 outflows per month ranging from $1,000 to 410,000
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 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.
• Ahmy describe the relationship between the parties in the last column.
• Please drill doom) to the ultimate/unde ying Beneficial Owner(s).
Legal Description AaountPIC Settler of Ultimate Signatoryt:itedRnancial ignificant
Entityof Source Holder OwnerTrust / Beneficialor Full • *A Intermedia hareholder
of Weakh Founder of Owner POA (FIM) >-25%)
required Foundation on-PIC Other (please
City describe other roles
indicate and/or indicate
parties related to ership relationship between
s account ii) Parbes)
1 F F Jeffrey Epstein r r r F r n r Sole shareholder of
Southern Trust;
2 F F Southern Trust F F F F r r r
Company, Inc.
SDNY_GM_00064837
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CONFIDENTIAL - PURSUANT TO FED. R. Ft) DB-SDNY-0027662
EFTA_00175338
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KYC Print Page 5 of 19
2. Account Ownership Summary
Account Name: Southern Trust Company, Inc. Acct. Number (ifavadable).
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.
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 O8 location and account details):
17 Other Institution (Indicate name & location): .WMOrgan, NYC
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 2 inflows & outflows per month ranging from 41,000 to 410,000
what is the expected volume of assets and currency for Currency LSD
the account approx. 90 days after opening?
What Is the expected volume of assets and currency for 150,000 Currency USD
the account approx. one year after opening?
Please list all parties related to the account
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the 'Other column.
• Ahvay describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC SettSor of _Iltimate Signatory_imitecRnancial Significant
Entityof Source Holder OwnerTrust / Beneficiatr Full 0OA 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 al esrelated to ownership relationship between
is account %) ,arbes)
Sole shareholder of
1 F F JJeeffffr ey Epstein r r r F F F F
Southern Trust;
Southern Trust r r r
2 F F F r r r
Company, Inc.
SDNY_GM_00064838
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lut t 10/30/2013
CONFIDENpTs:I/A/nLa -4 P.sUaRleSsUfoArcNeT.c ToOm F/sEeDrv.lRe . Fi ' DB-SDNY-0027663
EFTA_00I 75339
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KYC Print Page 6 of 19
2. Account Ownership Summary
Account Name: Jeffrey Epstein 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 Jeffrey Epstein's personal daily use.
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 08 location and account details):
F Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY
F Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 15 inflows and outflows per month r nging from 5100-510,000.
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What is the expected volume of assets and currency for 100,000 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.
• 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 Settfor of _Itimate Signatory_imitecRnancial Significant
Entity of Source Holder OwnerTrust / Beneficiakw Full °OA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
p ities related to ownership relationship between
is account %) ,arbes)
1 F F Jeffrey Epstein F F F F F F F
r r r
2 Harry Beller F F F F
ciEwriAtoD,Di&eid=500SO6N6Y .G..M _000648.39
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CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0027664
EFTA_0017 5340
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KYC Print Page 7 of 19
2. Account Ownership Summary
Account Name: Jeffrey Epstein Acct. Number (ifavailable).
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 Jeffrey Epstein's personal funds.
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):
F7 Other Insbtubon (Indicate name & location): 3PMorgan Chase. New York, NY
F
Physical Deposits (specify cash, securities, cheques, ...):
What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per
month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000
What is the expected volume of assets and currency for Currency USD
the account approx. 90 days after opening?
What Is the expected volume of assets and currency for 200,000 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.
• Alway describe the relationship between the parties in the last column.
• Please drill down to the ultimate/unde ying Beneficial Owner(s).
Legal Description AccountPIC Settior of _Iltimate Signatory _imitecRnancial Significant
Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder
of Weakh Founder of Owner POA (FIM) (>-25%)
required Foundation Non-PIC Other (please
entity describe other roles
(indicate and/or indicate
rtes related to ownership relabonship between
pis account I%) oanoes)
1 r F Harry Beller r r r F F F F
2 r F Jeffrey Epstein F r r r- F r r
SDNY_GM_00064840
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CONFIDENpTsfIAinLa -4 .PsUalReSsfUoArcNeT.c ToOm FisEeDrv.lRe . At) '-' DB-SDNY-0027665
EFTA_00175341
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KNIT Print Page 8 of 19
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 Obzenship: USA
Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands
residence:
Profession/Occupation: Self Empolyed Tax ID / SSN: 3348
Current Employer: Southern Financial LLC Positionrfrde/Rank: President
Address of employer:
F Yes F No
Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe)
To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None
group?(if Family a- Fnendship, describe)
To the best of your knowledge, is the individual party to a non-banking relationship r
Yes F No
With Deutsche Bank (e.g., external legal counsel, client referral source, supplier of
goods or services)?(if Yes,descnbe)
If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place:
person:
Client Private Client Place
Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date:
Paul morns r r F 4/3/2013
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 parse requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business: Private investment
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.) 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, which merged into Southern Financial LLC. All of his clients were
anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial
management firms
Estimated Annual Income
10,000,000.00 Estimated amount of investable assets(S): $50 MM • 100 MM
(S):
Estimated Net Worth($): ;100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00
SONY GM_00064841
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EFTA_00I 75342
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KYC Print Page 9 of 19
Other Known Financial Institutions:
Institution: WIlorgan Country: USA Est. Assets Under Mgt: 20,000,000.00
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.): Single
SDNY_GM_00064842
pliFIENSITMC09Diaceid=50060...
hups://na4.salesforce.comiservle 10/30/2013
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EF1'A_00175343
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KYC Print Page 10 of 19
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 -_7202 Date of Birth: 11956
Country of Residence: USA Country of Obzenship: r 0727
Address of primary
residence:
Profession/Occupation: Accountant Tax ID / SSN:
Current Employer: HBRK Associates, Inc Posibon/Trde/Rank:
Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022
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?(,f Family a- From/ship, descnbe)
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:
r
Paul Moms v r 10/21/2013
r r
F
F r r
F Wealth Details for this individual are not filled in, because they are the same as for the following person:
38. Wealth Details (Only for parole requiring source of wealth description as indicated in Section 2)
Nature of the Individual's Business:
F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts
Summarize Source of Wealth:
F Other:
Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth?
For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability?
Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income
Estimated amount of investable assets(s):
(5):
Estimated Net Worth(S): Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution: I I Country: I I Est. Assets Under Mgt:
SDNY_GM_00064843
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'
Institution: Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.):
ne) SDNY_GM_00064844
hus://na4.salesforce.com/servlet PlififfEtnin0D9Di&eid=50060... 10/30/2013
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KYC Print Page 12 of 19
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: Southern Financial LLC - 00000483882
F Private Investment
r Foundation/Association r Trust 17 Company
Type of Entity: Purpose of Entity: r Philanthropic/Charitable
r Estate r partnership
r commenial
Type of Entity Other Purpose of Entity
(specify): Other (specify):
Date of
Country of US Virgin Islands 2/25/2013
incorporation /
incorporation/registrabon:
registration:
6100 Red Hook Quarter B3 St Thomas 00802 US Virgin
Address (city, street, post Islands U.S. TIN/EIN: 66-0799192
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,settlor and beneflciaries,etc.:
Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust
Company Inc
Please indicate how ownership of the legal entity is reflected:
r Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (ifn ot the same pawns).
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
This business is funded by Jeffrey Epstein's weakh. This company was formed to
'old W. Epstein's personal weakh and invest in different ventures. This company
Nature of the business: nests in real estate, equities, commodities, etc and gets its revenue from the gains
it makes in these investments. It is a company formed to invest the assets of Mr.
Epstein
Countries where business is transacted: US Virgin Islands
Number of employees: 3
3D. Wealth Profile (Only for parties requinng 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 initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein).
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. ($): 1,500,000.00
Estimated investable assets ($): <$1 MM
Potential Amount to be invested with FM ($): 300,000.00
Other Known Financial Institutions:
Institution: I lFtlorgan I CCoouuntrryy:: I USA I Est. Assets Under Mgt: 1,000,000.00
SDNY_GM_00064845
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EFTA_00 175346
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KYC Print Page 13 of 19
1
!Institution: I 1Country: Est. Assets Under Mgt:
Institution: Country: Est. Assets Under Mgt:
Att eEtattAtD9Di&eid=50060...
SDNY_GM_00064846
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CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027671
EFTA_00175347
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K VC Print Page 14 of 19
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: Southern Trust Company, Inc. - 00000483883
r r F Private Investment
Foundation/Association Trust F Company r
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 US Virgin Islands 11/18/2011
incorporation /
incorporation/registrabon:
registration:
6100 Red Hook Quarter 63 St Thomas 00802 US Virgin
Address (city, street, post islands U.S. TIN/EIN: 66-0779861
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,settlor and beneflcianes,etc.:
Please indicate how ownership of the legal entity is reflected:
F Special attention: Bearer Shares - Indicate where shares are custodial:
Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or not the same pesons).
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
Consulting Services relying on Financial and Biomedical algorithms. Southern mist
s a private consulting company that invests the assets of their clients and gets their
Nature of the business: revenue 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 clients assets
Countries where business is transacted: US Virgin Islands
Number of employees: 4
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):
Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($): 2,000,000.00
Estimated net profit p.a. (j): 1,500,000.00
Estimated investable assets ($): $2 MM - 5 MM
Potential Amount to be invested with PWM (S): 300,000.00
Other Known Financial Institutions:
Institution: 3PMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00
Institution: Country: Est. Assets Under Mgt:
SONY GM_00064847
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I
Est. Asses Under Mgt
insdtlitial: I CcluniTY: I
SDNY_GM_00064848
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B
Relationship Name EPSTEIN, JEFFREY RELATIONSHIP
Booking Center F NY F NY/Offshore 1-- Offshore ar-kModerate Iit-.: High Risk Jance Franklin
(Compliance Signature)
DB Employee DB Managed PIC 08 is Trustee/Co-Trustee 1— Bearer Shares
4. Attachments
A. Type of Photo ID Provided F Drivers License F Passport I-- National/State ID 1- Other
Checklist of names (individuals and/or entitles) that were submitted for database
B. searches is F Yes I— No
C. Please indicate the results of the database searches performed
RDC searches complete r yes r No negative results found F Yes 1- No
KR checks complete F Yes f- No negative results found F Yes F No
OFAC checks complete F Yes r No negative results found 1— Yes F No
D
8I
&
S
B
s
)
e arches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, irv•-•
Yes r No negative results found I— Yes F No
Denial Orders checks complete 17 Yes r No negative results found r Yes F. No
Martindale-Hubbell searched (Lawyers/Law Firms only) f-' Yes F No negative results found 1— yes f— No
Please summarize any negative resuks from the database searches indicated above: HARRY BELLER:
Approved In KYC #01133624
JEFFREY b.'s' tIN:
ROC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris
KR Alert *I/2 -- Not our client
All Cases Closed
SOUTHERN FINANCIAL LLC:
No negative media
No court cases
SOUTHERN TRUST INC:
D. No negative media
Court Case -- Not our dent.
FINANCIAL INFOMATICS INC:
No negative media
No court cases
1 Epstein &Co.
All Negative Media is our client. He has been cleared of posing a reputabonal risk as shown by the AML Clearance attached
Court Cases have been closed
FINANCIAL TRUST & CO
RDC/PCR alert is aswiated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is
attached
Court Cases are dosed
E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes 1- No
To the best of your knowledge, has the customer ever been involved in any past
SONY GM_00064849
hups://na4.salesforce.com/servle rteEepAt0D9Di&eid=500601. . 10/30/2013
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litigation against Deutsche Bank AG or any of its subsidiaries or is the customer
threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes,
F. provide details below and contact (rtuahly Mot (Labirn/Intl) or the Regulatory Contra, F Yes F No
Gaup and notify Compliance immediately)
Does the client ar related party have any financial or other association / interactions
F Yes F No
G' within countries or regimes sanctioned by the Office of Foreign Assets Control (CFAC)?
H. D w o it e h s in t h h e ig c h l i r e ts n k t o c r o u re nt l i a e t s e ? d s? p arty have any financial or other associahoni interactions r Yes F No
I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable
3. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable
K. If Lexis/Nexis Search Results, Corporate DOCurIleflU. or Other Supporting Documentation is not in English, please provide an Engksh
summary of the nature/contents of the non-English Documentation:
SDNY_GM_00064850
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M. Case Comments.
Created By Date Comments
Jacqueline This was only an update to add a signer. No change in the nsk score so no need for a new nsk
10/25/2013 1A1 PM
ughtbody calculator. Please see let 1121718.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Moms :5 g atur iii, 10/22/2":
'aul Morris
Office Director/Business Head: Brian M. Biggar ;Signature) 10/23/2013
3nan M. Biggar
Regional Office Director: (Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Jacqueline Lightbody Jacqueline Lightbody 10/25/2013
Jance Franklin Jance Franklin 10/28/2013
LATAM /INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GINTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
NIL Compliance:
(Signature)
SDNY_GM_00064851
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PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth
Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so,
Client Facing Professionalsl(1) (CFPs) should establish and maintain business relationships only with
persons who sail* our high standards qfsuitability, background and character. Due diligence obtained
on the client must be appropriately documented by the CPR 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 1h ave 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
Att,,,Enimp,..eid=50060...
SDNY_GM_00064852
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EFTA_00175353
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