EFTA00166753.pdf

KYC Print Page 1 of 10 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case R : 01121881 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Booking Center: New York Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Relationship Manage: Paul Marls 5 New PWM Relationship O Existing PWM Relationship Relabels/up to PWM: If existing, pease indicate since when the relationship exists, provide reason for new probe and attach old profile: O Client Referral rr -4 P.M Prospect O Intermedrary/FIM O Other Source (cm. etc.) How Was the Chenhs) Introduced' How long has the RM personally known the t;ient, Please provide details (e.g. name of referral source, ow many years RM personally has known client, etc.): Jeffrey is a current client el the bank. These are new accounts. ntroducban of Paul and Jeffrey: Jeffrey Epstein was a client of PauFs at JP Morgan. Paul and Jeffrey Epstein had a mutual frlen /coleague who Introduced them while Paul was at JI/Magan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Pliagan Does Deutsche Bank pay a retrocession a unitar O Yes I 2 No compensation to a thud party for the introduction of this relationship/ (If Yes, deco e). List all existng and new accounts involved in this relationship Legal EntRy Account(s) Account Name / Number Opening Date Ontended/actual) 1 [2I Jeepers Inc 9/18/2013 2 2 Jeepers Inc 9/18/2013 Wino is the primary contact person fa the RFP (Note: This person needs to have signatory nghts and/or information right fa the accounts.): Jeffrey Epstein Pr (i eferred method of contact ndicate phone nO., fax no., e-mail address, etc.): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002527 EFTA_00016001 EFTA00166753 KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: leepers Inc Acct. Number fifsalattle): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, longterm invesbnent, payment/expense account)' Checkhg account for Jeerers Inc day liquiddy needs. Indicate from where the assets are expected to arrive' • DB Group: Same Booking Center (indicate account number): E.) DB Group: Other Booking Center (indicate DB location and account detars): RI Other Institution (Indicate name & location): 1Pflorgan Chase New York, NY (1 Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows fa the account (indicate estimated number and volume per month)': Roughty 5-10 Mows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 125,000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 150,000 I Currency 1 USD Does/will the client have Asset Under Management (Auld) within D8 under Eur. 3M? I El Yes 74. No 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 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 Benefkia Owner(s . *eel' Entity !intim of Source of Wealth required Parties related to this Account 'folder IC Dvniertrust Stator of / Founder of Foundation -Minute Beneficial& Saner Sgnatonna Full POA ?OA Dental Intermedlaryshare (FIN) Significant >=25%) Cico-PIC entity (Indicate ownership 20) presentative antor/Settlor Founding Donor Other (pease describe other roles and/or ndicate relationship between sallies) 1 2 I2I feeperS, in a O O O O o O O O K 2 O El kitty Epstein " " u O O 2 O U O EJ O Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002528 EFTA_000 16002 EFTA00166754 KYC Print Page 3 of 10 2. Account Ownership Summary Account Name: )eepers Inc Acct. Number (1 avadatire). Account Manage: 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 kept's Ines cash. Indicate from where the assets are expected to arrive> O DB Group: Same Booking Center (indicate account number): 0 DB Group: Other Booking Center (indkate DB location and account detals): 2 Other Institution (Indicate name A location): 1f+leggin Chase. New York, NY O PhYskal 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 $1,000-510,000 What is the expected volume of assets and currency for the account approx. 90 days after opening> 1 50' I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening> 1150.000 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. > • Yes 9No Please list an parties Sated to the account. For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to desc be the relationship of the party • If none of the check boxes apply, escribe the party relation to • Always describe the relationship between he parties in the last • Please drill down to the ultimate/underlying Benefkial Ovmer(s to this account (> 1 can be selected). the account In the 'Other* column. column. . .egal Entity Description of Source of Wealth required Parties related to this account k«ountbIC colder OvnierTrust Senior of / lounder of Foundation Jitimate BeneftclaIx Owner Signatory‘imftedeinancial Full POA ?OA IntemiediarySharelidderetepresaitathe (FIN) Sgnifcant '>=2S9b) Yon-PIC entity 'ndicate ownership "b) _eget Srantor/Settlor Founding Donor O Other (please describe other roles and/or ndicate relationship Seven sorties) 1 2 2 Scenes, ® Inc O O O O O O O O 2 O 9 kff Epsteiniey n ,---, O O O 9 O O O O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002529 EFTA_00016003 EFTA00166755 KYC Print Page 4 of 10 must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth. 1/20/1953 Country of Residence: USVI Country d Ottenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of Ns/her country of nationality far S years or more El yes ®No ProfessionfOccupabon: Self Employed Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Trtle/Rank: President Address of employer: 6100 Red Hook Quarter 83 St Thomas USW 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating entities r--, L...I Yes Z No Is the individual a Polibcally Exposed Person (PEP)'(d Yes, cksente) O Yes E4g No To the best of your knovAedge, FM* Friendshs detaibt) is the individual related to an employee of the D8 group'(d 0 Family 0 Friemblilp 2 None or To the best of your knowiedge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)'(/ Yes,decarbe) No • Yes 2 If applicable, indicate which bank officers have met the person: Indicate Mitre and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O 0 8/7/2013 • O o O ID El • 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndiVduars Business: Private li nts Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: g Business owner 0Salary/Earnings 2 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of swath or each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealthiFor business owners, how long in business, how many employees, level of profitability' Indicate type of business, countries of mayor activities, knportant business partners.) Epstein begs his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn finance] management firm, 3. Epstein 8 Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his film to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(i): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth(i): $100 MM • S00 MM ArnouM of assets planned to invest with PVIPI($): Other Known Fnancial Institutions: Institution Pilorgan Chase I Country: USA Est Assets Under Mgt: 120,000,000.00 et/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002530 EFTA_00016004 EFTA00166756 KYC Print Page 5 of 10 Institution: County: Est Assets Under Mgt: Institution: County. Please indicate the famly situation of the indrridual (marital status, other family members, etc): Seigle One sheet must be established for EACH LEGAL ENMITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: leepers, Inc - 00000486423 Type of Entity: CI) FoundabcorAssociabon El Trust (AI Company ID Estate El Partnership Purpose of Entity. PhdanthropiciChantable rill Private Investment O El Comore Commercial Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: United States Virgin Island Date of incorporatran i registration: 8/18/2003 Vokker Status' Vokker Flag: Address (city, street, post code): 6100 Red Wok Quarter 83 St, Thomas 00802 USVI U S. TIWEIN: 66-0629193 Provide a description of the entity's organizational structure, its ownership structure and Its Top Management. For trustsifoundations, include information about revocabdity,settlor and benefici nes,etc.: Jeffrey Epstein Is the sole shar holder of leepers Inc Please indicate how ownership of the legal entity is reflected: 1,000 shares of comma' stock are solely owned by Jeffrey Epstein O Special attention: Bearer Shares • Indicate where shares are custodled: Describe th«hain from the direct owner d the entity to the ultimate beneficial owner (if not the same pbsons) Jeffrey Epstein is the sot shareholder of Southern Trust Company, Inc 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 or services)'. Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: kepers Inc is a private company that holds investments of its twiner, Jeffrey Epstein. Counties where business is transacted: USA, USVI Number d employees: 3 Est Asset Under Mgt: J 3D. Wealth Profile (Oily lei art et requr iiiii source of wealth Gieccription at .^d card in Section 2) Primary Country of source d wealth/source of Funds' Primary Industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsrltabdtes): 3eepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began isqh 1,000 shares of <COMM stock at no par value. Its revenue comes from the gains of the Investments it holds. Estimated gross receipts ..(4): 400,000.00 Estimated N. 200,000.00 net proft (s): Estimated Investable assets ($): $20 MM - 50 MM Potential Amount to be invested with KM ($): 200,000.00 Other Know Financial Institutions: Institution: JP Morgan Chase Country USA Est. Assets Under Mgt 28,000,000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002531 EFTA_000 16005 EFTA00166757 KYC Print Page 6 of 10 Institution: Country: Est. Assets Let Mgt Imetutka: Country: Est. Assets Ueda Mgt Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002532 EFTA_000 16006 EFTA00166758 KYC Print Page 7 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rang Comment: Booking Center • C Offshore IF Moderate isk Gwen Hill J NY/ NY S High Risk Offshore (Compliance Signature) 0 Ce Employee 0 DB Managed PIC 0 DB Is Trustee/Co-Trustee D Bearer Shares 4. Attachment; A. Type r0 Photo ID Provided 2 Drtvers License 0 Passport 0 National/State ID 0 other for Checklist of names (indielduals and/or entries) that were submitted database searches is B. 1:4. Yes Elio attached C. Please indicate the results of the database searches performed RDC searches complete @ yes 0 No negative results found Dyes @ No KR checks complete 2 yes 0 No negative results found Oyes @ No OFAC CMOS Complete ni yes 0 No negative results found Ores 2 No BIS searches complete (Leds/Nexis, Facia, Reuters, Dow Jones, is gres 0 No negative results found 0 Yes 0 No Denial Ciders checks complete Ed Yes 0 No negative results found Oyes FA No MartindaleHubbel searched (Lawyerspaw Firms only) Oyes 15 No negative results found • yes 0 No Please summarize any negative resat from the database searches Indicated abort: JEFFREY EPSTEIN: Jeffrey as approved in KYC it0t062293 His PCR/RDC alerts and clearances and al documentation is contained in the above mentioned KYC D. JEEPERS, INC No Negative Media All court cases are not our client. The court cases refer to a _teepees Inc in Arizona and one in North Carols. Our client is based in the US Virgin Islands E. To the best of your knowledge, has the client ever been convicted of a criffinal offense' EA yes 0 No To the best of your knout/edge, has the customer ever been Involved In any past litigation against Deutsche Bank AG or any of its subsidiaries or Is the customer threatening litigation against F. Deutsche Bank AG or any of its subsidiaries? (N yes, provide *tails belcsv arid contact Qua/AyMgt. 0 Yes 2 No (tatknfine0 or the Rego/army Caner,/ Group and notify Compliancy immediately) Does the client or related party have arty financial or other association / interactions within G. Mirada or regimes sanctioned by the Office of Foreign Assets Control (OFAC)' 0 yes 2 No Does have financial interactions high the client or related party any or other association/ within risk o yes .5 No H H. countrks, I. Corporate Documentation Attached (Legal En es Only) 1r4 Yes • No 0 Not Appicable J. Undisckeed Principal Form Complete (Intermediaries Only) IN Yes II No t!I Not Applicable K. If Lexis/Nexh Search Results, Corporate Documents or Other Supporting Documentation es not in English, please provide an English summary of the nature/contents of the an-English Documentation: L Special Rik Factors Does the account have Nexus to Special MA Countries? Dyes EZNO is the account structure unusualy complex' 0 yes No Is there any indication the client set up a non operating company expressly 0 yes 2 No for the purpose of transferring shares to third parties' Is there any indication this could be a prohibited business relationship' Oyes n No CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SONY-0602533 EFTA_00016007 EFTA00166759 KYC Print Page 8 of 10 Are the bearer shares identified subject to acceptable controls' D Yes V blo Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002534 EFTA_000 16008 EFTA00166760 KYC Print Page 9 of 10 I 4o records to display. M. case Comments ONSHORE APPROVALS Client Facing Prifessional (CEP): Paul MOUS (S1gaatUre) Paul MIXII‘ 9/4/2013 Office Director/Business Head: Brian M. Biggar (Signature) Brian Fl. B•ggar 9/4/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) M.11 Comp' once Janice Farads, Gwen HA (Signature) Janice Rankin Gwen MI 9/6/2013 9/6/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team (lead rSM fT2O/Sub-Market Team Head TM): (Signature) MIL Business Risk: (Signature) Mt Ca* lance (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 Professionals!(i) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that! 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, (Went Managers, etc. Deutsche Bank Americas New York Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002535 EFTA_000 16009 EFTA00166761 KYC Print Page 10 of 10 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002536 EFTA_00016010 EFTA00166762