EFTA00166763.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case S : 01121946 One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP 00000433293 ecce4i, g Center. New York Relationship Manager: Paul MorM 0 New PWM Relationship 0 Existing PWM Relationshp Relationship to PWM: If edging, please indicate since when the relations p exists, provide reason for nev profile and attach old prcille: 0 Client Referral 0 RM Prospect 0 Intermediary/PIM 0 Other Source (CIB, etc.) How Was the Client(s) Introduced, How long has the RNI personalty known the client, please provide details (e.g. name of referral source, how many years RM personally has known dent, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account Introduction detais of Paul and kffrey: Jeffrey Epstein was a cent of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 3Phlorgari. Over the course of a few meetings Paul was able to get Jeffrey to bring some et his hinds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar 0 Yes I 2 No compensation to a third party for the introduction of this relatonshp, (II Yes, descnte, list all existing and new accounts involved in this reLabonship Legal Entity Account(s) Account Name / Number Opening Date (Intended/actual) 1 El The Haze Trust 9/18/2013 2 0 The Haze Trust 9/1812013 Who is the primary contact person for the RM, (Note: This person needs to have senator, rights and/or information right foe the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no.. fax no., e-mall address, etc.): Status : 6. Approved CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002537 EFTA_0001601 I EFTA00166763 KYC Print Page 2 of 12 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account Name: The Maze Trust Acct Number (I f avaibbie) 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)) Checkng account for The Haze Trusts daily liquidity needs. Indicate horn Mee the assets are expected to arrive) O DB Group: Same Booking Center (Indicate account number): O 06 Group: Other Booking Center (indicate DB location and account details): 66 Other Institution (Indicate name & location): P Morgan Chase. New York, NY El Phywal Deposits (specify cash, secudbes, cheques, ...): Vihat is the xpected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)). Roughs/ 5-10 inflows and outflows per month ranging from $1,000-$10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1 25°°° I Currency I OW what is the expected volume of assets and currency for the account approx. one year after opening, I 50000 I Currency i USD Dees/wit the client have Assets Under Management (Aunt) within DB under Ew. 3PI> !Mfrs 2 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 pastys relation to the account In the "Other" column. • Always describe the relationship between the paMes in the last column. • Please drill down to the utbmate/undedyng Beneficial Owner( ). _egal inbtyof Oescnptlon Source of Wealth required Parties related to this account AccountPIC Holder ISettior OwnerTrust/ of Founder of Foundation Jltimate Beneficialbr Owner Signatory Fun POA AmtteciFinancial ?OA IntermediarySharehoklerftepresentative (AM) Sswilhcant (>•2596) Non-PIC entity (Indicate ownership 7410) .egal tirantor/SeftkrioundngOther Donor 'parties) • (please descnbe other roles ndcate elabonshi petween 1 Ei the Naze Trust 0 O • • El O O O • 2 O O Damn wow n Li O O O ia O O O O O Trustee:; 3 O t0 Epstein O O E O O a . O O w CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002538 EFTA_00016012 EFTA00166764 KYC Print Page 3 of 12 2. Account Ownership Summary account Name' The Mare Trust Acct. Number (lavalafge) Account Manager: Paul Morris What is the purpose of the account (co. portfolio management, advisory account custody services, long-term investment payment/expense account), Money Market account for The Haze Trust to hold its cash. Indicate from where the assets are expected to arrive' El DB Group: Same Booking Center (indicate account number): E 06 Group: Other Booking Center (Indicate DB location and account details): Ea Other Institution (Indicate name & location): )PMorgan Chase. New York, NY O 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 s the expected volume of assets and currency for the account approx. 90 days after opening" 150.000 ICurrency I USD What's the expected volume of assets and currency for the account approx. one year after opening' 1150,000 I Currency I uSD Does/wit the client have Assets Under Management (AuM) within DB under Eur. 3M> 0 YeS 2 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). • f 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 dorm to the .Mmate/undeslyrg Beneficial Chimer( ). _egal Mayor Description Source of Wealth reputed Pastes related to this account AccounWIC Molder OwnerTnist tettlor of / Founder of Foundation Jitimate Beneficiabor 'wrier SignatcryirritedRnancial Ful POA VA IntemsechiryShareholder (FIN) Significant (>=25%) Non-PIC entity (indicate ownership %) -eget Representative Grantor/Setbafoundthg Donor Other (please describe other roles nd/a indicate elabonshi between turtles) 1 O O The Naze Trust 5 El II O O • O • O O 2 O O Darre n Inctyke ri '—' • O O 0 O O O O O Trustee:: 0 g Jeffrey Epstein n 1- 1 0 e 0 0 0 • • • • 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-0002539 EFTA_00016013 EFTA00166765 K YC Print Page 4 of 12 On. sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership.Summary 3A. Individual Details (for all parties) Indtvlduars Name: Jeffrey Epstein - 00000483289 Date of Bkth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of prvnary residence: Litte Sant lames Saint Thomas 00802 US Virgil Islands Has dent resided outtalk of his/her country of nationatty for 5 years or more? • yes la No Profession/Occupation: Self &Oohed Tax ID / WC Current Employer Southern Financial LLC Position/TIM/Rank: President Address of employer: 6100 Red Hook Quarter 83 St Thomas USVI 00802 Does the person work as senio executive of a 08-recognized regulated entity n the financial ndustry> or an entity listed on CB-recognised exchange> (Not applicable for operating reties Ores ga No Is the individual a Politically Exposed Person (PEP)'(/ Yes describe) Oyes El No To the best of your knowledge, is the individual related to an employee of the 08 group?(f Fanelyor Mends/WA describe) 0 Family 0 None in Friendship To the best of your knowledge, is the indndual party to a non-banking Sebald,* with Deutsche Bank (e.g., external legal counsel, client referral source, styptics d goods or servka)?(If Yes,descabe) OYes n No If appicabk, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client nitrate Domkile: Client Place of Business: Other Location (specify): Date: Paul Morris O 0 8/7/2013 • O O O O O O O Wealth Details for this individual are not filled in, because they are the same as for the folkiwing person: 38. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2) Nature of the Individuars Business: Private nvestments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds> Summarize Source of wearily 00ther V Business Owner O Salary/Eamings J Investment O Inhertance/Gifts Further Deurbe Source of Wealth /Detail the history of weath for each of the sources: (e.g. For busts, how did senior- accumulate wealth? For inheritance, how did family accumulate weath'For business ovmers, how long in business, how rainy employees, level of profitability' Indicate type of business, counties of major activities, important business partner.) Epstein began his financial career In 1976 as an cottons trader at Bear Steams and became a partnen n 1980. In 1982 Epstein founded his own financial management firm, I. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. Hs wealth has come from his days at Bear Stearns and his financial management firms Esbmated Annual Incorne(S): 10,000,000.00 Estimated amount of investable asseb(S): $50 MM - 100 Mal Esbmated Net Worth($): $100 WI - 500 MM Amount of assets planned to invest with Pnral(S): 200,000.00 Other Known Financial Insbtudons: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002540 EFTA_00016014 EFTA00166766 KYC Print Page 5 of 12 Institution. WMorgan Chase Country: USA Est Assets Under Mgt 23,000,000 DO Institution: Gauntly: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Please indcate the farm?), situation of the indrvidual (marital status, other famty members, etc.): Single 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-0002541 EFTA_00016015 EFTA00166767 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuars Name. Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of prtmary residence: Has client resided outside of h Es/her country of natIonalky for 5 years or mete? No El yes 'IA Profession/Occupation: Accountant Tax ID / 5511: Current Employer Southern Financial LLC Positlon/Title/Rank: Address of employer: 6100 Red Hook Quarter 83 St Thorns' USN 00802 Dees the person work as senior executive of a DB-recognized regulated entAy in the financial ndustre or an enbty listed on De-recognised exchange> (Not applicable for operating nutlet O yes W.! No Is the mdividual a Politically Exposed Person (PEP)'(/ Yes, describe) O yes 0 No To the best of your knowledge, is the individual related to an employee of the D8 group, (r/ Faint or FnencIsixA describe ) 0 Family 0 Friendship Ri None To the best of your knowledge, is the individual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc services)'at Yes, describe I O Yes iN No If applicable, indicate with bank officers have met the person: Indicate where and when the client meetthg(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Locabon (specify): Date: Paul Morris O O 0 9/6/2013 O ED O O O I__I O Wealth Debits 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 Individuals Business: Primary Country of source of wealth/source of Funds> Primary industry of source of Wealth/Source of Funds' Summarize Source of weal: O Business Owner O Salary/Eamings 00ther: i i i Investment O Inheritance/Gifts Further Descrte Source of We Ith /Detail the history of oath for each of the sources: (e.g. For trusts, how did settior accumulate wealth> For inheritance, how did family accumulate we Ith'For business owners, how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvities, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutor': Institution: Country: Est Assets Under Mgt: Insbtubon: Country-. Est Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002542 EFTA_00016016 EFTA00166768 KYC Print Page 7 of 12 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the eulNidual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) legal Entity Name: The Maze Trust - 00000486428 Type of Entry. 0 Company 0 Estate Purpose of Entity: 0 Private Investment • li Foundation/Association 121Trust Philanthropic/Charitable 0 Commercial O Partnership Type of Entity Other (specify). Purpose of Entity Other (specify): Country of Incorporation/registration: tinted States Virgin Islands Date of incorporation / registration: 2/9/1999 Volcker Status: Volcker Hag: Address (city, street, post code): 6100 Red Hook Quarter Et3 St Thomas 00802 USVI U.S. TIN/EIN: 13.7185414 Provide a description of the entity's organizatimal structure, Its ownership structure and Its Top Management For busts/foundations, include information about revocability,settfor and beneficLules,ett.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee O Special attention: Bearer Shares • Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same patron) Jeffrey Epstein: Grantor Darien 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 goods or senekes)≥: Yes • No El Describe Nature of Entity's Primary Business and Investment Activities Nature d the business: The trust was initially funded with $100. The bust makes and holds investements and the gains it makes from those investment is its source of revenue. The trust. in turn, puts these gains back into the trust and reinvests. Counties where business is transacted: USA, USVI 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 Funds' Primary Industry of source of Wealth/Source of Funds' Provide Evidence of Corporate Asset (e.g. balance sheet or equivalent summary of assets/liabdities): The bust was initially funded nth $100 from Jeffrey Epstein. The bust makes and holds investements and the gains it makes from those invesbnents is its source of revenue. The trust in turn, puts these gains back into the trust arid reinvest. Estimated gross receipts s(S): 300,000.00 Estimated net profit. (5): 200,000.00 Estimated Investable assets (S): 320 MM - SO PM Potential Amount to be Invested wti PWM (3): 200,000.00 Other Known Financial Institutions: Institution: I.IPPiorgan Chase I Country: I USA I Est. Assets Under Mgt: 123,000,000.00 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002543 EFTA_00016017 EFTA00166769 KYC Print Page 8 of 12 Canby: Est. Assets Under not Country: at. Assets Under Mot 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-0002544 EFTA_00016018 EFTA00166770 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Bookrig Center • 0 offshoce • Moderate 2 High Risk Janice Franklin ry .4 NY Y/ Offsiscre Risk (Compliance Signature) O 013 Managed PIC ri 043 is Trustee/Co-Trustee D Bearer Shares • DO Employee 4. Attachments A. Type of Photo ID Provided 74 Drivers License ZA. Passport • Nabonal/State ID O Other B. Checklist of names (individuals and/or entitles) that were submitted for database searches is attached 121Yes O No C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes • No negative results found O Yes l a No PCR checks complete 0 Yes O No negative results found 0 Yes O No OffiC checks complete 21 Yes OW negative results found O Yes 21No BIS searches complete (Lexis/Nexis, Feed.", Raters, Dow Jones, MI 2 Yes • No negative results found • YeS 0 No Denial Orders checks complete E?I Yes El No negative results found 0 Yes 21No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes trf No negative results found • Yes 0 No D. Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Please see KYC 01082293 for Jeffrey Epstein approval and for al Compliance approvals Darren Indyke: No Negative Media No Court Cases The Haze Trust E. To the best of your knowledge, has the client ever been convicted of a criminal offense' El yes 0 No F' To the best of your knowledge, has the customer ever been invoNed in any past 'booboo against Deutsche Bank AG or any of es subsidiaries or is the customer threatening Ilbgabon against • 2 No Deutsche Bank AG or any of its SUDO:Sada? (If Yes, Non* delete beksv and contact pally Yes Mgt. (Latilmant1) or me Regulatory Centtol Group and notary Conweance irmlediatey) G. Does the client or related party have any financial or other association / interact:Pin within by the Office Foreign Assets Control • Yes 0 No countries a regimes sanctioned of (OFAC)? H Does the client a related party have any financial or other assoc latiOn/ Interactionsvathin high risk countries? O Yes RI No I. Corporate Documentation Attached (Legal Entitles Only) IOUS O No • Not Applicable ./. Undisclosed Principal Form Complete (Intermediaries Only) ales O No 0 Not Applicable K. If Lexis/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' Ores 74 No Is the account structure unusually complex' O Yes No Is there any indication the client set up a non operating company for the transferring to third 0 Yes :..% No expressly purpose of shares parties' CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-00025415 EFTA_00016019 EFTA00166771 KYC Print Page 10 of 12 Is there any iwkation this could be a prohibited business relationship? O Yes No Are the bearer shares ldent%kd subject to acceptable controls? Dyes @No 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-0002546 EFTA_000 16020 EFTA00166772 KYC Print Page 11 of 12 M. Case Comments Created By Date Comments I Amanda Kirtry 9:9/113 5 13 PM Please s« KYC 01082293 for Jeffrey Epstein KYC approval and all due diligence, attachments and source el reams ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 9/5/2013 Cerise Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Ughtbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 9/10/2013 9/10/2013 LAVA/I/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head SMT14): (Signature) AML Business Risk: (Signature) AML Compliance: (Signatuie) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Rank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing Professionals)(!) (CFP's) should establish and maintain business relationships only with persons who sail* 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 ofCFP's to demonstrate that they know their client both at the inception ofa 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 dale. 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 P WM Americas Procedures and the PIVM Global KYC Policy 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-0002547 EFTA_00016021 EFTA00166773 KYC Print Page 12 of 12 (1) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Frothier Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002548 EFTA_00016022 EFTA00166774