EFTA00166849.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case a : 01141315 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Booking Center: New York Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Relationship Manager: Paul Marls 11 New PWM Relabonship 0 Existing PWM Relationship Relationship to MN: If existing, please indicate since when the relationship exists, provide reason for new profit and attach dd profile: Update of approved KYC 01121881. Update is ONLY to add addend authorized signer. Many Biller has already been KYC approved is case a01133624. Please rush as this is a simple update 0 Chent Referral R RM Prospect 0 Intermediary/PIM • Other Source (CIS, etc.) How Was the Client(s) Introduced' How long has the RM personally known the client' Please provide details (e.g. name of referral source, ow many years RN personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paurs at JP Magan. Paul and Jeffrey Epstein had mutual friend/colleague who introduced them vAlle Paul was at JPMorgan. Over the course d a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar O Yes I 0 No compensation to a third party for the ntreducton of this relationship> al Yet, decnbel List all existing and new accounts involved in this relationship Legal Entity Accounts) Account Name / Number Opening Date (ntenckdiactual) 1 2I Jeepers Inc 9/18/2013 2 a Jeepers Inc 9/18/2013 Who Is the primary contact person a the PM> (Note: TM; person needs to have signatory Nit and/or informaton right for the accounts.): Jeffrey Epstein (iodic rveferred method of contact (indicate phone no„ fax no., e-mail address, etc.): https://dbforeepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002623 EFTA_000 16097 EFTA00166849 KYC Print Page 2 ()I' 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: lepers Inc Acct. Number (a i swailattle): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term invesbnent, payment/expense account)? Checkhg account for letters Inc day liquiddy needs. Indicate from where the assets are expected to arrive? • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account debits): RI Other Institution (Indicate name & location): 1PSIorgan Chase New York NY O 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)?: Roue* 5-10 Inflows 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 aft& opening? I 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 (Aual) within 08 under En 3M? I 0 Yes 7.4. 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/u denying Benefkia Owner(s . .egal Entity liPtion of Source of Wealth required Parties related to this Account 'holder IC Dvniertrust Senior of / Founder of Foundation Athlete Beneficial& Owner Sgnatonna Full POA ?OA rancor IntennediaryShareholdergepresentathe (FIN) Significant >=25%) Yco-PIC entity (Indicate ownership 20) _eget antor/Settior Founding Donor Other (please describe other roles and/or ndicate relationship between 3arties) 1 2 0 IncperS, I 0 O O El O O O O O O 2 0 Ed keriev Epstein " " 0 K O 0 O O O 0 0 3 • • Harry Beller O O O O 21 O O O O • 0 O O Jeanne Brennan • O • O O OO O O 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-0002624 EFTA_000 16098 EFTA00166850 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (If avadate): 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' C3 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indkate DB location and account deb's): 2 Other Institution (Indicate name A location): 1f+lorgan 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-$10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' I 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 Asset 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 ch ck 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 I Wealth required Parties related to this account accountbIC colder OvnierTrust Senior of / lounder of Foundation Jitimate Benenciaax Owner Signatory‘imftedeinancial Full POA ?OA IntemiediarySharelidderetepresaitathe (FIN) Sgnifcant '>=2S9b) Yon-PIC entity 'ndicate ownership "b) _egai Srantor/Settlor Founding Donor Other (please describe other roles and/or othcate relabonshki between >etas) 1 2 2 3 " Pent Bic l2 O O O O O O O O O 2 O 5 Whey Epstein r-i " O O O 5 O O O O O 3 • • Bel ler • • O O 2 • • O O O 4 LI O a Bre Mnner-I nnan '—' OO O 9 El O O O O https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002625 EFTA_00016099 EFTA00166851 KYC Print Page 4 of 14 One sheet must be teabli‘hed for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (rot at pait e,.) Individual's Name: Jeffrey Epstein - Date of Birth: 1/20/1953 Country of Residence: USW County of Obzenship: USA Address of primary residence: tette Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of Ns/her country of nationality kr S years a more? O yes ®rye ProfessionfOccupabon: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Trtle/Rank: President Address of employer: 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 entitles r--, L..I Yes Z No Is the individual a Polibcally Exposed Person (PEPP(// Yes, cksente) O Yes No Pi To the best of your knovdedge, FM* Friendshs describe) Is the individual related to an employee of the D8 group' Of 0 Family 0 Friendship 2 Nene or 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 source, suppler of goods or senrkes)'(ar Yes,thrsarbe) • Yes Ei No If applicable, indicate which bank officers have met the person: Indicate where and %glen the client meetng(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Client Place of Business: Other Location (seedy): Date: Paul Monis O 0 80/2013 • O D O 0 D ii 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 Individual's Business: Private hn 4buenta 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 investment 0 Inheritance/Gifts 0 Other: Further Describe Source of Wealth /Detail the history of marsh 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 inkier 'Mutes, inportant 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 & Co., managing the assets of clients with more than a biluon 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. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. its wealth has come from hit days at Bear Steams and his financial management firms Estimated Annual Income(i): 10,000,000.00 Estimated amount of investable assels($): S50 MM - 100 MM Estimated Net Worth(i): $100 MM • SOO MM Anodic of assets planned to invest with PV/P1($): Other Known Financial Institutions: Institution: JPMorgan Chase Country: USA Est Assets Under Mgt: 20,000,000.00 https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002626 EFTA_000 1 6100 EFTA00166852 KYC Print Page 5 of 14 Institution: Country: Est Asset Under Mgt: Institution: Counby: Eu Asset Under Mgt: Please indicate the lam?), situation of the individual (marital status, other family 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-SIDNY-0002627 EFTA_000I6101 EFTA00166853 KYC Print Page o of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduars Name: Harry Beller - Date of Birth. Country of Residence: USA Country d CAtenshlp: USA Address of primary residence: Has client resided outside of Ns/her county of nabonality for S years or more El yes ®No Profession/Occupabon: Accountant Tax ID / SSN: Current Employer HBRK Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial riclustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entities r--i L...t Yes Z No Is the individual a Politically Exposed Person (PEP)>(dYes, cksente) Oyes NO O To the best of your knovAedge, FM* Friendshs describe) Is Me Individual related to an employee of the DB group'(d 0 Family 0 Hie:mist* 2 None or To the best of your knowaedge, 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 Ei If applicable, indicate itch bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris gi O 10/21/2013 • O El • 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 IndlVduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 0Business owner 0Salary/Earnings 0 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or 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($): Amount of assets planned to invest with PWTI($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: County: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SDNY-0002628 EFTA_00016102 EFTA00166854 KYC Print Page 7 of 14 Please indicate the family sltuabas of the individual (manta, status, other family members, etc.): 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-0002629 EFTA_00016103 EFTA00166855 KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan - Date of Birth. Country of Residence: USVI Country d Citizenship: USVI Address of primary residence: Has client resided outside of Ns/her county of nationality far S years or more' El yes ®No Profession/Occupabon: Finance Tax ID / SSN: Current Employer Southern Rnancial, LLC Position/Title/Rank: Address of employer: 6100 Red Hock Quarter, B3 St Thomas USVI 00802 Does the person work as senor executive of a DRrecognized regulated entity in the financial ridustry, or an entity Isted on DB-recognised exchange' (Not applicable for operating entitles r--i Li Yes Z No Is the individual a Politically Exposed Person (PEP)>(dYes, cksente) Oyes No Pi To the best of your knoMedge, FM* Friendshs describe) Is Me individual related to an employee of the D8 group'(f 0 Family 0 Frierxkhip 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,thrsarbe) No • Yes Ei If applicable, indicate itch bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Placed Business: Other Location (specify): Date: O O • O o • ID El a 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 IndlVduars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Summarize Source of Wealth: 0Business owner 0 salary/Earnings 0 Investment 0 Inheritance/Gifts 0 Other: Further Describe Source d Wealth /Detail the history of wealth or 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($): Amount of assets planned to invest with PWTI($): Other Known Enamel Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt Institution: Country: Est Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002630 EFTA 00016104 EFTA00166856 KYC Print Page 9 of 14 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY In Seddon 2. Account Summa 3C. Legal Entity Details (For al Legal EntItks) Legal Entity Name: Jeepers, Inc - Type of Entity: 0 Foundation/Association El Trust RI Company 0 Estate 0 Partnership Purpose of Entity: R1Private Investment • phunguppic/charaabk 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): County of incorporabon/registrabon: United States Virgin Island Date of ratisi incorpo re b gistra on: / 8/18/2003 Vokker Status: Vokker tug: Address (city, street, post code): 6100 Red Hook Quarter 83 St, Thomas 0(802 USVI US. TIN/EIN: Provide a description of the entity's renxability,settlor and benefici Jeffrey Epstein is the sole char organizational structure, its ries.etc.: holder ownership structure and its Top Management For trusts/foundatIons, include information about of Jeepers Inc Please Indicate how ownership of the legal entity is reflected: Shares - Indicate inhere shares are custodied: • Special attention: Bearer Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (i/not me same persona To the best of your knowledge, h the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client r *nal source, supplier of goods or services)? yes U — No Fa Describe Nabre of Entity's Primary Business and Imrestment Activities Nature of the business: Jeepers Inc Is a private company that holds Investments of Its owner, Jeffrey Epstein. Countries where business Is transacted: USA, USVI Number of employees: 3 I 3D. Wealth Profile (Only for parties requiring source of wealth descripbon as indicated in Section 2) Primary County 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 assets/liabilhes): /tapers Inc was started to hold the personal Investments of Jeffrey Epstein. The company began with 2,000 shares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.(5): 400,000.00 200,000.00 Estimated net profit pa. ($): Estimated Investable assets ($): $20 MM - 50 MM Potential Amount to be invested with MUM (5): 200,000.00 Other Known Fruncial Instttutions: Institution: JP Morgan Chase County: USA Est. Assets Under Mgt 28,000,000.00 Institution: Country: Est. Assets Under Mgt Institution: County: Est. Assets Under Mgt https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002631 EFTA_00016105 EFTA00166857 KYC Print Page 10 of 14 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-0002632 EFTA_000 16106 EFTA00166858 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comment: Booking Center • C Offshore IF "r4ente isk Michael Vila 5 NY 5 High Risk NY/ Offshore (Compliance Signature) CI DB Employee ON Managed PIC O DB is Trustee/CO-Trustee • Bearer Shares 4. AttadwrieMs A. Type of Photo ID Provided EZDthers License O Passport O Nabonal/State ID O Other B. for Checklist of names (indtricluals and/or entries) that were submitted database searches is J Yes • No attached C. Please indicate the results of the database searches performed ROC searches complete 2 Yes 0 No negative results found Dyes 2 reo PCR checks complete 21Yes O No negative results found Oyes @ No OFAC checks complete n Yes • No negative results found Oyes 2 No BIS searches complete (Lees/Nexls, Factra, Reuters, Dow Jones, D&B) izi yes O No negative results found • Yes 0 No Denial Ciders checks complete WI Yes I: No negative results found Oyes 0 No MartindaleHubbel searched (Leverets/Law Firms only) 0 Yes 5 No negative results found • yes 0 No D. Please summarize any negative results from the database searches indicated abort: HARRY BELLER: KYC approved In case 801133624 JEANNE BRENNAN: No Never.* media No Cowl Cases JEFFREY EPSTEIN: Jeffrey was approved in KYC 801062233 His PCR/ROC alerts and clearances and al documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media MI court cases are not our dent. The court cases refer to a _teepees Inc in Arizona and one in North Carolina. Our client Is based wi the US Viten Islands E. To the best of your knowledge, has the client ever been convicted of a seminal offense' @Yes 0 No F. To the best of your knovAedge, has the customer ever been involved In any past 'Usher, against Deutuhe Bank AG or any of Its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of ha subsidiaries? (77 Yes, provide details below and contact pearfrigt Ores Web fiatemfirrt7)or the Reprdatwy Control Prop and natty Compiacer in ) G. Does Brent have financial interactions the or related party any or other association / within by the Pike Foreign Assets Control O Yes n No countries or regimes sanctioned of (OFAC), H. Does the dent or related party have any financial or other association/ interactions within high risk D yes 2 No ccuntries> I. Corporate Documentation Attached (Legal Entities Only) RI Yes • No O Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 5 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summory of the nature/contents of the non-English Documentation: 1- Special Risk Factors Does the account have Nexus to Special Risk Countries> El ves Elmo https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002633 EFTA_00016107 EFTA00166859 KYC Print Page 12 of 14 Is the account structure unusually complex' ❑Yes No Is there any indicabcn the client set up a non operating company expressly for the purpose of transferring shares to third pates', K Yes E No Is that any indkabcn this could be a prohibited business relationship' ❑yes Esse Are the bearer shares identified subject to acceptable controls' ❑Yes gNo Imps://dbforcepb.my.salesforce.com/serylet/serylet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002634 EFTA_00016108 EFTA00166860 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Acquaint Lighttody 10/29/113 1:38 PM There Is no change in the r6k rang for this update. Therefore, a new risk calculator not required. ONSHORE APPROVALS Client Facing Professional (CFP). Paul Morris (Signature) Paul Morris 10/24/2013 Office DrectoriBusiness Head: Brian M. Biggar /Brian (Signature) M. Biggar 10/24/2013 Regional Office Director: (Signature) All Business Risk: (Signature) NIL Compliance: Jacqueline Ughtbody Michael Vila (Signature) Jacqueline Laghtbody Michael Vila 10/29/2013 10/29/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head i(GliTTH)/Subialarket Team Head 'Sarni): (Signature) Alit Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. lb do so, Client Facing Professionalsl( I) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitabllity, 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 simpletons relating to the money laundering or unethical activities on the pan of the clients) and that! have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the NMGlobal 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-SONY-0002635 EFTA_000 16109 EFTA00166861 KYC Print Page 14 of 14 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Of ficen, Brokers, Client Managers. etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/serviet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNT-0002636 EFTA_00016110 EFTA00166862