EFTA00166875.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case Y : 02.147850 Status : 6. Approved One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP I Eccki-g Center. I New York Relationship Manager: Paul Morro O New PWM Relationship ID Existing PWM ReLationshp Relationship to AVM: If costing, please indiCate since when the relations p exists, provide reason for nev profile and attach old profile: O Client Referral 10 RM Prospect ll O Intermechary/FIM I O Other Source (as, etc.) now Was the Client(s) Introduced, How long has the RH personally 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 debts of Paul and Jeffrey: Jeffrey Epstein was a c lent of Poufs at JP Morgan. Paul arid Jeffrey Epstein had a mutual friend/colleague who Introduced them while Paul was at JPMorgan. Over the course of 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 RI No compensation to a third party for the introduction ti this relationship, (If Yes, clesenbey. tint all existing and new accou is nvolved in this reLabonship Legal Entity Account(s) Account Name / Number Openng Date (intended/actual) 1 M Mort, Inc 11/12/2013 2 WI Mort, Inc — Money Market 11/12/2013 patio is the primary contact person for the Rali (Note: This person needs to have sgnatory tights and/or information right far the accounts.): Harry Beller Preferred method of contact (indicate phone no., fax no., e-mall address, etc.): 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-0002649 EFTA _00016123 EFTA00166875 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownersti p Summary Account Name. mon, Inc Acct. Number (davadablel Account Manager: Paul Moan What is the purpose of the account (e.g. portfolio management, advisory account custody services, long-term investment payment/expense account)) Checkng account to hold assets for the company. Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (Indicate account number): 0 Ds Group: Other Booking Center (Indicate DB locaben and account details): 66 Other Institution (Indicate name & location): IPMorgan. New York El Physcal Deposils (specify cash, securities, cheques, ...): What h the xpected she and frequency of regular inflows and outflmvs for the account (indicate estimated number and volume per month)' Pouchy 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 after opening' 150000 I Currency I LW what is the expected volute of assets and currency for the account approx. one year after opening' 150000 I Currency I LSD Does/wi the client have Assets Under Management (AuM) within DB under Ew. 3Pl' U yes M 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 (> I 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 parties in the last column. • Please drill down to the ultsmate/underlyng Beneficial Owner( ). _egal inbtyof Oescnption Source of Wealth required Parties related to this account AccountPIC Molder iSettior OwnerTrust of / Founder of Foundation itimate Beneficialkor Owner SignatayAmtteciFinancial Fun POA ?OA IntermediarySharehoklertepresentative (AM) Sagrolicant (>•2596) Non-PIC entity (indicate ownership %) .egal trrantor/SeftkrioundngOther Donor please descnbe other roles na.cate elationsh between "ernes) I O O Haul Beller n O O O El DO O O O 2 5 21 bi Mort B O O O •I O O O O O 3 glI 5 Jeffrey Deb* r—i " DO El 2) 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-0002650 EFTA_00016124 EFTA00166876 KYC Print Page 3 of 12 2. Account Ownership Summary account Name' Mort, Inc — Money Market Acct. Number (1 ava.,:ablet Account Manager: Paul Moms l'.'hat is the purpose of the account (eg. portfolio management. advisory account, custody services, long-temp investment, payment/expense a« ount), Money Market account to hold assets for the company and to earn interest. Indicate from where the asseh are expected to arrive' El DB Group: Same Booking Center (indicate account number): Li 06 Group: Other Booking Center (indicate 06 location and account details): E./.1 Other Institution (Indicate name & location): )PMorgan, New York O Physical Deposits (specify cash, securities, cheques, -.): What is the expected she and frequency of regu/ar mflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1.3 inflows and outflows per month ranging from $1000 to $10,000 What s the expected volume of assets and currency for the account approx. 90 days after opening' 150000 I Currency I USO What's the expected volume of assets and currency for the account approx. one year after opening' 150000 I Currency I USD Does/war the client have Assets Under Management (Aura) within DB under Eur. 3M' Oyes 5 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 relationsHp of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill dorm to the ultimate/ nderlying Beneficial Owner( ). _egal Mayor Description Source of Wealth reputed Parties related to this account AccounWIC Molder Ownertnat tettlor of / Founder of Foundation Jltimate Beneficiabor Teter SignatcryirritedRnancial Ful POA ADA IrdemsecharyShareholder (FIN) Significant (>=25%) Non-PIC entity (indicate ownership %) -eget Representative Grantor/Sethcrfoundng Donor Other (please describe other roles and/cc militate relationship between wales) 1 2 2 mon. Ex 2 0 0 o • a • • D • 2 E] l: HanY Beller O • O O lifi O • O O O 3 O El Jeffrey Epstein ,—, ,--i O O O 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-0002651 EFTA_00016125 EFTA00166877 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownershi Sunrise 3A. Individual Details (for all parties) Individuars Name: Jeffrey Epstein - Date of Birth Country of Residence: USVI Country of Citizenship: USA Address of primary residence Lae Sant lames Saint Thomas 00802 US Virgo Islands HIS client resided outside of his/her country of natiOnalky for 5 years or mete? O yes ?allo Profession/Occupation: Self Empotyed Tax ID / 5511: Current Employer Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as senior executive of a DO-recogntzed regulated entity in the financial nclustre or an entity listed on DB-recognised exchange? (Not applkable for operating nutlet L..) yes 0 No Is the individual 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 08 group, (if Fn)' or FnencIsixA describe ) 0 Family 0 Friendship eg PICO! 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 or services)'() Yes, descnb e I O Yes rA No If applicable, indicate which bank celkers have met the person: Indkate where and when the client meet ig(s) took place: Bank Officer Name(s) Bank Office Client Prtrate cile. Client Place of Other Locabon (specify): Date: Paul Morris O O 0 10/22/3)13 O O O K O u OWealth 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 Individual's Business: Prwate investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Weakly E Business Owner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Dictate Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how did settlor &cumulate 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.) Epstein began It financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of clients with mere than a billion in net north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management kiwis Estimated Annual Income(S) 10,000,000.00 Estenated amount of investable asseD(S): $50 Mil • 100 MM Estimated Net Worth(S): $100 MM • 500 Mil Amount of assets planned to invest well FiWil(S): Other Known Financial Institutions: 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-0002652 EFTA_00016126 EFTA00166878 KYC Print Page 5 of 12 Institution: Country: Est Assets Under Mgt: 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.): 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-0002653 EFTA_00016127 EFTA00166879 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account ownstship Summa 3A. Individual Details (for all parties) Individual's Name. Harry Belk: - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of pnrnary residence: Has dent resided outside of his/her country of natIOnalty for 5 years or mere? No El yes Ifs Profession/Occupation: Accountant Tax ID / SSW Current Employer KIRK Associates, Inc Position/Mk/Rank: Address of employer: 575 Lexington Avenue, 4th Floor Monsey NY USA 10022 Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry' or an entity listed on Cie-recognised exchange' (Not applicable for operating nutlet O yes Wi 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 DB groupt(rt Faint or (nencIsixA describe ) D Family 0 Friendship Ri None To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'af Yes, describe) O Yes rA No If applicable, indicate with bank officers have met the person: Indicate where and when the client meet:4(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 11/4/2013 O El O O O u El Wealth Debin 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: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Weakly OBusiness Owner O Salary/Eamings 00ther i i i Investment O Inheritance/Gifts Further Descrte Source of We MI /Detail the history of swath for each of the sources: (e.g. For trusts, how did settla 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 acbvitles, 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 Institutions: Institution: Country: Est Assets Under Mgt: Insbtubon: Country-. Est Assets Under Mgt Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-000265a EFTA_000 16128 EFTA00166880 KYC Print Page 7 of 12 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (market status, other Varney members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Enbtles) Legal (nifty Name: Mat, Inc Type of Enbly. OFoundation/Association O Trust RI Company O Estate O ParthersNp Purpose of Entity: ®Private Investment • PhiLinthropic/Charitable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorpoatkn/registrabon: UM 4/12/2011 Dated Incorporation / registration: Vokker Status: Volcker Flag: Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI US. TIN/IEIN: Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundations, include information about revocability,setbor and benefIciaries,ett.: Corporation with 1000 Issued. Al issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please indicate how ownership of the legal entity is reflected: Corporation with 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. 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 (m of We same persens,A Corporation with 1000 Issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. 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 setykes)s: Yes O No 21 Describe Nature of Entity's Primary Business and Investment Activities Nature of the buuness: Investment holding company. A private company that b to hold investements that the sole owner, Jeffrey, would lace to keep separate from other Investments Countries where business is transacted: UM Number of employees: 2 30. 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 Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Capital contribution of $1000 from Jeffrey Epstein Estimated gross receipts p.a.($): Estimated net profit p.a. (5): Estimated investable assets (5): <51 MM Potential Amount to be Invested with PWM (Sy 100,000.00 Other Known Francial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: I 100,000.00 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) DS-SDNY-0002655 EFTA_00016129 EFTA00166881 KYC Print Page 8 of 12 Institution: County: Est Assets Under Mgt I 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-0002656 EFTA_00016130 EFTA00166882 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name SOUTHERN FINANCIAL. RELATIONSHIP Risk Rating Comments: Booking Center N Y/Offshcce C Offshoot IP Moderate isk Hill Fr .4 NY J High Risk ithven (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided ni Drivers License 74 passport • Nabonal/State ID O Other B. Checklist for of names (Individuals and/or entitles) that were submitted database searches is - Yes O No *lathed C. Please Indicate the results cf the database searches performed RDC searches complete 2 Yes • No negative results found 2 Yes Ow PCR checks complete 2 Yes O No negative results found 0 Yes O No OFAC checks complete 2 Yes O No negative resters found O Yes WI No BIS searches complete (Lem/Nous, Facet.", Reuters, Dow Jones, DBE) 2 Yes . No negative resuRs found • Yes 2 No Denial Orders checks complete L'A Yes M No negative results found M Yes IA No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes ENO negative results found • Yes 0 No D. Please summarize any negative results from the database searches hdkated above: JEFFREY EPSTEIN: KYC Approved and al pertaining documents In case 9:1121718 and 01082293 HARRY BELLER: KYC approved in case a:01133377 and 01133624 MORT INC: All negative media does not pular to our client. MI court cases do not pertain to our client E. To the best of your lowwledge, has the client ever been convicted of a criminal offense? R Yes 0 No F. To the best of your knowledge, has the customer ever been involved in any past Itigabon agent Deutsche Bank AG or any of Rs subsidiaries or is the customer threatening litigation against bs O Yes 2 No Deutsche Bank AG or any of es subsidiaries? (// yes, provide delads below end contact Quelfy Met. (LOAM/Inn) or the Regulatory Control Group and nobly Compliance immediately) G. financial Does the client or related party have any or other association / interactions within • Yes 2 No by Foreign Assets countries or regimes sanctioned the Office of Control (OFAC)? H. financial Does the client or related party have any or other associabon/ interactions within high yes 2 No risk countries? I. Corporate Documentation Attached (Legal EntRies Only) 74 Yes El No • Not Applicable J. Undisclosed Principal Form Complete (IMermedia ries Only) • Yes O No Not Applicable K. U Leds/Nexis Search Results, Corporate Documents or Other Supporting Documentation b not In English, pease provide an English summary ci the nature/contents of the non-English Documentation: L Special Risk Factors Does the account have News to Special Risk Countries! 0 Yes 2 No Is the account structure unusually complex? IN Yes No • Yes 7.4 No 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-0002657 EFTA_00016131 EFTA00166883 KYC Print Page 10 of 12 Is there any indication the client set up a non operating occipany expressly for the purpose of transferring shares to third patties' Is there any bxlicabon this could be a prohibited business relationship? K yes He Me the bearer shares kkribfied subject to acceptable controls> ❑Yes No 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-0002658 EFTA_00016132 EFTA00166884 KYC Print Page 11 of 12 M. Casa Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Signature) Paul Morris 11/5/2013 0 nte Director/Business Head: Brian M Biggar ;Signature) Brian M. Biggar 11/5/2013 Regional Office Director: 'Signature) NIL Business Risk: (Signature) AML Compliance: Janice Franklin Gwen Hill (Signature) Janice Franklin Gwen Hill 11/12/2013 11/12/2O13 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CEP): (Signature) Account Manager. (Signature) Global Market Team Head FGHTH),Sub-Market Team Head SIITH) (Signature) AML Business Risk (Signature) ANL Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(I) (CEP is)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 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 date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan 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 (CPT's) include: Relationship Managers. Wealth Advisors. &Mg? Officers. Brokers. Client Managers, etc. t https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002659 EFTA_00016133 EFTA00166885 KYC Print Page 12 of 12 Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002660 EFTA_00016134 EFTA00166886