EFTA00166887.pdf

KYC Print Page 1 of 11 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case * : 01161376 One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHW:0000O493290 Esser ing Center. New York Relationship Manager: Paul Monis 2 New PWM Relationship O Existing PWM Relationship Relationship to AVM: If edging, please indicate since when the relationship exists, provide reason for nev profile and attach otd profile: now Was the Oient(s) 0 Client Referral O RM Prospect O Interrnediary/FIM O Other Source (CIB, etc.) Introduced' :II: How long has the RN personally known the c t nt, etc.) Does Deutsche Bank pay. retrocession or similar Dyes I W No compensation to a tiled party for the Introduction cif fhb relabonsho7 pt Yes, desolbel. list all exisbng and new accou is involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 El _ -aril 12/16/2013 (J and Money Market 12/16/2013 Who d the primary to tact person for the Rtil> (Note: This person needs to h ye sgnatory rights and/or information right for the accounts.): Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : Approved https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. Is) DB-SDNT-0002661 EFTA_00016135 EFTA00166887 KYC Print Page 2 of I I One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: an. Acct. Number (davailaiwe) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolo man et_admory account custody services, long-term investment payment/expense account)) Checkng account for the daily use of and M Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (indicate DB location and account details): 66 Other Institution (Indicate name & location): 1PMorgan. New York El Physcal Deposils (specify cash, securities, cheques, ...): What is the xpected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)' Rough), 10 inflows and outfloivs per month ranging from $100 to $10,000 What Is the expected volume of assets and currency for the account approx. 90 days after opening' 1 10000 I Currency I USO What s the expected volume of assets and currency for the account approx. one year after opening' 1 10000 'Currency I USD Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M' ..L.) Yes IsA Pio 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 partys relation to the account In the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill dorm to the unsmate/underlyng Beneficial Owner(s). _egal inbtytif Description Source of Wealth required Parses *elated mes coua accounWIC Holder OwnerTrust Seen/ of / Founder of Foundation Jltimate Beneficialor Owner Sunatornimitedrinancial Full POA POA Intermediary (F1M) Bunrficant Sharehoklerftepresentabve ( > 25%) ion-PIC entity indicate YnneiShip A-.) -egal Grantor/Settlor Fou nthng :Anna( Other 'please describe 'User roles and/or nclicate elancriship en s r etvbeees) O El O O O Pi OO f-- El 2 O ~® ® a O • O a O O c E littps://dbforeepb.my.salesforce.conthervleeservlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. Be) DB-SDNY-0002662 EFTA_00016136 EFTA00166888 KYC Print Page 3 of I I 2. Amount Ownerahlp Summary Account Name: and - Money Market Acct Number Of ava.laYei Account Manager: Paul Morris What Is the purpose of the account (e.g. portfolio management, advisory account custody SCIVKCS, long-term investment payment/expense account)' money Market account to hold their Joint funds and earn interest Indicate from where the assets are expected to arrive, O DB Group: Same Booking Center (indicate account number): El DB Group: Other Booking Center (indicate DB location and account details): Ed Other Institution (Indicate name & location): )PMorgan. New York O Physical Deposit (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 1.3 Inflows and outflows per month ranging from $100 to $14000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1 10000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1 10000 'Currency I USD Does/wethe client have Assets Under Management (Awl) within DB under Eur. 3M' O yes 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 desc be the relationship of the party to this account (> Ian be selected). • f none of the check boxes apply, escribe 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 ulbrnate/underlyng Beneficial Owner(s). _egal Intitrof Descripti Source of Wealth reputed arbes kited this count accounWIC *older OvmerTrust Senior of / founder of foundation Jkimate Beneficialor Owner Signabornimitednancial Full POA POA 'Significant Intermediary (9M) iharehcaderktePresentabYe >=25%) ion-PlC entry indicate ownership k) egal Grantor/Settlorkunding Donor Other (Please describe other roles and/or nthcate elabonshp 5etween oodles) I • El (O O O N . ..1 O El D (7 El 2 ID RI zi OD O Ed OO O • O Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. Ike) DB-SONY-0002663 EFTA_00016137 EFTA00166889 KYC Print Page 4 of I I One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) IndMduars Name. Date of Birth: Country of Residence: Country of Citizenship: Address of ',ornery residence: Has client resided outside of his/her country of nallonalty for 5 years or riscre, Oyes 5 No Profession/Occupation: Tax ID / SSW Current Employer: Pose:Ion/Title/Rank: Address of employer: Does the person work as senio executive of a 08-recognized regulated entity in the financial ndustryi or an enbty listed on a CB-recognised exchange' (Not applicable for operating nutlet O yes Wino 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 D8 group"(W Faint or FnencIsixA describe ) 0 Family 0 Friendship RI None To the best of your knowledge, is the individual party to a non-banking relabcnshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'at Pas, desrnb e I N O Yes No If applicable, Satiate which bank officers have met the person: Indicate where and Wien the client meet4(s) took place: Bank Officer Name(s) Bank Office: Client Prtrate Domicile: Client Place of Business: Other locabon (specify): Date: Paul Morris O O 0 12/3/2013 O O O O O LI OWealth Debts for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: LIC Primary Country of source of wealth/source of Funds, Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 00ther: OBusiness Owner [0 Salary/Eamings i i i Investment O Inheritance/Gifts Further Deurbe Source of Wealth /Detail the history of weath how did family accumulate wealth'for business owners, how long Estmated Annual Income($): 150,000.00 for each of Me sources: (e.g. Far STUStS, how did settla accumulate In business, how many employees, level of profitability' Indicate Estmated amount of Investable assets(s): wealth' For inheritance, type of business <$1 MM Estimated Net Worth($): <S1 KM Amount of assets planned to invest wth PWM(S) 20,000.00 Other Known Flianclal Institutions: InsbtutIon: I JPHorgan Country. I USA 'Est. Assets Under Mgt: 160,000.00 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-0002664 EFTA_00016 138 EFTA00166890 KYC Print Page5ori i lnsbtubon: Country Est Assets Under Mgt Institution: Country: Est Assets Under Mgt Please indicate the family situabon of the individual (marital status. other family members, etc.)'. Manned to Karyna Shuliak Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0002665 EFTA_00016139 EFTA00166891 KYC Print Page • of 11 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 34. Individual Details (for all parties) Individuars Name. Date of Birth: Country of Residence: USA Country of Citizenship: Address ii prenary residence: Has dent resided outside of his/her country of nationalty for 5 years or mete? O yes 'IA No Profession/Occupation: Tax ID / 5511: Current Employer: N/A Position/Title/Rank: N/A Address of employer: Does the person work as senio executive of a CO-recognized regulated entity in the financial ndustry' or an enbty listed on a 0B-recognised exchange' (Not applicable for operating nutlet Li Yes WiNo Is the ndividual a Politically Exposed Person (PEP)'(/ Yes, describe) O Yes S6 No To the best of your knowledge, is the Individual related to an employee of the D8 group/(r/ Faint or (nenCsmA describe ) 0 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)'at Yes, describe) O Yes r./ No If applicable, indicate which bank officers have met the Person: Indicate where and Wien the client meet:4(s) took place: Bank Officer Name(s) Bank Office: Client PrNate Domicile: Client Place of Business: Other locabon (specify): Date: Paul Morris O O 0 12/3/2013 O O O El O u OWealfh Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbes requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Student Primary Country of source of wealth/source of Funds, Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner O Salary/Eamings ElOther: il Investment O Inheritance/Gifts Further Descrte now did family countries of major Source of We accumulate we acbvitles, important Incorne(f): Rh /Detail the history of weath Ith7for business owners, business partners.) for each of the sources: (e.g. For trusts, how did senior accumulate wealth, For inheritance, h I ill 7 n Estmated amount of investable assets($): <$1 Pim Estimated Annual Estimated Net WortMS): Amount of assets planned to invest with PWH(S): Other Known Financial Institutor': Institution: Country. Est Assets Under Mgt Insbtubon: I Country. Est Assets Under Mgt. Imps://dbforcepb.my.salesforce.com/servleeservlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. Be) DB-SDNY-0002666 EFTA_00016140 EFTA00166892 KYC Print Page 7 of I 1 Institution: Country: Est. Assets Under Mgt Please indicate the family slbabon of the rdIvidual (marital flatus, other (amity members, etc.): • hups://dbforeepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0002667 EFfA_00O16141 EFTA00166893 KYC Print Page 8 of 11 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART' Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center NY/Offshore C Offshore Risk °Moderate 2 High Risk ry ..I NY (Compliance Signature) O DB Employee O DB Managed PIC 7 DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 74 Drivers License • Passport • Nabonalffitate ID O Other I Checklist of names (individuals and/cr entities) that were submitted for database searches is attached • YeS LT. No C. Please Indicate the results ci the database searches performed RDC searches complete 2 Yes • No negative results found O Yes la No PCR checks complete El Yes O No negative results found O Yes ®No OfAC checks complete ®Yes O No negative results found O Yes ®No BIS searches cornpkte (Lexis/Nexis, Factla, Reuters, Dow Jones, MI Ores • No negative results found • Yes 0 No Denial Orders checks complete RI Yes Duo negative results found 0 Yes 0 No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 yes E No negative results found • Yes 0 No Please summarize any negative results from the database searches indicated above: No Negative Media No Court Cases D. No Negative MIIIIIa No Court Cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? O Yes Ea No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of es subsidiaries or is the customer threatening Itigabon against F. O Yes @No Deutsche Bank AG or any of its subsidianes? (If Yes, provide dela& belay and contact Geary MO. (LatAmantVor the Regulatory Control Group and notify Compeance hwed4tely) Does the client or related party have any financial or other association / interactions within • @No G' countries or regimes sanctioned by the Office of Foreign Assets Control (MAC), Yes H. Does the client or related party have any flnaxial or other associabon/ interactions within high • yes E No risk countries' I. Corporate Documentation Attached (Legal Entitks Only) Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes 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 or the nature/contents of the non-English Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Countries> 0 Yes 2 No Is the account structure unusually complex> O Yes LTA No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SDNY-0002668 EFTA_000 16142 EFTA00166894 KYC Print Page 9 of 11 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? Oyes No Oyes Ono Me the bearer shares kkribfied subject to acceptable controls? Dyes IRINo Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0002669 EFTA_00016143 EFTA00166895 KYC Print Page 10 of 11 M. Case Comments Created By Date Comments Janice Franklin t *tsa Venegas 12/13/113 1 27 PM Please see KYC 1082293 for informabon regarding Mr. Epstein, a current PB 12/13/113 12:39 AM ONSHORE APPROVALS Client Facing Professional (CFP): Paul Monn •;Slgnatire) aaul Morris 12/10/2013 Office Ditector/Business Head: Brian M. Biggar ;Signature) Brian M. Biggar 12/10/2013 Regional Office Director (Signature) NIL Business Risk: Melsa Veneto, (Signature) MOW Venegas 12/13/2013 NIL Compliance: J Rankle, o/b/o J. Lghtbody ($ .nature) .1 Franklin (AV° 3. Lghtbody 12 13 22;13 LATAM/INTERNATIONAL APPROVALS Cl ient Fac rig Preessional (CEP) (Signature) Account Manager. (Signature) Global Market Team mead (GAITI-1)/Sub-Market Team Mead (SMTN): (Signature) NIL Business Risk. (Signature) NIL Compliance (SrinAturt) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT,• Deutsche Rank Private Wealth Management (I> WM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals! (1) (CFP's)should establish and maintain business relationships only with persons who satisfy ono• high standards of suitability. background and character. Due diligence obtained on the client must be appropriately doc-umented 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 littps://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. Be) DB-SDNY-0002670 EFTA_000 16144 EFTA00166896 KYC Print Page I I of I I unethical activities on the pan 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. Client Managers, etc. Deutsche Bank Americas New York rA https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. Ike) DB-SDNY-0002671 EFTA_00016145 EFTA00166897