EFTA00166918.pdf

KYC Print Page 1 of 16 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case : 01195134 Rata:CAppmved One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relabooship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000 Booking Center: New York Relabooshp Manager: Paul Maris 0 New PVW4 Relationship WI Existing PWM Relationship Relatonship to PWM: If exisbng, please indicate since when the relationship exists, provide reason for new prone and attach old profile: Update of approved KYC 01121881. Update is ONLY to add Darren Indyke as an authorized signer. Darren has been approved in KYC *1133377 0 Client Referral El RM Prospect 0 Intermethary/FIM 0 Other Source (CIB, 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 RM 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 Paufs at JP Morgan. Paul and Jeffrey Epstein had mutual friend/colleague who introduced them vkie 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 a similar 0 Yes I n No compensation to a third party for the introduction of this relationship' (if Yet, &sate). List all existing and new accounts involved in thts relationship Legal Entity Accounts) Account Name / Number Opening Date (intended; actual) I 2I Jeepers Inc 9/18/2013 2 a lepers Inc 9/18/2013 Who Is the primary contact person a the RM' (Note: The person needs to have signatory rig and/or information right fa the accounts.): Jeffrey Epstein d (indica Preferrete p method hone of contact no., fax no., e-mail address, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-0002692 EFTA_00016166 EFTA00166918 KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: leepers 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): Eil Other Institution (Indicate name & location): JPSIorgan 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 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 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 Bur. 3M? I El 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/is denying Benefkia Owner(s . egal Entity ripton of Source of Wealth -equired Parties -elated to this account 'holder IC Dvniertrust Senior of / Founder of Foundation Jltimate Beneficial& Owner Signatory. 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/ot ndkate relationship between 3arties) tea leepen, the 0 O O O O O O O O O 2 0 E2) Jeffrey ipstern " r 1 0 0 0 J 0 0 0 0 0 3 O O Hauy Bel ler O O O • 21 O O O O • Brennan O ID O • O O O O • O 5 0 0 Daen rodYke O O O • O 0 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-0002693 EFTA_00016167 EFTA00166919 KYC Print Page 3 of 16 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (1 avadateA 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): 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 describe the relationship of the party • If none of the ch ck boxes apply, describe 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 Dwner Signatory‘imftedeinancial Full POA ?OA IntemiediarySharelidderetepresaitathe (FIN) 3gnifcant '>=2S9b) Yon-PIC entity 'ndicate ownership "*) _egai Srantor/Settlor Founding Donor Other (please describe other roles and/or odicate relationshp between >ernes) 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 • • ler Bel • • O O 2 • • O O O 4 O D Jeanne Brennan r--1 '—' O O O 21 O O O O O 5 El D Dar ren Incheke r.." " O O O • O 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-0002694 EFTA_00016168 EFTA00166920 KYC Print Page 4 of 16 must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name: Jeffrey Epstein - Date of Birth. 1/20/1953 Country of Residence: USVI Country d Citizenship: USA Address of primary residence: tette 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 Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Posibon/Trde/Rank: President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial industry' or an entity listed on DB-recogrased exchange' (Not applicable for operating entitles r--i Li Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, cksente) O Yes No E4g To the best of your knovAedge, P.O* Friendshs describe) Is the individual related to an employee of the DB group'(f 0 Family 0 Friendship 2 None 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 services)'(/ Yes,decarbe) No • Yes Ei If applicable, indicate itch bank officers have met the person: Indicate where and when the client meehng(s) took place: Bank Officer Name(s) Bank OOffice: Chent Private Domicile: Client Place of Business: Other Location (seedy): Date: Paul Monis 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 Indiv`duars Business: Private hnwbi enter 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 0 Salary/Earnings 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, important business partners.) Epstein begs his financial career in 1976 as an options trader *Bear Steams and became a partneri n 1980. In 1982, Epstein founded his awn financial management firm, 1 Epstein & 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($): 10,000,000.00 Estimated amount of investable assels($): $50 MM - 100 MM Estimated Net Worth(i): $100 MM • SOO MM ArnouM of assets planned to invest with PVIPI($): Other Known Financial Institutions: Institution JPilorgan Chase I Country: USA Est Assets Under Mgt: 120,000,000.00 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) DB-SDNY-0002695 EFTA_00016169 EFTA00166921 KYC Print Page 5 of 16 Institution: Country: Est Asset Under Mgt: Institution: Counby: Please indicate the lam?), situation of the individual (marital status, other family members, etc.): Single Est Asset Under Mgt: J 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-0002696 EFTA_00016170 EFTA00166922 KYC Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sums's. 3A. Individual Details (for all parties) Individual's Name: Hany Belief - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside c4 his/her country of nalknalty for 5 years cc more' O yes 2 No Profession/Occupation: Accountant Tax ID / SS& Current Employer: HBRX Associates, Inc PosibonifitleiStank: Address of employer. Does the person work as senior executive of a DB-recognized regulated entity In the financial nclustir or an entity listed on CO-recognised exchange' (Not appkabk for operating entitles y-1 "Yes 2114s Is the individual a Polka*/ Exposed Person (PEP)'(d Yes, describe) OYes Ea No To the best of your luicrniedge, Is the individual related to an employee of the DB group'(# Family a- Frendstko, demo be ) O pan* Dpriendegp 2 None To the best of your knonledge, 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)'(ar Yetdestnbe) O Yes 2No If applicable, indicate Mich bank officers have met the person: Indicate %%here and INhen the client meeting(s) took place: Bank Officer Plarne(s) Bank Office: (bent Private panKile: Client Place of Business: Other Location (speedy): Date: Paul Morns Eil O 10,21:2013 • O • • O ni M O Wealth Details for this individual are not filed in, because they are the same as for the fol ng person: 38. Wealth Details (Only for parties requiring source of vceath description as indicated in Seaton 2) Nature of the Individual's Business: Primary Country of source <I wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summate Seance of Weath: D Ikfiness Owner O Salary/Earnings anvestrnent Inheritance/Gifts O Other: Further Describe Source d Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did %Thor accumul to 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 mayor activities, important business partners.) Estimated Annual Income($): Estimated amount of Investable assets($): Estimated Net Worth($): Amount el assets planned to invest with PWPI(f): Other Known Fnarxial Institutions: Institution: Co.mtry Bt Assets Under Mgt: Institution: County. Est Assets Under Mgt Institution: Dwain: 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-SDNY-0002697 EFTA_00016171 EFTA00166923 KYC Print Page 7 of 16 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-0002698 EFTA_00016172 EFTA00166924 KYC Print Page 8 of 16 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 Ottenship: USVI Address of primary residence: Has client resided outside of Ns/her county of nationality far S years or more' El yes giNo Profession/Occupabon: Finance Tax ID / SSN: Current Employer Southern Rnancial, LLC Position/Title/Rank: Address of employer: Does the person work as senior executive of a DB-recognized regulated entity In the financial ridustry, or an entity listed on DB-recognised exchange' (Not applicable for operating entitles r—, LJ Yes Z No Is the individual a Politically Exposed Person (PEP)>(dYes, cksente) Oyes No To the best of your knovAedge, FM* Friendshs describe) is the individual related to an employee of the DB group'(f OFamlhl Ornery:Wile 2 Nine 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 which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private pomicile: Client Placed Business: Other Location (seedy): Date: O O • O D • 0 O 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 IndlVdual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source d Funds' Summarize Source of Wealth: DElusiness owner 0Salary/Earnings 0Investment 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 senior 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) DS-SDNY-0002699 EFTA_00016173 EFTA00166925 KYC Print Page 9 of 16 Please indicate the faulty situatai of the individual (mental status, *the family members, et): 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-0002700 EFTA_00016174 EFTA00166926 KYC Print Page 10 of 16 must be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - Date of Birth. Country of Residence: USA Country of Ctzenship: USA Address of primary residence: Has client resided outside of her/her country of nationality far S years or more El yes ®No Profession/Occupabon: lawyer Tax ID / SSN: Current Employer Southern Rnancial LLC Position/Title/Rank: Address of employer: 575 Lexngton Ave, 4th Fl New York NY USA 10022 Does the person work as senior executive of a DB-recognized regulated entity In the financial ridustry, or an entity listed on DB-recogrned exchange' (Not applicable for operating entitles r—, LJ Yes Z No Is the individual a Politically Exposed Person (PEP)'(d Yes, ckscnte) O Yes E4g No To the best of your knovdedge, FM* Friendshs describe) is the individual related to an employee of the DB group'(d OFamlhi Chien:Wile 2 Nene or To the best of your know4edge, 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,thrscnbe) No • Yes 2 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 Pantile: Client Place of Business: Other Location (seedy): Date: O O • O El • O ED • 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 IMO/dugs 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 0Investment 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 miler activities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWril($): 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) DS-SDNY-0002701 EFTA_00016175 EFTA00166927 KYC Print Page 11 of 16 Please indicate the faint& situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY In Seddon 2. Account Summit 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: leesers, Inc - Type of Entity: O FoundabolvAsscciabon El Trust R Company O Estate O Partnership Purpose of Enbty: R1Private Investment II lanthiopk/Chantabk 0 merrier Type of Entity Other (specify): Purpose of Entity Other (specify): County of incorporabon/registrabon: United States Virgin Island Date of incorporation registratien: / 8/18/2003 Vetter Status: Volcker Rag: Address (city, street post code): 6100 Red Hook Quarter 83 St, Thomas 00802 USVI US. TIN/EIN: Provide a description of the entity's renxability,settlor and benefici Jeffrey Epstein is the sole shag organizational structure, its ries.etc.: holder ownership structure and its Top Management For trusis/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 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 re/east source, supplier of goods or services)? yes U — No Fa Describe Naha, 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 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/liatilties): /eaters Inc was started to hold the personal Investments of Jeffrey Epstein. The company began with LOCO shares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.(S): 400,000.00 200,000.00 Estimated net profit pa. ($): Estimated Investable assets ($): $20 MM - 50 Mel Potential Amount to be invested with MUM (5): 200,000.00 Other Known Friancial Instttutions: Institution: JP Morgan Chase County: USA Est. Assets Under Mgt 28,000,000.00 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-0002702 EFTA_00016176 EFTA00166928 KYC Print Page 12 of 16 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-0002703 EFTA_00016177 EFTA00166929 KYC Print Page 13 of 16 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART Et Relationship Name EPSTE/11, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center 2 ter IE O Moderate 'Risk tut r..i High Rick Gwen Hit • Offshore (Compliance Signature) DM Employee O DO Managed PIC O DB Is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Typed Photo ID Provided Dams Ucense • Passport ONatitinagStath ID • Other B. for Checklist of names (ndlvkluals and/or entitles) that were submitted database searches Is YA Yes 0 NO attached C. Please indicate the results of the database searches performed RDC searches complete @ yes 0 No negative results found 0 Yes @ No KR checks complete RI Yes O No negative results found Oyes No OFAC checks complete ®Yes 0 No negative results found Oyes O No B5 searches complete (Lexis/Nexh, Facbva, Reuters, Dow Jones, DM) Oyes O No negative results found • Yes 0 No Denial Ceders checks complete ®Yes O No negative results found • Yes Ri No Marandale-Hubbell searched (Lawyers/Law Finns only) 0 Yes n No negative results found 0 Yes 0 No D. Please summer de any negative results from the database searches indkated above: DARREN INDYKE: KYC approved in cases 1133377 HARRY BELLER: KYC approved in case #01133624 JEANNE BRENNAN: No Negative Media No Court Cases JEFFREY EPSTEIN: Jeffrey was approved in KYC #01082293 His PCR/RDC alerts and clearances and a documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media All court cases are not our client. The court cases refer to a Jeepers Inc m koala and one In North Carolina. Our client is based in the US Yvon Islands E. To the best of your knowledge, has the client ever been convicted of a criminal offense' 0 Yes Oho F. To the best of your knowledge, has the customer ever been Involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening &ligation against Deutsche Bank AG or any of its subsklenes> (tf Yes, Invade details below and contact Quality Mgt. • Yes • No (LatAmilm47) or the Regulatory Control Gtoup and notify Compliance immediately) G. Does the dent or related party have any financial or other association / interactions within countries or regimes sanctioned by the Mee of Foreign Assets Control (OFAC)? O Yes a No H. Does the client or related party have any financial or other association/ interactions within hit nal • Yes ® No countries' I. Corporate Documentation Attached (Legal Entities Only) 0 Yes O No • Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No El Not Appicable K. If LexIS/NexIS Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provide an EngleSh summary of the nature/contents of the non-Engish Documentation: L Special Risk Factors https://dbforcepb.my.salesforce.com/serviet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002704 EFFA_00016178 EFTA00166930 KYC Print Page 14 of 16 Does the account have Nexus to Special Risk Countries' Oyes RN° Is the account structure unusualty oompkx, ii Yes ENG Is thee any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties/ r I_J g Yes No Is there any indication this could be a prohibited business relationship/ Oyes E No Are the bearer shares identified subject to acceptable controls, O Yes W 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-0002705 EFTA_00016179 EFTA00166931 KYC Print Page 15 of 16 M. Cese Comments Created By Date Comments Janice Franklin 3/26/114 2:25 PM The Update KYC did not have an effect on diets risk ream therefore no new dolt aktator ass prepared. See document repose:4y for previa* prepared tisk abate: under dents gds.. ONSHORE APPROVALS Client Facing Professional (CFP) Paul Mort 6 !Sigre.u,e) Paul t.'crw, 2 2-1 1,1,14 Office DrectoriBusiness Head- Brian It Biggar tr.--gra•urri P' k Regional Office Director: ., Alit. Business Risk: (SEgn.rtu, e) AML Compliance Janice Franklin Gwen Hill (Signature) Janice Franklin Gwen Hill 3126/2014 3/26/2014 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GPITH)/Sub.Market Team Henn 'Sarni): (Signature) Atli. Business Risk: (Signature) AM Compliance- (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To 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 chews) 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-SDNY-0002706 EFTA_00016180 EFTA00166932 KYC Print Page 16 of 16 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers. etc. 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-0002707 EFTA_00016181 EFTA00166933