EFTA00166934.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case 1 : 01195147 Stems : 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 Bodong Center: I New York Relationship Manager: Paul Morro 0 New PWM Relabonshp 10 Existing PWM Relabonshp Relationship to PWM: If edging, please indicate since when the relations p exists, provide reason for new profile and attach old profile: Update d approved KYC 1147850 to add Darren Indyke as an authonzed signer. Darren has been approved in KYC #1133377 0 Client Referral I RU RM Prospect II 0 Intermediary/PIM II 0 Other Source (CD3, etc.) How Was the Client(s) Introduced" How long has the RM personally Mown the client' Please provide details (e.g. name of referral source, how many years RM personally has known dent, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account Introduction detais of Paul and Jeffrey: Jeffrey Epstein was a tent of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgari. 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 0 Yes I D No compensation to a third party for the introduction of this relationship' (1/ Yes, desmbe, list all existing and new accou is evolved in this relationship Legal Entity Amount(s) Account Name / Number Opening Date (interidecVactual) 1 0 Mod, Inc 11/12/2013 2 2 Mort, Inc — Money Market 11/12/2013 Who is the primary contact person for the RM' (Note: This person needs to have senator, rights and/or information right for the accounts.): Harry Beller Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002708 EFFA_00016182 EFTA00166934 KYC Print Page 2 of 14 One sheet must be established for each scooted to be o 2. Account Ownersh p Summary Account Name: Mat, Inc Acct. Number (if evadable) Account Manager: Paul Moms What s the purpose of the account (e.g. portfolio management, advisory account, custody services, law-term investment, payment/expense account)/ Checkeig account to hold assets fix the company. Indicate from inhere the assets are expected to arrive' • DB Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (indicate DB location and account details): O Other InstlbAlon (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 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' I 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 150000 'Currency I USD Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes 0 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 Mks account (> I can be selected). • If none of the check boxes apply, describe the parties relation to the account In the "Other" mint • Always describe the relationship between the pate in the last column. • Please drill down to the ultimate/ nderlyaw Beneficial Owner( ). _eget Intitycf Description Source of Wealth required Parties related to this account\ AccountinC Molder OwnerTrust Bettor of / Founder of Foundation Jklmate Benefkialor Owner Signatory Full POA AmiteciFinancial ?OA IntermediaryShareholder (FIM) SgMhcant (>454e) Non-PIC entity (indicate ownership %) ..egal Representative Grantor/Setdcrioundmg Donor Other (please describe other roles and/cc indicate relationship between oarbes) 1 O O Hain' Seller O OO O a • O O O O 2 2 2 ort InMc Ea O O O • O O O O O 3 lii 2 Sertrey Epstein in DO J 0 El ll • O • 4 O O Dar I ke n `-' O O O 2 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-0002709 EFTA_00016183 EFTA00166935 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Mort, Inc — Money Market Acct. Number (I amiable" Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio managern nt, advisory account custody services, long-term investment payment/expense account)' Money Market account to hold assets for the company and to earn interest 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 details): M Other Institution (Indicate name & kcation): )Phlorgan, New York El Physical Deposits (specify cash, securities, cheques, .•.): What Is the expected size and frequency of render inflows and outflows for the account (indicate estimated number and volume p r mcnth)'+: Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' I 'Currency I USD What 4 the expected volume of assets and currency for the account approx. one year after *Penne 150000 I Currency I USD Does/we the client have Assets Under Management (AuM) within DB under Eur. 3M! O Yes g 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 relationsNp of the party to the; account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Alvan describe the relationship between the parties ii the last column. • Please drill down to the ultimate/ nderlYrig Beneficial Owner( ). _egal Intityof Description Source of Wealth requked Parties related to this account AccounIPIC Holder OwnerTrust Settlor of / Founder of Foundation Jltimate Benelkialbr 'Finer Signatory Ni POA Jmiteciinancial ?OA IntemiedlaryStiareholder (FIR) Significant (>=25%) Non-PIC entity (indicate ownership %) -egal Representative Grantor/Settkrfounding Donor Other (please describe other roles and/cr indicate relationship between parties) 1 2 5 mort, Inc Ei O O O • O • O O O 2 O O Harry Beller ri k—1 O K O O • O O O O O 3 O 2 Jeffrey Epstein n k--' O O g 2 O O O O O 4❑• O Darren Indyke en " O O O O DO 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-0002710 EFTA_00016184 EFTA00166936 KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhin Summa 3A. Individual Details (for all parties) Individuars Name: Jeffrey Epstein - Date of Bete 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Litre Salk lames Saint Thomas 00802 US Virgo Wands Has 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: Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry' a an entity listed on DB-recognised exchange' (Not applicable for operating nutlet L.J 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 06 group'(' Faint or FnencIsixA describe) D Family 0 Friendship IN 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 cc services)'(' Yes, descnb e I ❑O Yes TA No If applicable, indicate with bank celkers have met the person: Indicate where and Wien the client meet4(s) took place: Bank Officer Name(s) Bank Office: Client Prirate Domicile: Client Place of Business: Other locabon (specify): Date: Paul Morris O O 0 10/22/3)13 O El O O 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' Surrrnarize Source of Weakly 0 Business Owner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Descrte Source of Wealth /Detail the history of neath for each of the sources: (e.g. Fee trusts, how did set or &cumulate wealth? For inheritance, how did family accumulate wealth'For business ovmers, 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, J. Epstein & Co., managing the assets of clients with more 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 Rims Estimated Annual Income(S) 10,000,000.00 Estinated amount of investable asseb(S): 550 MM • 100 MN Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest ioth RW(5): 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-0002711 EFTA_00016185 EFTA00166937 KYC Print Page 5 of 14 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-SDNY-0002712 EFTA_00016186 EFTA00166938 KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownarshi Summa 3A. Individual Details (for all parties) Individual's Name. Harry Beller - Date of Beth: Country of Residence: USA Country of Citizenship: USA Address of pnrnary residence: Has client resided outside of his/her country of natiOnalty for 5 years or mire? No El yes 'IA Profession/Occupation: Accountant Tax ID / SSfl: Current Employer: HEIRK Associates, Inc Position/Trtle/Rank: Address of employer: Does the person work as senio executive of a CO-recognized regulated entity in the financial ndustry' a an entity listed on OB-recognised exchange' (Not applicable for operating nutlet O Yes Wi 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 06 group"(r/ Faint or FnencIsixA describe ) 0 Family 0 Friendship Ri None To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc services)'at Yes, desrnb e I O Yes rA No If applicable, indicate With bank cericers have met the person: Indicate where and Wien the client meets (s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris O O 0 11/4/2013 O ED O O O LI El Wealth Debi. 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 Wealth: OBusiness Owner O Salary/Eamings 00ther: i I Investment O Inheritance/Gifts Further Destrke Source of We Rh /Detail the history of weath for each of the sources: (e.g. For trusts, how did settla accumulate wealth' For inheritance, how did family accumulate we Ith'For business 'isomers 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-SDNY-0002713 EFTA_00016187 EFTA00166939 KYC Print Page 7 of 14 Insbtution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (marital 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-SIDNY-0002714 EFTA_00016188 EFTA00166940 KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership S 3A. Individual Details (for all parties) Individual's Name. Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of unman, residence: Has client resided outside of h Epher country of tationalty for 5 years or mete? No El yop 'IA Profession/Occupation: Lawyer Tax 10 / 5511: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York 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 CB-recognised exchange' (Not applicable for operating entitles O Yes Who Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O Yes W No To the best of your knowledge, IS the Individual related to an employee of the DB groupv(r/ Fn)' or (nencIsixA describe ) 0 Family El Friendship Ri None To the best of your knowledge, is the individual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc services)'() Yes, desrnb e I rA El Yes No If applicable, indicate which bank officers have met the person: Indicate Mitre and Wien the client meet:4(s) took place: Bank Officer Name(s) Bank Office: Client PrNate Domicile: Client Place of Business: Other Location (specify): Date: O O O O El El O O LI El Wealth Debits for this individual are not filled in, because they are the same as for the following person: 3$. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds> Primary industry of source of Wealbi/Source of Funds' Summarize Source of Weakly D Business Owner O Salary/Eamings 00ther II Investment O Inheritance/Gifts Further Desert! Source of We Rh /Detail the history of weath for each of the sources: (e.g. For trusts, how did set or accumulate wealth' For inheritance, how did family accumulate we Ith>For business onmers, how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvibes, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: 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-SDNY-0002715 EFTA_00016189 EFTA00166941 KYC Print Page 9 of 14 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Enbbes) Legal Entity Name: Mat, Inc - Type of Entity CI Foundation/A:swab«, OTrust R Company ❑ElEstate O Partnership Purpose of Entity: 0 Private Investment • Philanthropic/Charitable 0 Commercial Type of Entity Other (specify). Purpose of Entity Corer (specify): Country of incorwatxinfregistrabon: USN Date of incorporation / registration: 4/12/2011 Volcker Status: Volcker Hag: Address (city, street, post code): 6100 Red Hook Quarter, 83 St, Thomas 00802 USVI U.S. TIN/EIN: Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/founclabons, include information about revocability,setbor and benefIclarles,etc.: Corporation sate 1000 issued. AI 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: 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain Dan the direct owner of the entity to the ultimate beneficial owner (if not the same persons) To the best of your km:Wedge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Investment holding company. A private company that is used to hold investements that the sole owner, Jeffrey, would Ike to keep separate from other investments Countries whet business is transacted: USVI Number of employees: 2 3D. Wealth Profile (Only for part es requiring source of wealth description as indicated in Section 2) Printery Country of source of vreakh/source of Funds' Primary Industry of source of Wealth/Source of Funds> Provide Evidence of Corporate Asst (e.g. balance sheet cc equWalent summary of assets/liabeitles): Capital contribution of $1000 from Jeffrey Epstein Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): <51 MM Potential Amount to be Invested with PWM ($): 100,000.00 Other Known Francial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: I 100,000.00 Insbtution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002716 EFTA_00016190 EFTA00166942 KYC Print Page 10 of 14 Institution: County: at 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-0002717 EFTA_00016191 EFTA00166943 KYC Print Page 1 1 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP R isk Rating Comments: Bookng Center O NY/Offslxre 0 Offshore 121High fuse Jacqueline Lightbody ry ..4 NY Nr Ig HWerat (Compliance Signature) O DB Employee O DB Managed PIC 1708 is Trustee/Co-Trustee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 5 Drivers license In Passport • Nabonal/State ID O Other B. Checklist of names (individualsand/cr entities) that were submitted for database searches is attached El Yes O No C. Please Indicate the results of the database searches performed RDC seardies complete @Yes • No negative results found @Yes O No PCR checks complete @Yes O No negative results found 0 Yes O No OfAC checks complete 21 Yes • No negative results found O Yes 0 No BIS searches complete (Lexis/Nexis, Footle., Reuters, Dow Jones. Dm 21Yes • No negative results found • US ®No Denial Orders checks complete @Yes Otto negabve results found Oyes El No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes tr# No negative results found • Yes 0 No D. Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377 JEFFREY EPSTEM: KYC Approved and al pertaining documents in case x:1121718 and 01082293 HARRY SELLER: KYC approved In case #:01133377 and 01133624 MORT INC: All negative media does not pertan to our client. All court cases do not pertain to our client E To the best of your knowledge, has the client ever been convicted of a criminal offense' @Yes • No F To the best of your knowledge, has the customer ever been involved Many past Ibgabon againt Deutsche Bank AG or any of As subsido nes or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries' (if Yes, provide details below and canted Quakly E YtS a No Mgt aetAnlant7) or the Regulatory Control Group and nobly Corrtobnot imnvdieletY) G. Does the client or related party have any financial or other assoclabon / interact:As within K countries or regimes sanctioned by the Office of Foreign Assets Control (MC)? 0 Yes @NO H. Does the client or related party have any financial a other association/ interactions within high 0 yes 2 No risk countries' I. Corporate Documentation Attached (Legal Entities Only) 5 Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No El Net Applicable K. I/ Leis/Nevis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an Engash summary of the nature/content of the non-English Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Counties? OYes No Is ttie account structure unusually complex' https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002718 EFFA_00016192 EFTA00166944 KYC Print Page 12 of 14 Oyes No Is there any inclicabon the client set up a non operabng company expressly for the purpose of transferring shares to third parties, ❑Yes @No Is there any indrcabon bus could be a prohibited business relabonship7 oyes ONO Are the bearer shares identified subject to acceptable controls, ❑Yes Ea 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-0002719 EFTA_00016193 EFTA00166945 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Jacqueline Ugtody W14/114 3:12 PM 1 page of DB Certificate of LIG Resoktban with the 2nd that did not list all signers, is acceptable. The only sevlsion was the 2nd page w*h the cared signers that Is attached separately. ONSHORE APPROVALS Clent Facing Professional (CFP): Paul Morris Signature) Saul Moms 2/24/2014 Office Director/Business Head: Brian M. Biggar (Signature) 3rian H. Biggar 2/24/2014 Regional Office Director: (Signature) MIL Business Risk: (Signature) MIL Compliance: Gwen Hill orb/o Janke Franldin Jacqueline Ughtbaty (*imbue) Gwen Hill ortalo Janice Franklin Jacqueline Lightbody 3/14/2014 3/14/2014 LATAM/INTERNATIONAL APPROVALS Client Facile Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Gt4TH)/Sub-Market Team Head SMT14): (Signature) MIL Business Risk: (Signature) an% Compliance: (Signahne) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT• Deutsche Rank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing Professionals)(!) (CFP's) should establish and maintain business relationships only with persons who sail* our high standards of suitability. background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM:• To the best ofmy knowledge and belief the above information is correct and up to dale. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that have followed all the procedures relating to account opening as described in the P WM Americas Procedures and the PIVM Global KYC Policy Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002720 EFTA_00016194 EFTA00166946 KYC Print Page 14 of 14 (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/serviet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002721 EFTA_00016195 EFTA00166947