EFTA00166999.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case * : 01345935 Slates : 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 eccio-9 Center: I New York Relationship Manager: Paul Morris O New PWM Relationship I O Existing PWM Relationship Relationship to PWM: If editing, please indicate since when the relations p exists, provide reason for new profile and attach old profile: 0 Client Referral O RM Prospect O Intermedlary/FIM O Other Source (CIB, etc.) How Was the Client(s) Introduced' How Song has the RNI personally known Use (bent, Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epsteri Is a current client of the Bank. Wares to open a new account LSJE Ines established for purposes of Maintaining payroll and maintenance related expenses of Jeffrey Epstein's private retidenee. NO business purpose. Does Deutsche Bank pay a retrocession or similar II Yes I lil No compensation to a third party for the Introduction of this rerabonshp> at Yes, descabel. List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended/acbsal) 1 a 1.5)E, LLC 2/17/2015 2 0 LSJE, LLC 2/17/2015 Who is the primary contact person for the RM' (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Prderred method of contact (macate 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-0002773 EFTA_000 16247 EFTA00166999 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: LSIE, LLC Acct. Number et f avaYable). Account Manager: Paul Morns What is the ptupose of the account (e.g. portfolio management, advisory account custody services, long-term investment payment/expense account)) Checkng account for the daily expenses associated with running one or Jeffrey Epstem's private homes Indicate from where the assets are expected to arrive) RI DO Group: Same Booking Center (Indicate account number): Deutsche Bank 0 DB Group: Other Booking Center (Indicate DB location and account detain): O Other Insttution - (Indicate name & locabon): El Physcal Deposlh (specify cash, securlbes, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)): Route/ 10-20 of and outflows per month ranging from 310,000 to 3100000 What is the expected volume of assets and currency for the account approx. 90 days after opening' I 250000 I Currency 1 115D What is the expected vdume of assets and currency for the account approx. one year after openings 1250000 I Currency 1 135D Den/wit the client have Assets Under Management (AuM) within DB under Eta. 3PI> O Yes [A No Pleas. 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 pastys relation to the account In the "Other" column. • /hays describe the relationship between the paMes in the last column. • Please drill down to the ultsmate/underlyng Beneficial Owner( ). _egal intityof Descnptlon Source of Wealth required Parties related bottles account AccountIPIC Molder OwnerTrust tettior of / Founder of Foundation Jelmate Beneficiallor Owner SignatayJniteciFinancial Full POA PO* IntermediarySharehoklerttepresentative (AM) Significant (>•25%) Non-PIC entity (indicate ownership %) .egal tarantor/SetliorioundngOther Donor please descnbe other roles and; c ndcate etationshi between parties) co E LSE, LLC a O O O O OO O O O 2 O O Darren K Indyke r-i 1--t O O O SI O O O O O 3 ill Y.1 Jeffrey O OO 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-0002774 EFTA_000 16248 EFTA00167000 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: ISA, tiC Acct. Number Af ova gable/ Account Manager: Paul Morns Yahat 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 funds and earn interest Indicate from where the assets are expected to arrive' E6 DB Group: Same Booking Center (indicate account number): DB O 0B Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular nnows and outflows for the account (indicate estimated number and volume per month)'/: Roughly 1.3 inflows and outflows per month ranging from $10,000 to $100,000 What s the expected volume of assets and currency for the account approx. 90 days after opening' 1250000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1250000 I Currency I USD Does/wit the client have Assets Under Management (AuM) within DB under Eur. 3M' IIYes R] 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). • 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 ulbrnate/ nderlying Beneficial Owner( ). _egabescrIption Thayer Source of Wealth reputed Partin related to this accourd AccounWIC Molder OrmerTnist tettlor of / Founder of Foundation Jltimate Beneficialtir Teter SignatcryJrritecrinancial Ful POA a IMemsecharyShareholder (FIN) Significant (>=25%) Non-PIC entity (indicate ownership %) -eget Representative Grantor/Setdcrfoundeig Donor Other (please describe other roles and/cc indicate relabonshic between wales) 1 5 5 LS)E, MC 2 0 0 o • a • • 0 • 2 O D Darren Ike O • O O Efl O • O O O 3 II 5 iert7 O Epstein 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-0002775 EFTA_000 16249 EFTA00167001 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership.Sununary 3A. Individual Details (for all parties) Indinduars Name: Jeffrey Epstein - Date of Bath: 1/20/1953 Country of Residence: USW Country of Citizenship: USA Address d prirnary residence: Little Saint James Sant Thomas 00802 US Virgin Islands Has dent resided outside of his/her country of nationally for 5 years or more? • yes la No Profession/Occupation: Self Entoffed Tax ID / WC Current Employer Southern Financial LLC Position/Title/Rank: PresIdeM Address of employer: 6100 Red Hook Quarter 83 St Thomas USVI 00802 Does the person work as senio executive of a 08-recognized regulated entity in the financial ndustry> or an entity listed on CO-recognised exchange> (Not applicable for operating entitles O Yes ga No Is the individual a Politically Exposed Person (PEP)>(? Yes describe) O yes El No To the best of your knowledge, is the individual related to an employee of the 08 group?(, Family or Mends/WA describe) 0 Family 0 None in Friendship To the best of your knowledge, is the Inds/dual party to a non-banking relabenshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or servka)?(d Yes,descabe) OYes n No If appicabk, indicate which bank officers have met the person: Indicate where and Mtn the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Pthate Domkik: Clint Mace of Business: Other Location (specify): Date: Paul Morris O 0 O 1/20/2015 O O O O O O O Wealth Details for this individual are not filled in, because they are the same as for the fon:wring person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individuars Business: Private iwestments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds> Summarize Source of wean: 00ther V Business Owner O Salary/Eamings J Investment O Inhentance/Gifts Further Descrte Source of Wealth /Detail the history of swath for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth>For business owners, how long In business, how many employees, level of profitability> Indicate type of business, countries of major activities, Important business partner.) Epstein began his fnanclal career In 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with mere than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St Thomas in the US Virgin Islands, which merged into Southern Rnancial LLC. MI 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 firms Eshmated Annual Income(S): 10,000,000.00 Estimated amount of investable asset(S): $50 MM - 100 WI Esbrnated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest valti PWM($): Other Known Financial Institutions: 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-0002776 EFTA_00016250 EFTA00167002 KYC Print Page 5 of 12 Instibdion. Deutsche Bank Country: USA Est Assets Under Mgt 330,000,000.03 Ins/Alnico: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Please indcate the farnity situation of the indmdual (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-SDNY-0002777 EFTA_000 16251 EFTA00167003 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account 0wnuship 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 primary residence: Has client resided outside of his/her country of natl.:444y for 5 years or mete? El yes 'fa No Profession/Occupation: Lawyer Tax ID / 5511: Current Employer: Southern Financial LLC Position/Title/Rank: Address of employer: 575 Lexington Avenue, 4th Fl Livingston NY USA 10022 Does the person work as senio executive of a O6-recognized regulated entity in the financial ndustryi or an entity listed on 0B-recognised exchange' (Not applicable for operating entitles O yes Wino Is the individual a Politically Exposed Person (PEPp(i Yes, describe) Oyes S6 No To the best of your knowledge, is the Individual related to an employee of the 06 group'(' Fn)' 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)'af Yes, describe) rA O Yes No If applicable, indicate which bank officers have met the person: Indicate Mere and Wien the client meethig(s) took place: Bank Officer Hornets) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: O O O O O O O O LI El Wealth Debits for this individual are not filled in, because they are the same as for the following person: 3e. 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: O Business Owner O Salary/Eamings 00ther: i i i Investment O Inheritance/Gifts Further Deseret Source of We Rh /Detail the history of swath for each of the sources: (e.g. For trusts, how did stela 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 activities, 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 Institutes: Institution: Country: Est Assets Under Mgt: Insbtution: 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-0002778 EFTA_000 16252 EFTA00167004 KYC Print Page 7 of 12 Institution: Country: Est Assets Under Mgt Please ixlicate the family situation of the ndividual (marital 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 Entitles) Legal Entity Name: L.53E, LLC - Type of Enbly. 0Foundation/Association O Trust R Company 0 Estate O Partnership Purpose of Entity: ®Private Investment • Philanthropic/Chartable 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of Incorporation/registration: USA Date of Incorporation / registration: 10/27/2011 Vokker Status: Volcker Flag: Address (city, street post code): 6100 Red Hook Quarter, 83 St Thomas 00802 USN US. TIN/EIN: Provide a description cf the entity's organizational structure, its ownership structure and Its Top Management For trusts/foundations, include information about revOcatillitY,Settlor and beneficiaries,etc.: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He ovens 100% of the 100 shares issued. Please indicate how ownership of the legal entity is reflected: LSJE is a single member LLC. Jeffrey Epstein is the sole owner and member. He owns 100% of the 100 shares Issued. 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (moot the same persons,A LSJE Is a single member LLC. Jeffrey Epstein is the sole awe' and member. He ovals 100% of the 100 shares Issued. To the best 41 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 servkes)>: Yes O No 21 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: WE, LLC was established for purposes of maintaining payroll and mantenance related expenses of Jeffrey Epstein's private residence. No business purpose. Countries where business is transacted: USA Number of employees: 1 3D. 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 a equivalent summary of assetsIllatiltles): Funds from Jeffrey Epstein. LSJE, LLC was established for purposes of maintaining payroll and maintenance related expenses of Jeffrey Epstein's private residence. No business purpose. Estimated gross receipts p.a.(5): Estimated net profit p.a. ($): Estimated Investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PWM (5): 500,000.00 Other Known Financial Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 330,000,000.00 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-0002779 EFTA_00016253 EFTA00167005 KYC Print Page 8 of 12 I= I Country Est. Assets Under Mgt: Country Est. Assets Under Mgt. 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-0002780 EFTA_000 16254 EFTA00167006 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booing Center O NY/Offsh cce 0Offshore • Moderate Yoonsun Chung re' ..I NY Fr' .-a High Risk Risk (Compliance Signature) O DB Managed PIC O De is Trustee/Co-Trustee O Bearer Shares • DB Employee 4. Attachments A. Type of Photo ID Provided 74 Drivers License • Passport • Nabonal/State ID O Other B. Checklist dnames for is (individualsand/cr entitles) that were submitted database searches • yes n No attached C Please Indicate the results of the database searches performed RDC searches complete 2 Yes • No negative results found O Yes 0 No PCR checks complete 2 Yes O No negative results found O Yes 0 No OFAC checks complete 5 Yes O No negative results found O Yes Ono BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DELB) 0 Yes • No negative results found El YeS Ono Denial Orders checks complete 0 Yes 0 No negative results found 0 Yes ®No Marbriciaie-Hubbell searched (Lawyers/Law Firms only) 0 Yes in No negative results found • Yes 0 No D' Please summarize any negative results from the database searches indkated above: WE, U.C: No negative media No court cases WE EMPLOYEES, LLC: No negative media No court cases DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media is not about him indwidualty but about the others mentioned. No court cases JEFFREY EPSTON: Previously approved KYC S:01082293 a 01121718 MI negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? 5 Yes • No F. To the best of your knowledge, has the customer ever been nvolved in any past (ligation 'gang Deutsche Bank AG or any of es subsidiaries or is the Customer threatening litigation against Deutsche Bank AG or any of es subsidiaries? (If Yes, provide dela& below and contact Quaky El Yes ION° 140. (LatAmant7) or the Regulatory Cot Group and needy Compaance immeoiately) G' Does the client or related party have any financial or other association / inter :bon within countries or regimes sanctioned by the Office al Foreign Assets Control (OFAC)? X Yes in No H. Does the client a related party have any financial or other assoolabon/ Interactions within high D yes 2 No risk countries? I. Corporate Documentation Attached (Legal Entitles Only) 2 Yes 0 No 0 Net Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No &Not Applicable K. U Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English summary of the nature/contents of the non•English Documentation: L Special Risk Factors https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002781 EFTA_000 16255 EFTA00167007 KYC Print Page 10 of 12 Does the account have Nexus to Special Risk Countries' O Yes 2 No Is the account structure unusually complex' O Yes El No Is there any inclicabon the client set up a non operating company expressly for the purpose of transferring shares to third parties' O Yes RN* Is there any indicabon this could be a prohibited business relationship' O yes ®No Me the bearer shares idenbfied subject to acceptable controls' O yes 7a 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-0002782 EFTA_000 16256 EFTA00167008 KYC Print Page 11 of 12 M. Can Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms ,Signature) >aul Morris 2/13/2015 Cffice Director/Buslness Head: Kimberly Hart :Signature) Ombedy Hart 2/13/2015 Regional Office Director: :Signature) N.11 Business Risk: (Signature) AK Compliance: Gwen Hill Yoonsun Chung (Signature) Gwen Hill Yoonsun Chung : :'.; :CCS : :,, :'1)..S LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CEP): (Signature) Account Manager. (Signature) Global Market Team Head FGHTH),Sub-Market Team Head (ShITH) (Signature) MIL Business Risk (Sagnatu/e) 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) (CFP 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. Product Officers. Brokers. Client Managers, etc. r 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-0002783 EFTA_00016257 EFTA00167009 KYC Print Page 12 of 12 Deutsche sank Anierkas 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-0002784 EFTA_000 16258 EFTA00167010