EFTA00167023.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case it : 0146973S One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:0000O4,43290 goolorrg Center: New York Relationship Manager: Paul Morris O New PM Relabonshp O Existing PWM Relationship Relationship to MUM: If existing, please indicate since when the relations p exists, provide reason for new profile and attach oid profile: The account was closed due to nacbvty. To reopen the account NOG needs an updated KYC. HOW Was the Oient(s) 5 Client Referral O RM Prospect O Intermediary/FBI O Other Source (CIII, etc.) Introduced' How long has the RM personally Mown the chent" Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the bank Does Deutsche Bank pay a retrocession or similar • Yes I MI No compensation to a thkd party for the introduction of this relabonshp' (if Yea, describe) List all existing and new accou is nvolved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended; actual) 1 RI Mat, Inc 11/12/2013 2 M Mod, Inc.. Money Market 1C.12/2013 Who is the primary contact person for the ftM≥ (Note: This person needs to have signatory rights and/or hformation right for the accounts.): Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Slates : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) 7/30/2019 DB-SDNY-0002797 EFTA_000 16271 EFTA00167023 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownersti p Summary Account Name mon, Inc Acct. Number (davadablel Account Manager: Paul Morro What is the propose of the account (e.g. portfolio management, advisory account custody services, long-term investment paymentiexpense account)) Checkng account to hold assets for the company. Indicate from where the assets are expected to arrive' O DB Group: Same Booting Center (indicate account number): 0 Ds Group: Other Booking Center (Indicate DB locabon and account details): a Other Institution (Indicate name & location): IPMorgan. New York El Phyvcal Deposils (specify cash, securities, cheques, ...): What is the xpected size and frequency of regular inflows and outflmvs for the account (indicate estimated number and volume per month)' Rough', 10 inflows and outflows per month ranging from $1,000 to $10,000 What's the expected vs:Some of assets and currency for the account approx. 90 days after opening' I I Currency I LW What is the expected volute of assets and currency for the account approx. one year after openings 150000 'Currency I LSD Does/wi the client have Assets Under Management (AuM) within DB under Ew. 3PI7 U Yes Milo Please Ilst 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 We relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the pastys relation to the account In the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultmate/ nderlYng Beneficial Owner( ). _egal inbtyof Oescnption Source of Wealth required 'account Parties related to Om AccountPIC Molder ISettior OwnerTrust of / Founder of Foundation Jitimate Beneficialbr Owner SignatayAmttectinancial Fun POA ?OA IntermediarySharehoklertepresentative (AM) Sspilicant (>•2596) Non-MC entity (indicate ownership %) .egal trrantor/SeftkrioundngOther Donor please descnbe other roles na.cate eanonshl between barbes) O O Inc ' 0 O O • O O O O O O 2 O Ea Jeffrey Epstein ri " O O El 0 O O O O O 3 • • I Darren ,fi t n" O O • a 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-0002798 EFTA_000 16272 EFTA00167024 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name' Mort, Inc — Money Market Acct. Number MI ave., :able Account Manager: Paul Moms l'.'hat is the purpose of the account (e.g. portfolio management. advisory account custody services, long-tenn investment, payment/expense a«ount)'r Money Market account to hold assets for the company and to earn interest. Indicate from where the assets are expected to arrive' El DB Group: Same Booking Center (indicate account number): Li 06 Group: Other Booking Center (indicate DEI location and account details): gi Other Institution (Indicate name & location): )PMorgan, New York O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regu/ar inflow s and outflows for the account (indicate estimated number and volume per mouth)',: Roughly 1.3 inflows and outflows per month ranging from $1000 to $10,000 What s the expected volume of assets and currency for the account approx. 90 days after opening' I I Currency I USD what's the expected volume of assets and currency for the account approx. one year after opening' SC HO I Currency I USD Does/wil the client have Assets Under Management (AuM) within DO under Eur. 3M' OYes rf No Please list all parties related to the account. For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationsHp of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Alvays describe the relationship between the parties in the last column. • Please drill dorm to the ulbrnate/ nderlying Beneficial Owner( ). _egabescription Mayor Source of Wealth reputed Parties related to this accourd AccounWIC Molder Ownertnat tettlor of / Founder of Foundation Jitimate Beneficiabor Teter SignatcryirritedRnancial Ful POA ADA IMemsecharyShareholder (FIN) Significant (>=25%) Non-PIC entity (indicate ownership %) -egal Representative Grantor/Setbcrfoundng Donor Other (please describe ter roles and/pr militate relationship between wales) 1 5 El Mort. In c 0Do D U O. 0 • • D U 2 O a Jeffrey Epstein ri k-1 . O a a O • O D O 3 • O Wren Wyatt O O O • J O O • O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002799 EFTA_000 16273 EFTA00167025 KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for all parties) Indtviduars Name: Jeffrey Epstein - 00000483289 Date of Bete 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Lae Sant lames Saint Thomas 00802 US Virgo Wands HIS dent resided outside of his/her country of natiOnalky for 5 years or mete? O Yes ?allo Profession/Occupation: Self Empotyed Tax ID / SSW Current Employer Southern Financial LLC Pose:Ion/We/Rank: President Address of employer: Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating nutlet LI 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 Wan employee of the 08 group/(r/ Faint or FnencIsixA describe) 0 Family 0 Friendship eg None To the best of your knowledge, is the individual party to a non-banking retabonsh0 with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)'at Yes, descnb e I O Yes fl No If applicable, indicate which bank officers have met the person: Indicate where and Wien the client meet4(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 10/22/2013 O ED O O O LI OWealth Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for padres requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private 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 Dewitt Source of Wealth /Detail the history of neath for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate weakh'For business ovmers, how long In business, how rainy empl0yees, level of profitability' Indicate type of business, countries of major activities. important business partners) Epstein began It financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of clients with mere than a billion in net north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management Rims Estimated Annual Income(S) 10,000,000.00 Estenated amount of investable asset.(S): 550 MM • 100 MM Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest wed RW(5): Other Known Financial Institutions: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002800 EFTA_000 16274 EFTA00167026 KYC Print Page 5 of 12 Institution: Country: Est Assets Under Mgt: Institution: Gauntly: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Please indcate the farm?), situation of the indrvidual (marital status, other famty members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002801 EFTA_000 16275 EFTA00167027 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownushin S 3A. Individual Details (for all parties) Individuars 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 natIOnally for 5 years or mete? No El yea 'fa Profession/Occupation: Unger Tax ID / 5511: Current Employer Southern Financial LLC Pose:Ion/We/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senio executive of a DE-recognized regulated entity in the financial ndustry> or an entity listed on C8-recognised exchange> (Not applicable for operating entitles O Yes Wino Is the individual a Politically Exposed Person (PEP)>(/ Ye4 describe) O Yes S6 No To the best of your knowledge, IS the Individual related Wan employee of the D8 group, (rt Fn)' or (nencIsixA describe ) 0 Family 0 Friendship Ri None To the best of your knowledge, is the indndual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc services) vaf Pas, describe 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 Hornets) Bank Office: Client Prtrate Domicile: Client Place of Business: Other Location (specify): Date: O O O O O 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: Primary Country of source of wealth/source of Funds> Primary industry of source of Wealth/Source of Funds> Summarize Source of Wealth: D Business Owner O Salary/Eamings DOther I I Investment O Inheritance/Gifts Further Deseret Source of We MI /Detail the history of swath for each of the sources: (e.g. For trusts, how did settler accumulate weal h> 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 acbvities, 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002802 EFTA_000 16276 EFTA00167028 KYC Print Page 7 of 12 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the lidividual (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 Enbties) Legal Entity Name: Mat, Inc - 00000487266 Type of Entity El FoundatioNAssociatm D Trust R Company ❑C3Estate O Partnership Purpose of Entity: 0 Private Investment • Philanthropic/Charitable 0 Commercial Type of Entity Other (specify). Purpose of Entity aver (specify): Country of incorporatxotregistrabon: 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: 66-0765963 Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundabons, include information about revocability,seMor and beneficiarles,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 from the direct owner of the entity to the ultimate beneficial owner (if not the same persons) To the best of your knovdedge, 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 b used to hold investements that the sole owner, Jeffrey, would Ike to keep separate from other investments Countries where 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) 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 aSSeS/liabdit/eS): Capital contribution of $1000 from Jeffrey Epstein Estimated gross receipts M($): Estimated net profit ow: 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: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002803 EFTA_00016277 EFTA00167029 KYC Print Page 8 of 12 Institution: County: Est Assets Under Mgt I Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002804 EFTA_000 16278 EFTA00167030 KYC Print Page 9 of 12 DB PWM GLOBAL ICYC/NCA: US/LatAm/Infl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center N Y/Offshcre C Offshore l izil modal° isk Hill Fr .4 NY Si High Risk jGwen (Compliance Signature) O DB Employee O DB Managed PIC Trustee/Co-Trustee O Bearer Shares • DB is 4. Attachments A. Type of Photo ID Provided 7.4 Drivers License 7.4 Passport • flabonal/State ID O Other B. Checklist d for names (individuals and/cr entities) that were submitted database searches is •14 Yes O No attached C. Please Indicate the results <I the database searches performed RDC searches complete RI Yes O No negative results found • Yes 0 No PCR checks complete 2 Yes O No negative results found 0 Yes O No OFAC checks complete 2 Yes N No negative testa found • YeS 0 No BIS searches complete (Lexis/Nexis, Pasties, Reuters, Dow Jones, MI 121Yes • No negative resuRs found • Yes 0 No Denial Orders checks complete L'a Yes 0 No negative results found M Yes @No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 yes 2 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 Negative media: only references Darrel briefly as a lawyer who helped subdivided a townhouse. JEFFREY EPSTEIN: KYC Approved and all pertaining documents in case I:1121.718 and 01082293. In the attached legal proceedings, one is a false postive for Jeffrey S. Epstein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KYCs. MORT INC: All negative media does not pertain to our client. MI 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 O No F. To the best of your knowledge, has the customer ever been involved in any past Itigabon against Deutsche Bank AG or any of ts subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of ts subsidiaries' of yes, peewee details beicav and eenlad Qualify 0 Yes @ No Milt an'IntanfVor the Redrifatory Control Group and notify Corrpione• immediately) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes RI No H. M Does the client or related party have any &NOS' or other association/ interactions within high ra Yes MI No risk countries' I. Corporate Documentation Attached (Legal Entities Only) 2 Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No 74 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary/the nature/contents of the nomEnglish Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Counties? O Yes 2 No Is the account structure unusualy complex' CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002805 EFTA_00016279 EFTA00167031 KYC Print Page 10 of 12 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 K yes Elio 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-0002806 EFTA_000 16280 EFTA00167032 KYC Print Page 11 of 12 PA Can Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 10/512015 Office Director/Business Head: Andrew F Gallivan (Signature) Andrew F Galivan 10/5/2015 Regional Office Director: (Signature) MIL Business Risk: (Signature) AML Compliance: Drnutra Manley Gwen Hill (Signature) Dirritra Manley Gwen HUI 10/5/2015 10/5/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CEP): (Signature) Account Manager. (Signature) Global Market Team Head FGMTH),Sub-Market Team Head Sf1TH) (Signature) AML Business Risk: (Signature) ANL Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(I) (CEP is)should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CPT's) include: Relationship Managers. Wealth Advisors. &Mg? Officers. Brokers. Client Managers, etc. s 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-0002807 EFTA_00016281 EFTA00167033 KYC Print Page 12 of 12 I Deutsche Bank Amerkas New York nil I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002808 EFTA_00016282 EFTA00167034