EFTA00168793.pdf

KYC Print Page 1 of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case 0 : 01221773 One sheet must be established per relationsh I - list all accounts Included In the relationshi 1. Relationship Details Relatonshp Name: SOUTHERN FINANCIAL RELATIONSHIP:0000O483290 Booking Center: New York Relationship Manager: Paul Monis K New PWM Relationship K Existing PWM Relationship Relatonship to PWM: If existing, please indicate since when the relaborshp atm, provide reason for new profile and attach old profile: RI Olent Referral K RM Prospect K Intermediary/FIM K Other Source (CB, etc.) How Was the Clent(s) Introduced? How long has the RM personally known the client? Please provide details (e.g. ame of referral source, how many years RM personally ha known client, etc.): Jeffrey Epstein is a anent dent of the Bank. V ants to open a new account. Introduction detads of Paul and Jeffrey: Jeffrey Epstein was a client of Pais at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 'Morgan. Over the course of a few meetings Paul was able to get Jeffrey to Wing some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar K YES 12 No compensation to a third party for the introduction of this relationship? (If fl. *sate): List all misting and new accounts Involved in this relationship Legal Entity Account(s) Account Name / Water Opening Date (Intended/actual) FA' Iwo Development Com 4/28/2014 2 Zeno Development Corp -- Money Market 4/28/2014 Who Is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the a:o3unts.): Damen inayae Preferred method of contact (indicate phone no., fax no., e-mail address, etc): Status : 6. Approved CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000173 UW6) 2 814136 EFIA_000 19046 EFTA00168793 Kl"C Print Page 2 of 10 One sheet must be established tor each account to be opened 2. Account Ownership Summary Account Name: Zorro Development Corp Aat. Number iriteavagablef. Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term swestment, payment/expense accotrit)? Checking account for the day-to-day menses assonated with runNng the ranch in New Mexico that Zorro owns Indicate from where the assets are expected to arrwe? 0 1:13 Group: Same Booking Center (indicate account number): From Jeffrey Epstein% account' 35266976 O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (speofy cash, securities, cheques, ...): What s the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-30 Inflows and outflows per month ranging from $1000 to $10,000 Mat Is the expected volume of assets and currency for the account approx. 90 days after evening? I 100(100 'Currency 1 USD What s the expected volume of assets and currency for the account approx. one year after opening? 1 150000 I Currency I USD Does/w• the client have Assets Under Management (AuM) within 08 under Eur. 314? arm O No Please list all parties related to the account For each party: • Cneck if a source of wealth description Is requeed for the party. • Cneck the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • fame of the check boxes apply, describe the patty% relation to the account in the 'Other' column. • Arways desate the relationship between the parties in the last cam''. • Please drill down to the Wynne/underlying Benekel Ormer(s). egarlescription illitierof Source of Wealth required patties 'elated to this accotnt Account Holder PIC Owner Sado, of Trust / Founder of Foundaton aerate Beneficiaor awner Signatory Full POA _imited ?OA Financial IntermederyShareholdeNtepresentatrve (FIM) grrificant (>=25%) lgon.PIC entity :notate 3wnershrp %) _egal Grantor/Settke Foundin. Donor I . er please iesate other roles and/or ndicate -eladonship between pines) I 2 2 Zeno Development Cop. p O O O O O O O O O 2 O O Darren Indyke O O O • O O O • O O O O jeffrel Epstein O K O O O O O O • O O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000174 UW19 2 814137 EFIA_000 19047 EFTA00168794 KYC Print Page 3 of 10 2. Account Ownership Summary Account Name: ZOO° Development Com -- Money Market A . Number (Cava**) Account Manager: Paul Monis V/hat 6 the purpose of the account (e.g. portfolre management, advisory account, custody services, long-term investment, payment/expense accost)? Money Market account fotexpertses associated with running the ranch In Hen Mexico that Zorro owns. This account will had extra funds and earn interest Indicate from where the assets are expected to arrive? g DB Group: Same Booking Center (indicate account number): Jeffrey Epstein's account X35266976 O DB Group: Other Booking Center (indicate DB location and account details): O Other Insbnation - (Indicate name & location): O Physical 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 1-3 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 1100000 opening? I Currency I USD What S the expected volume of assets and currency for the account approx. one year after 1150000 I opening? Currency I USD Does/wil the client have Assets Under Management (AuM) within DB under Eur. 3M? OYes121No Please list all parties related to the account. FOr each party: • Disk If a source of wealth description is wasted for the party. • Check the appropriate box to describe the relationship of the party to this accost (> 1 can be selects). • (none of the check boxes apply, describe the party's relation to the amount in the 'Other' column. • Always desalbe the relationship between the parties in the last °Ars • Please drill down to the Samate/urderlying Beneficial Owner(s). : egal)escription zribtrof Source of Wealth required Pates related to this accost Account Holder PIC Owner Sada of Trust / Founder of Foundaton Jittiate Beneficialor Dwner Sigrotoryunilted Full PO* ?OA Financial /Significant IntermectaryShareholder ;NM) (>=25%) Non-PIC entity ;Ingrate ownership %) Legal Representative Grantor/Settlor Founclin. Donor • . er please Jen:vibe other roles endrer ndlcate relationship n s) 1 22 Zero Development Cow. 2 O O 0 0 O O O O O 2 OO yke arren lDnd O D O O O O O O O O 3 El 5 tein Eps min O O O n 10 O O O O O CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000175 1,49 2 814138 EFIA_000 19048 EFTA00168795 KYC Print Page 4 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (fu all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Utte Saint James Saint Thomas 00802 US Virgin Islands Has dent resided outside of his/her country of natonsity for 5 years or more? CI yes g No Professen/Ccupation: Self Ernpolyed Tax ID / SSN: Current Employer: Southern Fnancial LLC Pod:Ion/Title/Rant President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USV1 00802 Does the person work as senior executive of a O8-recognized regulated entity in the (Wanda] ndustry? a an entity Isted on a DB-recognised exchange? (Not appecable fa operating entitles CI Yes gl No Is the individual a Politically Exposed Person (PEP)?(/ Yes, *tote) ❑D yes g No To the best of your knowledge, is the individual related to an employee of the DB group?(r Fond Y or Friendslip, desatbe) O Family O Friendship El None To the best of your knowledge, is the irdivklual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods a services)?O (se Yes,descnte) Yes ../ No If applicable, Indicate Midi bankcaters have met the person: Indicate where and when the client meebng(s) took dace: Bark Officer Name(s) Bank Office: Oient Private Domicile: Cent Place of Business: Other Location (specify): Date: Paul Mortis CI g 3/4/2014 . O O O O O O O Wealth Details for this ineWidual are not filled in, because they are the same as for the fdlowing person: 38. Wealth Details (Only for parties requiring smote of wealth description as indicated in Section 2) Nature of the Indykluars Business: Private Rives-Mails Primary Counby of source of wealth/source of Finds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: I Business Owner OSalangarnings O Other: g Investment • hiteritance/Gifts Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did setter accumulate wealth? For inheritance, how dad family accumulate wealth?For busness owners, how keg in business, how many employees, level of proritateity' Indicate type of business, countries of major activales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partnen n 1980. In 1982, Epstein funded his own finanoal management firm, I. Epstein & Co., manacmg the assets of clients with more than a billion in net worth In 1996, Epstein changed the name of his firm to The Mandel Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his chews were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and Ns financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets($): 550 MM - 100 MM Estimated Net Worth(S): $100 MM - 500 WI Amount of assets planned to invest with PWM($): Other Known Fnanzel Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00 Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000176 UW2814139 EFIA_000 19049 EFTA00168796 KYC Print Page 5 of 10 I Country: Instnution: I Please Indicate the family situation of the incl. tual (marital status, other family mentors, etc.): I Est. ASSE45 Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000177 UM9 2814140 EFIA_000 19050 EFTA00168797 KYC Print Page 6 of 10 One sheet must be established tor EACH INDIVIDUAL PARTY in Section 2. Account OwnersillD Summa 3A. Individual Details Oa all parties) Individuars Name: tX3ccen IrCyst, Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of his her country of nab:manly for 5 years or more? O yes El No Professien/Oo:upatkm: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Peel:Ion/Title/Rant Address of employer: 575 Lexington Ave, 9th A Uvingston NY USA 10022 Does the person week as senior executive of a DB-recognized regulated entity in the financial ndustry? a an entity listed on a DB-recognised exchange? (Not applicable fa operating ensiles O Yes RI No Is the individual a Politically Exposed Person (PEP)?(/ Yes, tote) Oyes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?0r Fami Y or Mend)* desatbe) O Family O Friendship El Noce To the best of your knowledge, is the in:K:fuel party to a non-banking relatkinship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods a services)?O (if Ves,descnbe) w Yes -A No If applicable, Indicate which bankafters have met the person: Indicate where and Mtn the client meeting(s) took place: Bark Officer Name(s) Bank Office: Oient Private Domicile: Cent Place of Other Business: Location (specify): Date: Paul Mortis O @ 4/17/2014 • O O O O O O O Wealth Details for this inelvidal are not filled in, because they are the same as for the (droning person: 38. Wealth Details (Orly for parties requiring soiree of wealth description as indicated in Section 2) Nature of the Inivickers Business: Primary Cooney of source of wealth/source of Finds? Primary indusby of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner OSalangarnings O Investment O Inheritance/Gifts • Other: Further Desaibe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how &I fan* accumulate wealth?For business owners, how keg in business, how many employees, level of prelitallity? Indicate type of business, countries of major actlyges, Important business partners.) Estimated Annual Income($): Estimated amount of investatte assers($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Asses Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation d the irolvklual (marital status, other family menters, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(6) DB-SONY-0000178 UM92814141 EFIA_000 19051 EFTA00168798 KY(' Print Page 7 of 10 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Somme 3C. Legal Entity Details (For at Legal Entities) Legal Entity Name: Zama Development Corp. - 00000492732 Type of Entity: • Foundation/Association O Trust @ Company O Estate Ptrease of Entity: @Private Investment • O Pannelshe PbilandirOpec/Chantable OCommerdal Type of Entity Other (specify): Purpose of Entity Other (seedy): Country of inxsporatbaniregisoation: USA Date of incorporation / registration: 3/1711993 Volcker Status: VScker Flag: Address (city, street, post code): 6100 Red Hook Quater, B3 St. Thomas 00802 USN U.S. TIN/EIN: BS-040-9324 Provide a description of the entity's organizational structire, as ownership moose and is Top Management. For trusts/foundations, irclude Information about revocataty,settior and benefka rion,etc.: Zorro is able to issue 3000 shares. Currently there are orly 100 shares issued. All owned by Jeffrey Epstein Please indicate how ownership of the legal entity is reflected: taro s able to issue 3000 shares, Currently there we only 100 shares issued. All owned by Jeffrey Epstein O Special attention: Bearer Sham - Indicate where shares are custodied: Describe the chain from the direct owner of the emay to the ultimate beneficial owner Of not the same pawns): taro s able to issue 3000 share.. Currently there are only 100 shares issued. Al omied by Jeffrey Epstein To the best of your knowledge, is the entity party to a non-banking retatkriship with Deutsdie Bank (e.g. external legal counsel, client referral source, supplier of goods or seivices)?: Yes O No @ Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Zorro Development s a real estate holding company. It Is a company formed to run and operate all actvites assooated with a property that Jeffrey Epstein owns in New Mexico Countries where business is transacted: USA Mater of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealthrsoixte of Finis? Primary indusby of source of Wealthraoirce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseWliaditles): this company is funded by Jeffrey Ensteint personal wealth Estmated gross recerpisi..($): Estmated net profit IM. (S): Estmated Investable asses ($): $1 14 1- 2141 Potential Amount to be invested with PWM (5): 300,000.00 Other Known Rnanoal Institutions: Institution. Country: Est. Assets Under Mgt: Institution. Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000179 UW6)2814142 EFTA_000 19052 EFTA00168799 KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: LIS/LatAm/Intil PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Rig Rating Comments: Booking Center 2 NY 0 NY/Offshore 0Offshore 0 Moderate Risk 2 High Risk Gwen Hill (Compliance Sgnature) D 136 Employee 0 OS Managed PIC 0 OS is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License 0 Passport 0 National/State ID • Other O. Checklist of names (indroduals and/or entities) that were submitted for database searches Is attached 2 Yes El No C. Please Indicate the results of the database searches performed ROC searches complete lil Yes • No negative mutts found Oyes ? No PCR checks complete 2 Yes 0 No negative resift found Oyes 0 No OFAC checks complete Yes 0 No negative results found 0 Yes 2 No BIS searches complete (Lek's/Necks, Factiva, Reuters, Dow Jones, M) 2 Yes 0 No negative rest found Oyes Eil No Denial Orders checics complete Yes 0 No negative results found Oyes 2 No Martindale-Hubbell searched (Lawyers/Law Flinn only) afes RI No negative rest found 0 Yes 0 No D. Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in #1133377 and again when added as POA in KYC #01195100 JEFFREY EPSTEIN: KYC approved in 001121718, #01082293, 001141308, #01195100 ZOftRO DEVELOPMENT CORP: No Negative Make No Court Cases E. To the best of you knowledge, has the dent ever been convicted of a mmirel offense? 2 Yes 0 No F' To the best of you knowledge, has the customer ever been Involved in any past litigation against Deutsche Bank AG or any of Its subskilarles or a the customer threatening Itigabon against Deutsche ab.s No Bank AG or any of its stbsidiarles? (II Ms porde deals below are contact QuaffY Age aatarn/lot) or the Regulatory Control Group and natty Coroogarer 'melee:W*1 G Does the dent or related party have any finandal or other association / interactions withal countries D yes @ No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H Does the client a related party have any financial or other association/ interactions within high risk 0 Yesg No counmes? I. Corporate Documentation Attached (Legal Entities Only) 2 Yes • No 0 Not Applicable J. undadosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 2 Not Applicable K. If Lees/Necks Search Results, Corporate Opponents or Other Supporting Documentation is not In English, crease provide an English summary of the nature/coMent of the non-English Documentation: L Special Risk Factors Does the amount have Nexus to Special Risk Countries? 0 Yes 2 No Is the account structure unusually complex? 0 Yes 2 No Is there any indication the dent set up a non operating company expressly Yes 2 No for the purpose of transferring shares to third pates? Is there any indication this amid be a prohibited busress relationship? 0 Yes RI No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000180 U§192824143 EFIA_000 19053 EFTA00168800 KYC Print Page 9 of 10 Are the bearer snares bentifeci subject to acceptable controls? 0 yes El No I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000151 UM9 2814144 EFIA_000 19054 EFTA00168801 KYC Print Page 10 of 10 M. Case Comments Yo records to flay. ONSHORE APPROVALS Client Facing Professional (CFP): Paul !leers (Signatire) Pal Morris 9/23/2019 Office Director/Business Head: Kimberly Hart (*nature) Kimbedy Hat 4/23/2014 Regional Office Director (*nature) AML Business Risk: (Signature) AML Compliance: Jane Franklin (Men Fu (SignatLre) Jambe Franklin Gwen Hit 4/25/2014 4/25/2014 LATAM/INTERNATIONAL APPROVALS Oient Facing Professional (CFP): (Sgnature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub• Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy 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 of CFP'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 of my knowledge and belief the above information is correct and up to date. I confirm that 1 have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that 1 have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000162 1.1§et92814145 EFIA_000 19055 EFTA00168802