EFTA00168803.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01305519 One sheet must be established er relationship • list all accounts included in the relationship 1. Relationship Details Relattnship Name: 3SC INTERIORS LLC RELATIONSHIP-Booker; Center: New York Relationship Manager: Paul Morris gl New PWM Relabcnship 1O Existing PWM Relationship Rated:fishy to PWM: If existing, please Mclicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Client(s) 0 Client Referral 1O RM Prospect I O IMermediary/FIM I . Other Source (CIB, etc.) Introduced? How long has the RM personally known the dent? Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Richard Kahn is a current sent of Paul Morns. He referred the account as he knows the owner of this LLC and is also POA. Does Deutsche Bank pay a retrocession or similar 0 Yin le No compensation to a third party for the itroduction of this relationship? (If Yes. &sate List all existing and new accou ts involved in this relationship Legs Entity Acmunt(s) Account Name / Number Opening Date (intended/actual) 4 3SC Interiors LLC-Deposits 11/19/2014 2 M )SC Interiors I1C - MMA 11/19/2014 Who is the winery contact person for the RM? (Note: This person needs to have signatory riles and/or informabm right for the accounts.): Mohan! Kahn Preferred method of contact (indicate phone no., fax no., email access, etc.): Status : 1. Approved CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000193 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814146 EFIA_000 19056 EFTA00168803 KV(' Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: )SC Interiors LLC - Deposits Acct. Number (if avArableA Account Manager. Paul Morris What is the purpose of the account (e.g. pertfolci management, advisory account, custody services, trig-term investment, payment/expense account)? Checking account for daily activities associated with running an interior design company. Indicate O MI T O from where the assets are expected to arrive? DB Group: Sane Booking Center (indicate account number): DB Group: Other Bookrig Center (mdcate DB location and account details): Other Institubon (Indicate name & location): WPM Physical Deposits (speofy rash, 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 10-20 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and arrange for the account approx. 90 days after opening? 125000 I Cirrency I USD What is the expected volume of asses and anew/ for the account approx. we year after opening? 50000 I Currency USD Does/will the sent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes 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 (> I can be selected). • If none of the check boxes apply, desate the party's relation to the account in the "Other column. • Always describe the relationship between the parties a the last column. • Please drill down to the ultimate/underlying Benaidal Owner( ). _egal`Desoytiard Saute of Wealth required Parties related to this account AccountIPIC Holder OW Setts' of rust / Founder of ccundation Ultimate Benefcialu Owner Signator,Limitecifinanoal Pull POA POA Intermedia (FIN) lona-tent hareholder >e25%) on-PIC ntity ndicate wnership ) Legal Representative rantm/Settlorfourd Donor er please imaibe other roles and/or ndicate lattoship Setween 'actin) 1 O O Richard Kahn O K O O O O • • • K O 2 2 2 )SC Interiors LLC EI O O O O • • • O O 3 O 2 0 0 O E1 0 si 2 N CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000184 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824147 EFIA_000 19057 EFTA00168804 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: JSC Interiors LLC - MMA Acct Number (ifarslable). Account Manager: Paul Morris What is the purpose of the account (e.g. patfoho management, advisory account, custody services, krig-term investment, payment/expense account)? Money Market account to hold funds and earn interest for the interior design firm Indicate from where the assets are expected to arrive? • DB Group: Sane Booking Center (indicate account number): O DB Group: Other Booki-ig Center (indicate DB location and account details): In Other Insbtubon (Indicate name & location): )PM 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 pe month)?: Roughly 1-3 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and arrange for the account approx. 90 days after opening? 125000 I Currency I USD What is the expected volume of assets and anency for the account alpaca. one year after opening? 150000 I Currency I USD Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? ares2INo Please list all parties related to the account. For each party: • Check if a source of wealth descnpton is required fa the party. • Check the appropriate box to describe the relationship of the party to this account (a 1 can be selected). • If none of the check boxe apply, desate the party's relation to the account in the "Other column. • Always describe the relationship between the pates in the last column. • Please drill down to the ulbrretefundehying Beneficial Owner( ). !:, I scriptth Wealth aired Parties related to this kcount Accom o 0 oIC Holder OwnerTrust Sett: I Foundation :ounder of Ultimate o 8eneficiakr Owner Seignatintiomiteciionaixial Full POA POA 'Significant InterrneduryShareholder (FIN) (n25%) Non-Plc entity Indicate ownership %) Legal Representative GrantalSettlor=ourdincAlther Donor (please Jescribe other roles and/or nclicate relationship between parties) oSarce i Richard Kahn M O O 2 lEl El JSC Interiors LLC 2 O O O O O O O O O 3 O El AO OE 2 O OO O O D CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000185 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824148 EFIA_000 19058 EFTA00168805 KY(' Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnership Summa 3A. Individual Details (for all parties) Individual's Name: Richard Kr- Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary nridence: Has dient resided outside of his/her country of nationality for S years or more? O yinIRIN0 Profession/Oen/potion: Accountant Tax ID / SSN: Current Employer: MAK Assodates, Inc Position/T43e/Rank: Address of employer: 575 Lexington Ave, 4th A New York NY USA 10022 Dees the person work as senior execubve of a DEI•recognized regubted enbly in the financial industry? or an entity listed on a DB•recognised exchange? (Not applicable fer operating entities O Yes RN° Is the individual a Politically Exposed Person (PEP)?(tY Yes. &scribe) 0 Yes E l No To the best of your knowledge, is the individual related to an employee of the DB group?, Family or Friendship, desente) 0 Family 0 Friendship RI None To the best of your knowledge, is the individual party to a nen-banking relationship with Deuische Bank (e.g., external legal counsel, dent referral source, supplier of goods or services)?(//' Yesedesate) El Yes T No 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: Oient Private Deenidle: Client Place of Business: Other Location (specify): Date: Paul Morris O 11/412014 • i O O O O • • O Wealth Details for this individual are not filled n, because they are the same as for the folowing person: 3B. Wealth Details (Only for parties recoking source of wealth description as indicted in Section 2) Nature of the Individual's &minas: Pnmary Country of saute of wealth/source of Funds? Pnmary Eudusty of source of Wealth/Source of Arids? Summarize Source of Wealth: CI Business Caner O Salary/Eamings DOther: O Investment • Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the Saute: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?Fcr busi-ess owners, how long in business, how many employees, level of profitability? Indicate type of business, counties of major activcies, important business partners.) Estimated Antral Income($): Est nated amart of investable assets($): Estimated Net Worth($): Amount of assets planned to invest with PWN($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: I Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000186 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824149 EFIA_000 19059 EFTA00168806 KYC Print Page 5 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the family stuabon of the individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. le) DB-SONY-0000W https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814150 EFTA_000 19060 EFTA00168807 KY(' Print Page I of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnership Summa 3A. individual Details (for all parties) Individual's Name: Date of Birth: Country of Residence: County of Citizenship: Address of primary rwadence: Has dient resided outside of tes/her country of nationality fix S years or mere? O yin EINo Profession/Occupation: Tax ID / SSN: Current Employer: Position/ale/Rank: Address of employer: Dees the person work as seni industry? cc an entity listed on entities nancial a DB.recognised exchange (Not applicable for operating aim® No Is the individual a Politically Exposed Person (PEP)?(/ Yes &scribe) O Yes E l No To the best of your knowledge, is the individual related to an employee of the DB group?(& Family or Friendship, descnte) 0 Family 0 Friendship RI None To the best of your knowledge, is the individual party to a nen-banking relattoship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods cc servicc)?(// Yesdesate) El Yes T No If applicable, indicate which bank officers have met the person: Indicate where and when the client meebng(s took place: Bank Officer Name(s) Bank Office: Giant Private Dcrnidle: Client Place of Business: Other Location (specify): Date: Paul Morris O 11/3/2014 • O O O O • • O Wealth Details for this individual are not filled n, because they are the same as for the foaming person: 3B. Wealth Details (Only for parties redwing source of wealth descripbon as indicted in Sectien 2) Nature of the Individual's Business: Interior Design Pnmary Country of spree of wealth/source of Funds? Primary nclust-y of source of Wealth/Spree of Funds? Summarize Source of Wealth: 0 Business Owner O Salary/Eamings DOther: O Investment • Inheritance/Gifts Further Describe Soiree of Wealth /Detail the history of wealth for each of the saran: (e.g. For trusts, how dud settler accumulate wealth? Fa. inheritance, how rid family accumulate wealth?Fcr busriess owners, ho . .A. I .. .. i...-.. I .. H . it - H.....4,, .4 - ... . i.. . • i. > i. .,..- • .. :I Estinatei Annual Incane($): 100,000.00 Estimated amount of investable assets(S): <SI MM Estimated Net Worth($): <51 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000188 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814151 EFIA_000 19061 EFTA00168808 KYC Print Page 7 of 12 Institution: Country: Institution: Country: 1 Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: )SC Interiors LLC - Type of Entity: El Foundabon/Association El Trust 2 Company ❑O Estate O Partnership Purpose of Entity: ®Private InvitbneM O Philanthropic/Charitable O Commercial Typed Entity Other (sPecifY): Purposed Entity Other (specify): Country of incorprabon/reastration: USA Date of tion regincorpora istration: / 11/7/2014 Volcker Status: Volcker Flag: Address (city, street, post code): S75 Lexington Avenue, 4th Fl New Yolk NY 10022 USA USA U.S. TIN/EN: 47-22947% Provide a description of the entity's organizational structure, its ownership structure and Its To Management For trusts/foundabons, include information about revocabillysettla and beneficiaries,etc.: Please indicate how ownership of the legal entity is reflected: Richard Kahn is the Manager RI Special attention: Bearer Shares - Indicate where shares are cvstodkd: NIA Describe the chain from the direct owner of the entity to the ultimate beneficial owner (elm( the same personO Richard Kahn 6 the Manager To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dent referral source, supplier of goods or services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: JSC Interiors LLC is an interior design company. It deugns riterfors for hornies, companies, corporate offices, etc Interior dragn I:use-Jess for individuals / NYC will be primary foot but wil expand over time to other locations where clients have hones. Therein 1 office fp:cabal and it is located in New York. Countries where business is transacted: USA Number of emp.oyees: I 3D. Wealth Profile (Only for pates requiring source of wealth description as indicated in SECO, 2) Pnmary Country of saute of wealth/saute of Funds? Pnmary riclusb-y of source of Wealth/Source of Funds? Pratte Evidence of Corporate Assets (e.g. balance sheet o equavalent summary of assers/liablities): JSC Inter ors LLes asset come from the fees it charges its client for it decorating services. The firm specializes in the high end and works mainly with elite private client and companies Estimated gross receipts p.a.(;): 400,000.00 Estimated 300,000.00 net profit p.a. ($): atinatei investable asset ($)* <El NM Potential Amount to be invested with PWM (§): 100,000.00 Other Known Financial Institutions: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000189 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824152 EFIA_000 19062 EFTA00168809 KYC Print Page 8 of 12 Institution: )PM Country: USA Est. Assets Under Wit: 100,000.00 Institution: Country: Est. Assets Under Wit: Institution: Country: Est. Assets Under Wit: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. e(e) DB-SDNY-0000190 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=01N30000000D9Di&e... 4492824153 EFIA_000 19063 EFTA00168810 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Intl PART I Relationship Name JSC INTERIORS LLC RELATIONSHIP Risk Rating Comments: Booking Center g NY UOffshore NY/ 0 Offshore O Moderate Risk C❑ u i High Risk (Compliance Signature) O DB Employee U DB Managed PIC 0 DB is Trustee/Co•Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License O Passport O National/State ID • Other .. Checklist of names (indMduals and/or entities) that were submitted for database searches is @Yu O No • attached C. Please tolicate the results of the database searches performed RDC searches complete 2 Yes • No negative results found O Yin No PCR checks complete FA ,AN O No negative results found arue giNo OFAC checks complete g Yes • No negative results found O Yin TNo BIS searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, D&B) 2y. El No negative results found Olt ®No Denial Orders checks complete e Yes 0 No negative results found 0 Ye 2 No Marbridaleilubbell searched (Lawyers/Law Ferns only) 0 Yes RI No negative results found ate ONo Please somrranze any negative results from the database searches indicated above: No negative resits No court cases JSC INTERIORS LLC D. No negative resits No court cases RICHARD KAHN: KYC a. • roved in E. To the best of your knowledge, has the dent ever been convicted of a criminal offense? O Yes g No To the best of your knowledge, has the customer ever been involved in any past legato, agallst Deutsche Bank AG or any of its subsidiaries or is the arstomer threatening litigation against F. O Yes 74 No Deutsche Bank AG or any of its sLbsidiaries? (If Yes pmeiefe details below and contact (UAW MO aatArnantI9 or the Regulatory Control Group a/notify Compaance inmediately) Does the dint or related party have any financial or other association / altered:lam within G. O Yes g No countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ,., Does the dint or related party have any financial or other associate,/ interactions within high H' countries? O Yes 2 No I. Corporate Documentation Attached (Legal Entities Only) 2 Yes O No O Not Applicable 1 Inds hosed Prindpal Form Complete (Intermediaries Only) • Yes O No @Not Applicable K. If Leds/Neds Search keit, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nabire/contenis of the non•Englsh Documentabon: L. Special Risk Factors Does the account have Nexus to Special Risk Counties? O Yes lin No Is the account structure unusually complex? O Ye El No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(o) DB-SONY-0000191 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 4192814154 EFTA_000 19064 EFTA00168811 KYC Print Page 10 of 12 Is there any indication the client set up a non operating company expressly far the purpose of transfening shares to third parties? Is there any indication this could be a prohibited business reLabcoship? O yes 2 No Oyes ®No Are the bearer shares ideMified subject to acceptable controls? Dyes ®No CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. le) DB-SDNY-0000192 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192824155 EFIA_000 19065 EFTA00168812 KYC Print Page 11 of 12 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professorial (CFP): Paul Morris (Signature) Paul Morris 11/14/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 11/17/2014 Regional Office Director: (Signature) AML Business Re*: Meksa Venegas (Signature) Hells] Venegas 12/2/2014 AML Compliance: (Signature) LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) 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 swish, 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 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 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000193 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814156 EFIA_000 19066 EFTA00168813 KYC Print Page 12 of 12 Deutsche Bank Amedes New York !FA CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. Ft) DB-SDNY-0000194 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824157 EFTA_000 19067 EFTA00168814