EFTA00168946.pdf

KYC Print Page I of 20 DB P1A/N1 GLOBAL KYC/NCA: PART A rA KYC Case # : 01977694 ne sheet must be established per relationship - list all accounts Included In the relationship Status : 6. Approved 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL REIATIONSNIP:00000483290 Booking Cater: New York Relationship Manager: Stewart Wiled O New PWM Relatenship la edging PWPI Relationship Relationship to %W14: If existing, please Indicate since when the relationship esists, provide reason for new work and attach old prolle. m • m 2018 Periodic Review - KR Overdue KYC -•, Last Approved KYC 8 Plan D LLC - 1790820; NES LLC - 1790739; The 2007 Jerre/ E Epstein Insurance Trust & The Haze Trust - 1804531. IDs foe. Damn froyea a Richard Kahn can be found in 'Repository' of GCIS r 486405. O Client Referral O RP1 Prospect • Intemediwy/FIM O Other Son (CB, a.) How Was the Client(s) Introduced? How long has the Rm Kev3KaKK m own the * Kw Please provide details (e.g. name of referral sate, how many yews RI4 wsonally has known dent, etc.): Jeffrey Epstein reached out to Stew Cildield on 3/7/17 to have a new acct opened under this relationship.. Ooes Deutsche Bank pay a retrocession or similar O Yes I l° No compensation to a third pay for the introduction of the relationsNp? arras, desolbei List all existing and new accounts Involved in this relationship Legs Entity Acecungs) Account Name / Weber Opening Date (ntendediacual) I O Its LLC - 42953758 - DDA-42953758 11/8/2013 2 21 Plan D LLC - 42953467 - DDA-42953467 10/18/2013 3 g The Haze Trust - 77000949 - DOA-7701:0949 2/21/2017 4 RI The Haze Trust - N4G024943 - DESI-N413024943 9/23/2013 5 0 The Haze trust - 42967297 - DDA-42967287 7/27/2 17 'Ate 6 he primary contact poison or the Stal? (Note: This prison needs to have signatory I opts and/or Inforwatkin right roe the accounts.): K. inchte Darren Preferred method of contact (Indicate phone no., fax no., e-mail adtress, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000326 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0 I N30000000D9Di&e... U§192824289 EFIA_00019199 EFTA00168946 KYC Print Page 2 of 20 One sheet must be established for each account to be 2. Account Ownership Summary Account Name: Nes LLC - 92953758 - ODA Acct. !timber (i I evadable): 92953758 Accown Manager: Stewart Criteld What is the purpose of the account (e.g. portfolio management, Weary account, custody smites, long-term Investment, payMentiesPense account)? TM Is a sine* checking account to take care of the expenses associated with running Jeffrey Epstein's NY home Indicate from where the assets are expected to arrive? rr ..4 DB Group: Sane Backing Center (Indicate account nuttier): Eesting O DB Grow: Mt Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques....): What is the copected axe and frequency of regular Mims aid outflows (or the accowit (Indicate estimated number and volume per month)?: ••• 10-20/month; $30 - S20K What is the expected yr:tome of assets and currency for the ao:ount approx. 90 days anis °Penne? 252,347.66 I ardency I USD What is the copected volume of assets and currency for the account apprce. one year after opening? 254347.65 I ardency I USD Ooesfwill the dent have Assets Under Management (AuM) within DB under Eur. 3M? O Yes lil No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Cried( the appropriate box to desaite the relationship of the party to this account (> I can be selected). • U none of the check boxes apply, dew be the party's relation to the account In the "Other mann. • Always desalbe the relationship between the parties in the last column. • Please drill down to the ultimaWundedying Beneficial Owner(s). agar Enfityof Desolation Smote of Wealth tan- ed Parties dated to Ns account AccountPIC ridder CnvnerTruSt Senior of / Founder of Foundation Lttimate Benelkial Owner Signatay‘imitedFirandal or Full POA ?OA ntemeciaryStarehorder FIM) Significant >=2514) ;Ion-PIC entity inchcate ownership % Legal Representative Grantor/Seale:founding Donor Cther (please describe other roles and/or ndicate relationship between I g 51 NES, LLC 1 5 O O D O DO O O O 2 O O Darren K. Inoyte O O O O O O O O O O Auth Sena; 3 O O Haw Beier O OO O I21 O O O O O Atrch Sena; 4 O 0 Epstein Jeffrey E. O O O O O O O ix O O O Beneficiary;Sole Member:Primary Decision alaker;Sole Owner; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000327 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814290 EFIA_000 19200 EFTA00168947 KYC Print Page 3 of 20 2. Account Ownership Summary Account Plane: Plan D LLC - 42953467 - DDA Acct. Number Of available: 42953467 Account Manager: Stewart Oldieki What Is the purpose of the account (e.g. portfolio management, adhscry account, custody services, long-tam investment, payment/expense account)? 11% Is a simple checking axowit for pay for costs associated for Jeffrey Epstein's airplanes Indicate Iran where the assets we expected to anive? 0 DB Group: Sane Backing Center (Indicate account nLenber): 06sting • DB Group: Cther 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 Inflows and outflows for the ao:owit (indicate estimated number and vane per month)?: ..., 1-$/month, $100 - $500K What Is the copected volume of assets and currency for the account approx. 90 days after opening? 1 790,453.14 1Cwyercy 1 USD What Is the expected volume of asses and currency for the account appiox. one year after opening? 1 790,453.14 'Gummy 1 USD Does/will the ctent have Assets Under Management (AuM) %thin DB under Eur. 3M? O YcsEa No Please list all parties related to the account. For each party: • Died( if a source of wealth descr1tion is required for the party. • Check the appropriate box to describe the relationship d the party to this account (> 1 can be selected). • U none of the check boxes apply, desc, be the party's rdation to the account In the 'Mee coin. • Always desc,lbe the notatenship between the parties In the last column. • Please drill down o the ulUrnaWunderlying Benefidal Owner(s). egs EnUtyof bee:notion Saute of Wealth requeed Partes related to this account AccountPIC KV. de OrrnerTrust Senior of / rounder of roundaUcri litimate Beneficial Owner Bgnatcry‘Imitectirandal or Full POA POA nterniectaryShareholder ,FIM) tgnificant >=25%) Yon-PIC entity inckate )wnership %) Legal Ftepresentatna toantor/SetUcerFouncling Donor Geier (please desc,lbe other roles and/or ndicate relationship between pates) I M EI Mai D, LLC O O O O O O O O O O 2 O a EPstein Beneficiaty;Scte O O O a a • El O O O Mernber;PrImary Dedsion Maker; 3 O O Dwen IC Indyre O O O O a O O O O O Aunt Signor; 4 O O 1*M Beier O OO O a O O O O O Auth Signor; 5 O O Lawrence Pall Visoeld Jr O O O O O O O 12 O O Manager: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000328 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... UM92814291 EFIA_000 19201 EFTA00168948 KYC Print Page 4 of 20 2. Account Ownership Summary Account Nam: The Haze Trust - 77000949 - ODA Acct. Number (Java/able). 77000949 Accown Manager: Stewart OWNS What is the purpose of the account (e.g. portfolio management, adhsory account, custody services, longterm investment, paymaniexpense account)? INS San interest bearing cheddng account for costs (taxes, etc.) related to the Trust Indicate from where the assets are expected to wive? El DB Group: Same Backing Center (Indicate account number): EXeting • DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): • Phyrical Deposits (specify cash, securities, cheques, ...): What is the ("peeled size aid frequency of regular Inflows aid outflows for the acicowit (indicate estimated number and volzme per month)?: ..- I-3/month; Sink - MIMI What is the opected volume of assets and currency for the account approx. 90 days after °Penne? 17,707,707.25 larrency I USD What is the expected volume of asses and currency for the account approx. one year after opening? 17,707,707.25 'aplenty I USD Ooes/will the ctent have Assets Under Management (Ault) within DB under Eur. 3M? annO tao Please list all parties related to the account. For eadi party: • Oiedc if a source of wealth (description is required for the party. • C,eck the appropriate box to describe the telationshi of the party to this account (> I can be selected). • U none &the check boxes apply, describe the party's Mallon to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ulUrnaWundetlying Benet Idal Onner(s). cgs Enntyof besalption Scarce of Wealth reseed Parties related to this account AccounIPIC Holder Owns Sella of Illitknate Trust / Founder of Foundation Beneficial/or Omer 5Ignatoty;rniteC Full POA POA Financial IntornediaryShareholder (Fill) tignificaM (>=25%) tion-PIC entity (Indicate ownership %) Legal Reptesentatiw Giantor/Setto,Founding Donor Other (please desert* other roles and/a lnlcate relationship between Nunes) I 2• The haze Trust 5 O D O O O El O O O 2 O • Damn K. I richece O O O O 5 • 2 O O O Trustee:Trustee;Auth Slone, as Trustee: O5 Jeffrey E. Epstein O O 15 B O DO O O 2 Senior:Beneficiary; Trustee:Trustee;Auth Sigma as Trustee & Primary Decision 'taker: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000329 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... U§192824292 EFIA_000 19202 EFTA00168949 KYC Print Page 5 of 20 2. Account Ownership Summary Account Plane: The Haze that - N4G024943 - OBSI Patt. Number (if areatleA N4G024943 Account Manager: Stewart Ordeal What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm Investment, paymentiopense account)? TNs Is a brokerage account for the Dust to hod and make investments in marketable securdes Is the purpose of the axmot. Indicate from where the assets are expected to anlye? 0 DB Grow: Same Booking Center (ndcate account number): EX6Ung O DB Grow: 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 site aid frequency of regular Inflows aid outflows for the xcoLMt (indicate estimated number and vaunt per month)?: -- 3-10/month; $10- $2MM What is the demoted volume of assets and currency for the account approx. 90 days after 120,355,143.12 °Perlin? I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 120,355,143.12 I Currency I USD Does/will the denthave Assets Under Management (NM) within DB under Eur. 3M? ❑O yes 0 No Please Ust all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Chock the appropriate box to describe the dationship of the party to this account (> 1 can be selected). • U none of the check boxes apply, describe the partyY relation to the account In the "Other column. • Always describe the nalatenship between the parties I the last column. • Please drill down to the ulUrnaWunderlying Beneficial Owner(s). _egal EnUtyflowte besalption of Wealth required Parties related to tNs account Accountant Holder OwnerTrust/ Senior of Founder of Foundation ideate Benerbaer Owner Signatory Full POA _imtedinancial POA Interneda ',FIN) Sgnificant eateholdeneprosentabve (>-25%) Non.PIC allay (Indicate ownership %) _egal `3rantor/Settlart-ounding Donor Other (pease describe other roles and/or inch:ate relationsNp between Duties) I 2 s The Haze Trust 0 O O O O LI O O O O 2 O O jeffiel E. Epstein O O 2 O o o o . O o Settlor;Bencliciary; Trustee:Trustee;Aurn Signor as TIUStee & Primary Decision Maker: 3 O O Darren K. Indywe O O O O O O O O O O Trustee:Trustee;Aurn Senor as Trustee; 4 O • Paul Barrett O O O O O O • O • • Pail has Limited Trading /wthotization for Brokerage account; O O B" am O O O O 0 O O O O O POA In Bickelage Account; 6 ID Li Jean Anne Brenran Webrach "❑ r—r l O O O O O O O • O POA In Brokerage Account; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000330 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824293 EFIA_000 19203 EFTA00168950 KYC Print Page 6 of 20 2. Account Ownership Summary Account Nam: The Naze trust - 92967287 - WA Acct Number (travailed/0: 42967287 Accost Manager: Stewart Oldfield What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The a a simple checking account for costs (taxes, etc) related to this Trust Indicate from where the assets are expected to arrive? El DB Group: Sane Backing Center (Indicate account number): Fasting • DB Group: Other Booking Caller (Indicate DB location and account details): O Other Instihtlon — (Indicate name & location): • Physical Deposits (specify cash, securities, cheques....): What is the wetted size aid frequency of regular Inflows and outflows for the accowit (Whale estimated number and vcaime per month)?: There are regular transactions in The Maze brokerage acccunt, whet) is where most of the activity is. The deposit cocure Just herds cash to earn the interest. Wouldn't apect many transactions there. What is the expected volume of assets and currency for the account approx. 90 days after Opening? 12,5D3,667.84 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after 'wring? 12,5D3,667.84 I Currency I USD Ooesfwill the dent have Assets Under Management (AuM) %OUP DB under Eur. 3M? O Yes @ No Please list all parties related to the account For each party: • Cried( if a source of wealth description is reciLited for the party. • a led( the appropelate box to describe the relationshi of the party to this account (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the ul mate/underlyi . 9 eeneria Owner(s). Legal Entity)f Desoiption Source of Wealth requited Parties related to this account AocounUNC Holder Ovine Settler of (Ultimate Trust) Founder ore...vier ccundation ISigratonn..inuteC Benelidalor Full POA POA Financial IntermediarySharehokter (FIN) Significant (>=25%) Non-PIC entty (Indicate ownership %) Legal Representative Cy/error/Sett°,Founding Domr Other (please descrbe other roles ,idler indicate iNationship between )arties) I O 0 The Haze Trust a O O O O O O O O O 2 O • Jeffrey E. Epstein O O El El D • O D O O Setidor:Benefleary; Trustee:Trustee;Auth Wry as Trustee & Primary Decision Maker: 3 O • Damen K. I O O O El 5 O O O O O Trustee:Trustee;Auth S et as Trustee' CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000331 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814294 EFTA_000 19204 EFTA00168951 KYC Print Page 7 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3/3/4. Individual Details (tor all pates) Individual's Name: Jeffrey E. Epstein - 00000483289 Dated Birth: 1/20/1953 Country of Residence: Virgin Islands, U.S Country of OUzenship: United States Adctess of plenary residence: Little Saint lames Salt Thomas 00802 Virgin Islands, U.S. Has dent resided outside of his/Mr countryof nationality fa 5 yeas or more? O yes ®No Profession/Occupation: Self Ernpolyed I Tax ID! SSN: Current Employer: Southern Trust Company Inc Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas Virgin Islands, US. 00802 Does the person wok as senior executive of a CO-recognized regulated entity in the Mandel Industry? or an entity listed on a DB-reel:gilded exchange? (Not applicable for operating entities 0 Yes 0 No Is the mew/dual a politically Exposed Person (PEP)?(/ Yes, despite) Comectlon with Prince Andrew and Bill Clinton 2 Yes D No To the best of your knowledge, is the individual related to an employee of the DB group?(YFatra), Or FrivaArtez descnbe) N/A O Family O Friendship g Now To the best of your knowledge, is the individual party to a non-banking relatlonsNp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(a Yesdesothe) NA Oyes 2 No If applicable, notate which bank officers have met the person: Indicate where and when the died meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Client e: Client Place of &Hitless: other incadon (specify): Date: Stewart geoid 0 0 0 6/29/2017 0 O O O O D 0 Wealth Details fa this individual are not filled in, because they we the same as for the following person: 36. wealth Details (Only for parties requiring sows of wealth description as indicated in Section 2) Nature of the Individual's Busness: Private investments thimay Country of sows of wealth/soiree of Funs? Unted States thimay industry of source of Wealth/Source of Funs? High Rid Financial Institutions Summarize Source of Wealth: 5 Business Owner • Salary/Earnngs ril Investment O Inheritance/Oils O0ther: Further Desote Source of Wealth /Detail the history of wealth for each farnly acurmulate weath?For business owners, how long in busness, business Jeffrey Edward Epstein January of the sources: (e.g. For Create, how cid senior accumulate wealth? For Obedience, how did how many employees, level of prentability? Indicate type of business, countries of major activities, 20, 1953) is an American (bander and registered sex offender in the united States. He waked at & Co. He Wes in the US Virgin islands. Epstein taught calculus and physics at the Dalton Schad Alan C. Greenberg, chairman of Bear Steams. he waked in the special products dedrion, advising high-net-worth dents co tax strategies. partner at tear Stearns. & Co, managing the assets d dents with more than $1 Son in net worth. In 1987, Leslie woolen's clothing stores, became a well-known client. Wooer a:quiree Abercrombie & Fitch the East Sole into an enormous residence. Epstein later bought that property, in the wealthiest part of Trust Company and, for tax advantages, based it on the island of St. Thomas in the U.S. advertising exec love Donny Deutsch, investor Nelson Pet, media mogul and publeher Malmo Weinstein. They were ultimately outbid by Duce Wasserstein, a longtime Wall Street investor. Radar a celebrity and pop culture magazine founded by Maer Roshan. Epstein and Zuckerman a wall ownership stake. consoling company that invests the assets of thew clients and gels their revenue from the return to their dents and makes their revenue based on the returns and the fees associated with important partners.) (ban Bear Stearns early in his career and then formed his own firm, 1. Epstein in Manhattan from 1973 to 1975. Among Ns students was awn 0 In 1976, Epstein started week as an options nada at Bear Stearns where Provng successful in his financial career, n 1980 Epstein became a In 1982, Epsten founded his own firancal management firm, 1. Epstein Werner, founder and chairman of Ohio-based The Limited than of folowing year. In 1992 he converted a private school on the Upper Manhattan. In 1996, Epstein changed the name of InS firm to the Financial Virgin Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were Zuckerman, who had the New York Daily News, and film producer Haney who paid $55 minion. In 2004, Epstein and Zuckerman committed up to $25 million to finance were equal patties in the venture. Restart, as its editor-In-chief, retained Presently, W. Epstein founded Southern Trust Company Inc, a private of these Invetmens. Seuthern Trust Invests In afferent port/dos catered managing their dent's assets Estimated Annual Indine(S): 110,000,000.00 I Estimated amount of invstable asseu,($): I $501M1 - 100 MM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000332 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... / I/192814 295 EFIA_000 19205 EFTA00168952 KYC Print Page 8 of 20 Estimated Net Wort1($): $500 MM + I Arrant of assets pained to invest with INVI4($): 2,300,000.00 Other Known Mandel Instautbns: InsUtutico: Country: Est Assets Under MA: InsUtutico: Canby: Est Assets Under Mgt InsUtutico: Cotritry: Est Assets Under Mgt Please Indicate the family situation of the Individual (marital status, other fanely members, etc.): N/A CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000333 https://dbforcepb.my.salesforce.com/servlethervlet.Integration?lid=0IN30000000D9Di&e... 4492824296 EFIA_000 19206 EFTA00168953 KYC Print Page 9 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ownershl Summary 3k Individual Details (lor all pates) Individual's Name: Darren K. Indyke - Dated Birth: Country of Residence: Untal States Country of Otizenship: United States of plenary Has trent resided outside of his/her country of nationality faO 5 yeas or more? yes ®No Adtress Profession/Occupation: Accountant Tax ID i SSN: Current Employer: Southern Financial I1C Position/Tele/Rank: Accountwit Address of employer: 6100 Red Hook Quarter B3 LiVingston Virgin Islands, U.S. 00E:02 Does the person work as senior executhe of a CB-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognael exchange? (Not applicable for operating entities 0 Yes 0 No Is the incfMclual a Politically Exposed Pence (PEP)?0, Yes, tote) N/A O yes Ica No To the best of your knowledge, a the inchAdual related to an employee of the DB group/titan/P.71, 0r Fnc.413.47, desmbe) N/A O Family O Friendship g None To the best of your knowledge, a the inchAdual party to a min-barking relationship with Deutsche Bank (e.g., external legal counsel, diem referral source, supplier of goods or sentes)?Or ves,deso-ibe) N/A Oyes 2 No if applicable, indicate which balk officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Offke: Client Private Derriere: Client Place of Business: Other Locatbn (specify): Date: Stewart adfield 0 0 0 12/12/2016 0 O O O O CI 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring plate of math description as imitated in Seek.) 2) Nature of the IndNiduars &mines: Prepay Country of palate of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source of Wealth /Detail the history of wealth fa each of the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did Vanity accumulate wealh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important Cosines panties.) Estimated Annual Incane(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PWM($) Other Known Randal Instiutbns: Insttturion: Country: Est. Assets Under Mgt Insttturion: Country: Est Assets Under Mgt Insbtution: Country: Est. Assets Under Mgt Please indicate the family situation of the InciNidual (renal stabs, other tan/ members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000334 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9Di&e... /I/192814297 EFIA_000 19207 EFTA00168954 KYC Print Page 10 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershi Summary 3k Individual Details (for all pates) Individual's Pin: Harry Beier - Date of Earth: Country of Residence: United Stabs Country of Otter hip: United States Adtress of plenary residence: Has tient resided outside of his/her countryof nationallyfe 5 yeas a more? O yes ®No Profession/Occupation: Accountant Tax ID ISSN: Current Employer: HBRK Assodates, Inc Postbag itle/Rat Accountant Address of employer: 575 teengton Avenue, 4th Hoot Matey NY United States 10022 Does the person wet as senior executive 04 a DO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the ince/dual a Politically Exposed Pencil (PEP)7(lYes, tote) N/A Oyes Ica No To the best of your knowledge, is the inclyidual related to an employee of the DB group?(rf Fat* Or Flic...bhp, ctsmbe) N/A O Family O Friendship g None To the best of your knoMedge, is the inclyidual party to a non-barking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(t YeS,62SOthe) NA 0 Yes 12 No If applicable, indicate which balk officers have met tie person: Indicate where and when the client meeling(s) took place: Bark 0mcer Name(s) Bank Cake' ' Client Private Donde: Diet Place of Business: Oilier Locatbn (specify): Date: 0 O 0 0 O O 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring soiree of wealth description as imitated in Seiko 2) Nature of the Inclividuars Business: Pitney Country of solace of wealth/source of Funds? ',limey industry of source of Wealth/Source of Funds? Summarize Source of Wealth: OBusiness Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Describe Source &Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id setUor accumulate wealth? For inheritance, how did famly accumulate weallh?For business owners, how long in business, how many employees, level of prontability? Indicate type of business, woollies of major beanies, important Wines partners.) Estimated Annual Income(S): Estimated amount of investatle assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Financial Institutions: InstRurico: Counby: Est. Assets Under Mgt InstRurico: Country: Est Assets Under Mgt InsUtutico: Country: Est. Assets Under Mgt Please indicate the family situation of the Indeldual (natal status, other Yana members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000335 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 I N30000000D9Di&e... UM92814298 EFIA_000 19208 EFTA00168955 KYC Print Page 11 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershl Summary 3k Individual Details (for all pates) Individual's Nave, Paul Barrett Date of Earth: Country of Residence: United Sates Country of Otizenship: United States Adiess of plenary residence: Has dent resided outside of his/her country of nationality fa 5 yeas or more? O yes ®No Profession/Occupation: Investment Adis& Tax ID! 5511: Current Employer: JP. Morgan Seaulties LLC Positioncritle/Rank: Investment Advisor Address of employer: 277 Pak Ave New York NY United States 10172 Does the person work as senior executive of a 06-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the incanclual a Politically Exposed Person (PEP)7(// Yes, despite) N/A ❑O yes g No To the best of your knowledge, is the individual related to an employee of the DB group?(if Fat* Or Frivabh0, desmbe) N/A O Family O Friendship g None To the best of your knoMedge, is the individual party to a non-barking relationshe with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sentes)?(l vesdeso-ibe) N/A Oyes I2 No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bark Officer Name(s) Bank 0ffke: Client Private wide: Client Place of Cosiness: tbn Other Loca (specify): Date: 0 O 0 0 O O 0 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring soiree of wealth description as imitated in Section 2) Nature of the IndMduars &skies: Primary Country of solace of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desolbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id setUor accumulate wealth? For nhentance, how did Vanity accumulate weallh?For business owners, how long in business, how many &helmets, level of profitability? Indicate type of business, countries of major activities, inmate/It bushes partners.) Estimated MEM& Incane(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Financial Instiutbns: Insteurion: Country: Est. Assets Under Mgt Insteurion: Country: Est Assets Under Mgt InsUtution: Country: Est. Assets Under Mgt Please indicate the family situation of the individual (maital stabs, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000336 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192824299 EFIA_000 19209 EFTA00168956 KYC Print Page 12 of 20 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershl Summary 3k Individual Details (lor all pates) Individual's Name: Jean Anne Brennan Wiebracht - Date of Earth: Country of Residence: Virgin Islands, U.S. Country of Otizenship: Virgin Islands, U.S. Adcaess of plenary residence: Has dent resided outside of his/her country of nationality fa O yes ®No 5 yeas or more? Profession/Occupation: Novice Tax ID i SSD: Current Employer: Southern Financial I1C Position/Title/Rank: Finance Address of employer: 6100 Red Hook Quarter, B3 St, Thomas Virgin Islands, U.S. 00802 Does the person wait as senior executhe of a CO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities 0 Yes Iii No Is the inert/dual a Politically Exposed Person (PEP)?(A. Yes, desoibe) N/A O yes g No To the best of your knowledge, S the inclyidual related to an employee of the DB group?&FatrWor Frivabh0, desmbe) N/A O Family O Friendship g None To the best of your knoMedge, S the inclyidual party to a non-barking relationshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or sentespOr ves,desothe) N/A Oyes I2 No If applicable, instate which balk officers have met the person: Iodate where and when the dieM meeting(s) took place: Bark Officer Name(s) Bank Cake' ' Client Private Dorricie: Client Place of Business: Other location (fly) . Date: 0 O 0 0 O O 0 Wealth Details fa this individual are not filled in, because they are the same as for the following person: 311. wealth Details (Only for parties requiring soiree of wealth description as imitated in Section 2) Nature of the Indhiduars &sines: Airway Canby of solace of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source of Wealth /Detail the history of wealth fa each of the sources: (e.g. For trusts, how old senior accumulate wealth? For nhallance, how did rawly accumulate weallh?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activitks, important bushes partners.) Estimated Annual Incane(5): Estimated amount of investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($) Other Known Mandel Instiutbns: Institution: Canby: Est. Assets Under Mgt Institution: Country: Est Assets Under Mgt InsUtution: Country: Est. Assets Under Mgt Please indicate the family situation of the Individual (Marital status, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000337 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814300 EFIA_00019210 EFTA00168957 KYC Print Page 13 of 20 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3k Individual Details (lor all pates) Individual's Name: Lawrence Paul Viscid Jr - Date of Eirth: Country of Residence: United States Country of Otizenship: United States Address of plenary residence: Has dent resided outside of his/her country of nationality for 5 years or more? O yes ©No Profession/Occupation: Manager Tax ID / SSW Current Employer: Plan D LLC Poston/Title,/Rank: Manager Address of employer: 6100 Red Hook, Quarter B3 St, Thomas Wgln Islands, U.S. 00802 Does the person work as senior executive of a 08-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsel exchange? (Not applicable for operating entities El Yes Ii3 No Is the inctiVidual a Politically Exposed Person(PEP)?(if Yes, despite) N/A ❑O Yes Ica No To the best of your knowledge, is the individual related to an employee of the DB group?&Farna), or Flicvabb0, ctsmbe) N/A O Family O Friendship g None To the best of your knowledge, is the individual party to a non-barking relationsNp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(if Yes,desoitie) N/A O Yes I2 No If applicable, indicate which balk officers have met the person: Indicate where and when the client meeting(s) took place: Bark Officer Name(s) Bank 0ffke: Client Private Don de: Get Place of Ebsiness: Other Location (specify): Date: O O O O O O O O O O Wealth Details fa' this Individual are not filled in, because they are the same as for the following person: 311. wealth Details (Only for parties requiring mate of wealth description as imitated In Section 2) Nature of the Indloduars Eusines: Repay Country of opiate of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: OBuriness Owner O Salary/Earings O Investment O Inheritance/GIs O Other: Further Desosbe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how id senior accumulate wealth? For inheritance, how did famly accumulate weallh?For business owners, how long in business, how many employees, level of prontability? Indicate type of business, countries of major &intim, impatant bistros partners.) Estimated Annual Incane(S): Estimated amount &investable assets(s): Estimated Net WOrtIXO: Amount of assets planned to invest with PWM($) Other Known Mandel Instiutbns: Insttturicet Country: Est. Assets Under Mgt Insttturicn: Country: Est Assets Under Mgt InsbtuUcet Country: Est. Assets Under Mgt Please Indicate the family situation of the InclNidual (natal slabs, other randy members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000338 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°1 EFIA_00019211 EFTA00168958 KYC Print Page 14 of 20 One sheet must be established for EACH LEGAL ENTITY In Section 2 Account Summary 3C. Legal Entity Details (Fee al Legal Entities) Legal Entity Name: The Haze Trust - 00000486428 Type of Entity: O Fourglabon/Association ®Trust O Company O Estate O purpose of Entity: ga Private Investment O Partnership Mantle Charitable ['Commercial Type d Entity Other (specify): Purposed Entity Other (sPeetv): Comity of Magadan:in/registration: United States Date of inarporaten / regatration: 2/9/1999 Vokker Status: Identified on Customer ProNe Volcker Rag: No Actress (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S. U.S. TIN/EIN: Provide a description of the entity's organizational structure, Ls ownership savage and its Top Management. For trusts/foundations, inside informagan about reocabllity,settr and benenciariesatc.: This Is a Revocable Trust. Jeffrey Epstein: GrantralTrustee/Benefioary Darren Indyke: Trustee Please Indicate how ownership of the legal entity is reflected: Trust Agreement O SpecIal attention: Bearer Stares - Indicate where Males are custodied: Describe the d ain from the direct owner of file entity to the ultimate bendkal owner (if not the game persons) Jeffrey Epstein: GrantorrfrusteelBeneadary Darren [We: Trustee To the best of your knowledge, Is the entity party to a non-banldng relationship nth Deutsche Bank (e.g. eternal legal counsel, client referral source, suppler of goods or services)?: Yes O No N/A Describe Nature of Entity's Primary Business and Investment Activities The trust was initially funded with $100. The trust makes and holds imastements are the gains it Nature of the business: makes from those invariants is its soiree of rewsnue. The trust, in turn, pas these gains back into the trust and reinvests. Counties where business is trartssaed: United States Number of employees: 2 3D. Wealth Profile (Only rot pa ties requiring source of wealth description as Indicated in Section 2) thinwy Country of son of %earth/since of Funds? United States Primary industry of source of Wealth/Source of Funds? high Rea Financial Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or equ Arent summary of assaglIabilitses): The trust was mealy raided %Rh $100 from Jeffrey Epstein. The trust makes and hods Investements and the gains It makes from those nvestments Is its source of e,enue. The trust, Si turn. puts these gains back into the bust and tekivests. Estimated gross receipts p.a.(3): 300,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM - SO MM Potential Amount to be Invested with PWPI ($): 200,000.00 Other Known Firandal Institutions: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entitles) Legal Entity Name: Type of Entity: Plan D, LLC 00000487219 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) Purpose of Entity: DB-SONY-0000339 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/28143°2 EFFA_00019212 EFTA00168959 KYC Print Page 15 of 20 O Fourdation/Assooaten . Trust 2Company . Estate D @Private Investment O Phlarehropir./Charitable OCommercial Partnership Type of Entity Other (specify): Purpose of Entity Other (seedy): Country of incorecretbn/regiroation: Virgin Islands, U.S. Date of incorporation / retie:salon: 10/19/2012 Vetter SLatus: Identified on Customer Roble Wicker Rag: No Adcress (city, street, Post code): 6100 Red Hook, Quarter 03 A, Thomas 00802 Virgin Islands, US U.S. TIN/EIN: ProAde a description of the entity's organizational structure, ts ownership struaLre and its Top Management For trusts/fouidaUctis, include nformatem about revocabikty,setIce and beneficial mete.: Snare member LLC. Sole member is Jeffrey Emhart. The signers on this account are Jeffrey EDStall. Harry Beller and Darren Indyke Please indicate how ownership of the legal entity Is reflected: Operating Agreement D Special attention: Bearer Shares - Inctcate where shares are custodled: Describe the chain from the direct owner of the entity to the ulUmate beneficial owner (loot the same pgiSi9(6). Single member LW. Sole member Is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry BelIer and Danen Indite Lawrence Pad Visoskl Jr is the manager. To the best of your knowledge, Is the entity party to a non-banWng relationship Web Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)?: WA Yes O No Describe Nature of Entity's Primary Business and Invesbnent Activities Nature of the business: LW created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Personal airplanes er rd are leased cult° others when the owner is not uslnq the pane. Countries where business is transacted: United States Number of employees: 1 3D. Wealth Profile (Only for parties requiting source of wealth description as indicated In Section 2) Primary Country of soLete of wealth/source of Funs? UMW States Primary industry of source d Wealth/Soiree of Funs? High Risk Financial Ingham Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent airman/ of asses/liabilities): J.0 mated to hold funds to pay for costs associated with one of Jeffrey Epsten's planes. Initial contribution d $1000 from Jeffrey Epstein and all source of funds come ran Jeffrey Epstein. An airplane Is equipment. Personal airplanes are generally leased oil to others when the ovals, Is not using the plane. Estimated gross receipts p.a.(5): 1,000,000.00 Estimated net pont pa. ($): 500,000.00 Estimated investable asses ($): <$1 MM Potential Amour to be invested with PYfli (5): 200,000.00 Other Known Financial Institutions: Institution: County: BE. Assets Under Mgt: Institution: County: BL Assets Under Mgt: InsteLtico. Country: Est. Assets Under Mgt: ne sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (Fa an Legal Entities) Legal Entity Mame: NES, LLC - 00000487265 Type of Entity: O Fourglaflon/Associatka ❑O Trust @ Company ❑O Btate ❑O Partnership pumps. of Enuty: a Private Investment O Phlanthropic/Charitable OCommerdal Type d Entity Other (specify): Purpose of Entity Other (SecifY): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000340 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/JP/28243°3 EFFA_00019213 EFTA00168960 KYC Print Page 16 of 20 Country of incorporation/registration: United States Date of Inv:mower:in / regStrabon: 8/13/1998 Volker Status: Identified co Customer Profile Wicks Rag: No Access (city, stree( post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 Virgin Islands, US U.S. TIN/E1N: Provide a description of the entity's organizational structure, as ownership struaLre and Its Top Management For trusts/foundaUces, Include information about revocability,settle and beneficiar es,etc.: Single member LLC. Jeffrey Eostein is the sole member. The signors on tNs account we Jeffrey Epste n, Darren Indyke and Hany Beller Please incicate how ownershp or the legal entity Is reflected: Operating Agreement - Incbeate where shares are custodied: • Special attention: Bearer Shares Describe the chain from the direct owner of the entity to the ultimate beneficial owner (Float the same persons). Single member LLC. Jeffrey Epstein is the sole reenter. The signors on tNs account we Jeffrey Epstein, Darren Indyke and Hany Bele To the best of your knowledge, Is the entity party to a non-banWng relationship veil Deursche Bank (e.g. external legal counsel, client referral source, suppler of goods or senAces)?: WA yeS IMI No 5 Describe Nature of Entity's Primary Business and Invesbnent Activities Nature o The boimess: NES, LLC was famed to take care of the expenses annealed with running one of Jeffrey Epstein's homes Countries where business is transacted. United States Number or employees: 1 3D. Wealth Profile (Ony for parties requiring son of wealth descrther as indicated in Secher 2) Primly Country of source of wealth/scarce of Funs? United States Primary industry of source of Wealth/Source of Funds? Nigh Risk Wendel Institutions Provide Evidence of Corporate Assets (e.g. balance sheet or eo II/Went summary of assetsfilablInS): All funds come from Jeffrey Epstein. who has been KYCd previousN Estimated gross receipts p.a.(S): 1.000.000.00 Estimated net wilt p.a. (5): 503,000.00 Estimated nyestable asses (5): <S1 Mal Potential MioLMt to be Invested with OWN (5): 15%000.00 Other Known Randal Institutions: InsUturion: Country: Est. ASS Under Mgt InsUhtJam Country: Est. Assets Under Mgt InstItuUctm Country: Est. Assets Under Mgt CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000341 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°4 EFIA_00019214 EFTA00168961 KYC Print Page 17 of 20 DB PWM GLOBAL KYC/NCA: US/LatArnfinti PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Garments: The Haze-Ovena-HIGH,EnUty-HIGH,Industry-HIGH,Countiy-MEDIUM,Produa-HGH.The 2007 Jeff rey-Cnerarl-HIGH,EntIty. HIGH,Industry-li GH,Country-MEDIUMProduct-HIGH.PLan D & NES LLC- Overall-HIGH Entity-MEDIUM,Inclusay-HIGH,Country- MEDIUM,Product HIGH. Booking Center @ NY O NY/Offshore O Offshore 0 Moderate Risk mi Gm High Risk (Compliance Signalise) O DB Employee O Gs Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 0 Drivers Ucense ®Passport O rtaucoaustate ID O Other B. Checklist of names (individuals andbx (Mites) that were submitted for database searches is attached gives El No C. Please indicate the results of the database searches performed RDC searches compete 1.! Yes O No negative resits found O Yes ID No PCR checks complete !d Yes O No negative rests found 0 Yes O No OFAC checks amplete 2 Yes O No negative rests found Dyes 12 No BIS searches amplete (Lexls/Nexis, FacUva, Reuters, Dow Jones, DEB) Fe. Yes O he negative resift found 2 Yes O No Denial Orders chedd complete 2 Yes Ell No negative resters found 0 Yes M No Martindale-Hubbell searched (Lawyers/Law Firms only) • Yes 171 No negative resters found O Yes O No D. Please suwnante any negative results from the database searches indicated above: Plan D: - No negative media - No court cases The Hate Trust: - No negative media - No MLitt cases The 2007 Jeffrey E. Epstein Insurance Trust 13: - No negative mead - No court cases NES LLC: - No negative mesa, - Court case was sled way back in 4/5/2005 which pertains to NES LLC that is InvoNed in doing tuskless as National Educational Service and the status of the use stands dosed. This doesnot pertain to our entity as our airily is not into educational service. Rally Beller: - No negative mesa - Harry Beller is the plaintiff in the court case, also it has been disposed. Jeffrey Edward Epstein: - Adverse results in Google relates to Jeffrtys Sex offence in the past which are cleared already. Attached clearances in the case - Negative meda reviles to the sex offence in the past vAsich are already cleared. (KYC K - 01790655) - Court cases relates to Jeffreys sex offence in the past vAsich is already cleared, another (Gerber El Al V. The Financial Trust Corrpany Et a) is a recent ongoing civil lawsuit pertaining to hard which has been dismissed (attached document), but part of normal business operations for this client. And in one of the case he's nether defendant nor plaintiff. Hes Just named as a respondent and the case is immaterial in nature - Criminal Filings relates to sex offence which is already cleared in the past - RDC alert found - Sec offences in the past which has been dears - Clearance attached Darren Indyke: - Negative news in Google relates to Jeffrey Epslein's Foundation and are net material in nature. - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past wNch has been cleared already. Darren is just an attorney for Jeffrey In the case. - Fircosoft alert has been cleated by AML Compliance. Clearance attached. Richard Kiln: - No negative meda - Court case was dismissed and he was not barred from NYSE Arca and was dears in the previous KYC5. Attached clearances - RDC alert found - realates to violation of NYSE Arca Egalks Rule - Clearance attached. •. - No negative meda - No court cases Pad S Barrett : CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000342 https://dbforcepb.rny.salesforce.com/servlet/servlet.integration?lid=01N30000000D9Di&e... ITt928c43°5 EFTA_00019215 EFTA00168962 KYC Print Page 18 of 20 - No negative mead - NO court cases - RDC art found - False positives, does not pertain to our diet Clearance attached. Jean Mne Brennan Wietracht: - No negative media - No MLitt cases Lawrence Paul Vlsoski Jr: - No negative mode - No MLitt cases Southern TIUSt Company Inc: - No negative mead - No court cases The Randal Trust Company: - Negative news In research is false positive and immaterial in nature. The hit is on IRA Financial Trust Company and not our SOW catty The Mendel Trust Company. - Court case pertains to Fest Wendel Trust Company and not our SOW entity The Finandal Trust Company E. To the best of your knowledge, has the diem ever been corniced of a criminal offense? ® y e s O No F. To the best of your knowledge, has the customer ever been Involve:litany past litigation against Deutsche Bank AG Cr any of t subsidiaries or is the customer threatening litigadon against Deutsche I—I _ D i Bank AG or any of its subsidiaries? (ft Yes, provide Odd ham ero sr =Oct Quately Mgt (fin/MT) or '—' ' es No the Reattetoty Control Group ono r henry Comaence aromas(*) G. Does the dlent or related party have any firencial or other association (interactions vAthin countries or Llr-i regimes sanctioned by the Office of Foreign Asses Control (OFAC)? Ya 2 No H. Does the dent or related pasty have any financial or other assodation/ interactions within high risk °contra? Own ga No I. Corporate Doamentation Attached (Legal Entities Only) LIF4 Yes • No O Not Applicable J. Undisclosed PrOdpal Fern Complete (Intemedaries Cory) O Yes O No 0 Not Applicable K. If Las/axis Search Results, Corporate Documents or Other Supporting Documentation Is not in Engleh, please provide an Engash summary of the natureicoreets of the non-English Documentation: I. Speoal Risk Factors Does the account have Nexus to Special Risk Cambia? O Yes O No Is the account structure unusualy complex? Oyes O No Is there any indcation the client set up a non operating company expressly for r--i the purpose of trwslerring Mares to third parties? Li Yes O No Is thee any indication tints could be a prohibited business relatbnship? Oyes O No Are the bearer shares identified suthect to acceptable controls? Oyes O No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000343 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814306 EFFA_00019216 EFTA00168963 KYC Print Page 19 of 20 M. Case Comments Created By Date Comments Aka Bab 11/5/116 4:18 AM Daman Indere on 10/22/18 confirmed that there are no material charges. Vaunts) Chung 11/16/118 L32 PM Ftll CoMmied that the diet via be deang the accounts before the end of the year. Case Si be dosed. 11/16/18 Dutra Manley 11/19111811:42 AM This KYC serves as Periodic Review for the 'elbowing °Astir* teens: (I) Nes I1C (2) Flan D LLC (3) The Haze Trust Risk factors Include: • Source of Wealth (SOW) Industry: Financial Management (managing client assets) • PEP/RCA: Jeffrey Epstein, U60 8 SOW, is conedered an RCA based on Ns dose relationship with Bill anton (Fenner US President) aid Prime Mdrew (BOUM Royal Family) • Media: NegatNe media related to Jeffrey Epsbain has been previously reviewed aid escalated for reputations risk concerns. Evidence of pile approval to proceed with the reatonship Is attached to this case, Including a stipulation to review fuller If new media Is identified. Accordingly, approval from the Divisional Control Officer is attached to Ns KYC in regards to a recency filed (and dismissed) court case. (Please see clearances for more details) We are comfortable signing-off on the KYC for the 'glowing reasons: • Information and supporting documents required by ow, API_ Polley were provided and reviewed. As a result, we have a reasonable understandng of the purpose of the account and expected transaction activity. • The source of wealth was sufficiently detailed and appears plausible. • We performed due diligence searches on all parties and did not Md the names searched to be on any sanctions lists. Yowsun Chung 11/16/118 4:45 PM 'Me ally acoaunt clasIng is the issuance Wig, Atca Bab 8/24/116 5:48 AM No material changes confirmation serail' attached in the case ONSHORE APPROVALS Cent Facing Professional (CFP): Bradley Gain (Sgnature) Bradley Galin 10/5/2018 Office Director/Business Head: Andrew F Gallivan (Signature) Mdrew F Galilean 10/9/2018 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Dimity.) Manley (Signature) CU-ultra Manley 11/19/2018 LATAM/INTERNATIONAL APPROVALS Dreg Ming Professional (CFP): (Signature) Accout Manager: (Signature) Global Market Team Head (GMTH)/Sub- tarket Team Head (SSITH): (Signature) AML Business Risk: (Signature) AML Compliance (Signature) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(a) DB-SDNY-0000344 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/1928143°7 EFIA_00019217 EFTA00168964 KYC Print Page 20 of 20 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 Professionals!(!) (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! have no suspicions relating to the money laundering or unethical activities on the part 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 (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York rA CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SONY-0000345 https://dbforcepb.my.salesforce.com/servletiservletintegration?lid=0 IN30000000D9Di&e... 11MP/28143°8 EFFA_00019218 EFTA00168965