EFTA00169096.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYCMCA: PART A rA KYC Case I : 01082293 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationshl 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: New York Relationsht Manager: Paul Morris 2 New PWM Relationship O Existing Will Relationship ReLatIonshlp to PWM: If existing, please indicate since when the relationship exits, provide reason for new profile and attach old profile: O Client Referral El RM Prospect O Intennediary/FIM MI Other Source (CB, etc.) How Was the Client(s) Introduced, How long has the RM personally known the tient' Please provide details (e.g. ame of referral source, how many ears RM personally ha known client, etc.): Jeffrey Epstein was a dent of Paul's at V Morg n. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at llablorgan. Over the course f a few meetings Paul was able to et Jeffrey to bring some of his funds over to PMorgan Does Deutsche Bank pay a retrocession or similar O Yes I RI No compensation to a third party for the introduction of this relatianshipa (/f Yes, desenbe) List all existing and new accounts Involved in this relationship Legal Entity Account(s) Account Name / fainter Opening Date (intended/actual) I g Southern Financial, TLC 8/19/2013 1 g Southern Financial, LC 8/19/2013 3 g Southern Trust Company, Inc. 8/19/2013 4 Ig Southern Trust Company, Inc. 8/19/2013 Who Is he pnmary contact person or the Ralf (Note: This person needs to have signatory rights and/or information right (or the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no., fax no., e-mad address, etc.k https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid = 01N30000000D9Di&e... 1410 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) MO00479 EFTA_000 19349 EFTA00169096 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, at Air I. hunter (if avaMiNe). kcounl Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term investment, payment/expense account)? Money Market. To hold funds for the company. Indicate O CI w LA O (ran where the assets are expected to arrive? 08 Group: Same Booking Center (Indicate account muter): DB Group: Other Booldng Center (Indicate DB location and account details): Other Insfitutbn (Indicate name & location): )PMorgan, NYC Physical Deposits (specify cash, securltks, cheques....): What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000. What es the expected volume of assets and currency for the account approx. 90 days after opening? 1 50,E ICurrency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 150,000 'Currency I USD Does/wi the client have Assets Under Management (AuM) within C6 under Eur. )M? • Yes El No Please list all parties related to the account For each party: • Check if a source of wealth description it. required for the party. • Check the appropriate box to describe the relationship 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. • Nways &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s). _egalbescription Entity,' Soiree al Wealth -Acquired Parties -elated to ins recount AccountplC Molder OwnefTrust Settler of / Founder of Foundation Jitimate Bencficialor Owner Signatoryskrniedrinancial FAA POA POA InterinediaryShareholdeditepresentative (FIN) Significant :>•2529) Non-PIC entity indicate ownership %) _egal Granto/Sernorfounding Donor O Other "lease describe other roles and/or ndicate relationship between ?ernes) Sole shareholder of Southern Trust; l O 0 jeffreY E te ps in • O 111 O WI O O O O 2 El El Southern arZlindll 0 El IT O O O O O O El 3 El El Southern fnist Co want. Inc n❑"I O O CI O O O ico O O Southern Trust is the sole member of Southern Financial and Jethey Epstein is the sole shareholder of Southern Trust; Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 1440 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -000048o EFFA_00019350 EFTA00169097 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Southern Financial, La Acct. Number (d available): T Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio minagemen advisory account, custody services, long-term investment, payment/expense account)'+ Checking account to hold funds for the company. Indicate from where the assets are expected to arrive' O 013 Group: Same Booking Center (indicate account camber): • DB Group: Other Boob% Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, societies, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days alter opening? 150'000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,00D ICutrency I USD Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311? M Yes El 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, describe the party's reaction to tbe account in the 'Other column. • Always describe t e relationship between the parties in the lad cokann. • Please drill down to the ultimate; undertying Beneficial Owner(s). Jigal'Oescretion Jritityof Smote of Wealth -Nuked i sCCOUnt Notes related to Ns Account Holder PlC Owne(Trust Settler of / Founder of Foundation anode Beneficialor Owner SIgnatoreimitedIFiriancial Rd POA PO* IntemedlaryShareholderlepresentative (PIM) Significant >=25%) Non-PIC entity ,Mdkate ownership Sb) _opt 'Grantev/Settbrkounding Tenor Other please describe other roles and/or ndirate relatonship Moroi Janie.) l • Fj Jeffrey EPsteln in 1--J O O O a O O O O Sole shareholder of Southean Trust; 2 la 9 Southern Financial La • • O • O O O O O O 3 Ea 0 Southern Hirst Company, Inc. is — mi O O O O O 1 CO O O Southern Trust Is the sole member of Southern and a rey Epstein Is the sole shareholder of Southern Trust; littps://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... ?441 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 41000481 EFFA_00019351 EFTA00169098 KYC Print Page 4 of 12 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (laved/de T Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parnell/Odense account)'+ Checking account To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booldng Center (indicate account limber): • 06 Group: Other Booldng Center (indicate DB location and account details): @ Other Instifutbn (Indicate name & location): )'Morgan, NYC O Physical Deposits (specify cash, diorites, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume pe month)'': Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000 What 6 Use expected volume of assets and currency for the account approx. 90 days alter opening' 1 50,E I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1 100,000 I Currency I USD Does/W6 the client have Assets Under Management (AM) within 06 under Eur. 311? • Yes 21No Please list all parties related to the account For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' alum. • Always describe t e rdaticoship between the parties in the lad oakum. • Please del down to the ultimate/underlying Beneficial Owner(s). ..egal7escription lEntttyaf Source al Wealth required isccouM lodes elated to Ns Account Holder PlC Ownertrust Settler of / Founder of Foundation dtimate Beneficialor Owner Signatoosimilietkiarttird HA POA POA IntemediaryShareholderttepresentative (FIM) Sigrilirant >=25%) lion-PIC entity ,Odicate wnershlp %) _egal Yiranter/Settbrkounding Joni:it Other please describe other roles and/or nditate rciatonsho frutv.voi sanest I O El Jeffrey K idstein in i—J O O • A O O O O O Sole sh of areholder Southern Trust; 2 2 E Southern rant , :armful ,nc. Di il-' u u • O • O O O O littps://dbforcepb.my. sal esforce.com/serdet/servl et. Integration?lid=01 N30000000D9Di&e... CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 00482 EFTA_000 19352 EFTA00169099 KYC Print Page 5 of 12 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (rf availabl) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody se ekes, long-term investment, payment/expense account)> Money Market account. To hold funds for the company. Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account combo): • 06 Group: Other Booking Center (Sdkate DB location and account details): Eil Other Institution (Indicate name & location): 3PMorgan, NYC 11 Physical Deposits (specify cash, securities, cheques, ...): What is the expected site and frequency of regular Inflows and outflows for the account Ondkate est mated number and volume pe month)'. Rouohly 2 inflows & outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening' 1 5 '°C.3 I Currency II'S° What S the expected volume of assets and currency for the account approx. one year after opening' 1 150,000 I Currency I USD Does/wal the client have Assets Under Management (AuM) within DB under Eur. 3M? Likes RI No Please list all parties related to the account- For each party: • Check if a source of wealth description is required for the parry. • Check the appropriate box to describe the relationship of the party to thin account (> I can be selected). • If none of the check boxes apply, describe the party's reLotbn to the account b the Tithe- wham. • Mvays describe t e relationship between the parties in the tel colt.nn. • Please dn. down to the utimateunderlying Beneficial Owner(s) ,sgalDescriptkin ntttyof Source of Wealth -mitred ?rubes 'Mated to SS account Account Holder PlC OwnerTrust Settior of / -tender a Foundation Ultimate Beneficialor Owner SignatorykinSeerinancial Full PO4 ?OA /ntermediaryShareholderRepresentatree (FIN) Significant (i..25%) Non PIC only ',indicate ownership %) ..egal 'arantor/Settior"Sunding )onor Other please describe other roles orstror ndlcate relationship between Janie.) I O • Jeffrey Epstein in I---I O O O 21 O O O O O K Sok shareholder of Southern Trust: 2 31 31 Southern Trust Company, lbw- td • O O O • O O O 1.3 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9441 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1)0010483 EFTA_00019353 EFTA00169100 KYC Print Page 6 of 12 One sheet mint be established for EACH INDIVIDUAL PARTY In Section 2. Account Ownenhi 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein-- Date of Birth: 1/20/1953 Country of Residence: USVI Country of Ctuenship: USA Address of primary residence: Late Saint James Saint therms 00802 US Virgin Islands Has client resided outside of his/her country of nationality for 5 years or more, No O yes & Professian/Occupation: Self Empalyed Tax ID / SSN: Current Employer: Southern Financial LLC PositstwVTitlefitanIc President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Does the person work as senior executive et a DB-recognized regulated enUty in the financial Wintry' or an entity teed on a DB-recognised exchange' (Not applicable for operating entitles — • 0 Yes No Is the ndendual a Politically Exposed Person (PEPr(f Yes, clescabe) • Yes 5 No To the best of your knowledge, is the Individual related to an employee of the DB groups(! Family or Fr iendshfA descnbe 1 O family U Friendship [0 None To the best of your knowledge, is the individual party to a non- banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servIces),(f Yesi cksente) O Yes 0 No If applcable, indicate which bank officers have met the person: Indicate where and when hired ient meeting(s) took place: Bank Officer Names Bank Office: Client Private Domicile: Client Place of Ekninesa Other Location (specify): Date: Paul Morris V3/20B • • O O • O O • Semen' • Wealth Details for this Individual are not filed In, because they are the same as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the IndMduaYs Business: Private investments Primary Country of source of wench/source of hinds? Pnnwy industry of source of Wealth/Source of Finds? Summarize Source of Wealth: O Business Owner IDSalary/Earnings 0 Investment • Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did famfy accumulate weath'For business owners, how long in business, how many erreloyees, level of profitability' Indicate type of buseess, countries of major actIvales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partnen n 1980. In 1982, Epstein founded his own financial management firm, 1. Epstein & Co., managing the assets of dents with more than a eon in net worth. In 1996, Epstein changed the name of his firm to the Financial Trust Company and based it on the island of St. Thomas in the US Virgil Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from Ns days at Bear Steams and his financial management firms Estimated Annual Imorne(a): 10,000,000.00 Estimated amount of investable assets(a): $50 rim - wo MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to Invest with PWM(3): 10,000.00 Other Known Financial Institutions: Institution: 11"Morgan Country: USA Est. Assets Under Mgt: 20,000,030.00 Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di&e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) inattm484 EFTA_00019354 EFTA00169101 KYC Print Page 7 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the farrity situation of the individual (ma tat status, other family members, etc.): ngle 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: Southern financial ti C-- R Dust company O Estate purpose Cif Entity' /Commercial Z Prtvate Investment O Philanthropic/Charitable O K 'Assocotton MI O Foundatran O Partnership Type of Entity Other (specfy): Purpose of Entity Other (specify): Country of incorporation/registration: US Virgin Islands Date of Incorporation / registration: 2/25/2013 Vokker Status: Volcker Flag: Address (city, street. post code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN;EIN: Provide a description of the entity's organuauonal structure, its ownetslip structure and Its Top Management. For trusts/foundations, include information about nwocabilly,settlor and benefkiaries,etc.: Southern Trust Company Inc b the sole member of Southern Financial 11.C. Jeffrey Epstein Is the sole shareholder ol Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Dust Company Inc Is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the died owner of the entity to the ultimate beneficial owner (dolt the sense pawns): Southern Trust Company Inc le the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc TO the best of your knowledge, is the entity party toe non-banking relationship with Deutsche Bank (e.g. External legal counsel, client refers source, supplier of goods or services)): Yes O No 0 Describe Nature of Entity's Primary Business and Investment ActNIties Nature of the business: This business Is funded by Jeffrey Epstekt's wealth. This company was formed to hold Mr. Epstelds personal wealth and Invest In different ventures this company Invests in rest estate, equities, commodities, etc and gets is revenue from the gams it makes in these investments. It N a company formed to Invest the assets of Mr. Epstein Countries vdtere business Is transacted: US Virgin Islands Number of employees: 3 30. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of weakh/source of Funds' Primary industry of source of Wealth/Source d Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/lablikies): The initial funding in February 2013 vies $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein) Estimated gross receipts pa.(3): 2,000,000.00 Estimated net profit p.a. ($) 1,500,000.00 Estimated investable assets (3): <$1 I4M Potential Amount to be Invested with PPM ($): 300,000 00 Other Known Financial Institutions: instRution: "Woman Country: USA Est. Assets Under Mgt: 1,000,0003) Institution: I Country: Est. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9445 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1)000485 EFTA_00019355 EFTA00169102 KYC Print Page 8 of 12 Institution: I I Country: 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: Southern Trust Company, Inc. • Toe of Entity: KO Foundation/Association O Trust W CompanyO Estate O Partnersiep Purpose l'i Entitr Ed Private Investment O Philanthropic/Charltable El Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: US Virgin Islands Date of Incorporatbn I registratim: 11/16/2011 Volcker Status: Vokker Reg: Address (city, street. Post code): 6100 Red Hook Quarter B3 St Thomas 00602 US Virgin Islands U.S. MEIN: Provide a descnption of the enteys organtradonal structure, Its ownership structure and Its Top Management. For trustffounditIons, include information about revocabilemettior and benelc iariessetc.: Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein Is sole managing member O Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the Oen owner of the entity to the ultimate beneficial owner (if not the same penons): Jeffrey Epstein is sole managing member To the best of your knowledge, h the entity party to a non-bared* relationship with Deutsche Bank (e.g. external legal counsel, client referral source. supplier of goods or sewkesp: Yes • No Describe Nature of Entity's Primary Business and Investment ActivIties Nature of the balance's: Consulting Services relying on Fbancial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments. Southern Trust invests in different portfolios catered to their <bents and makes their revenue based on the returns and the fees associated well managing their clients assets Countnes where business is transacted: US Virgin Islands Number of employees: 4 I Est. Assets Under Mat: 3D. Wealth Profile (Only for parties requeng soiree of wealth descnpoon as indicated in Section 2) Primary Country of source of wealth source of Funds) Pnnwy industry of source of Wealth/Source of Funds) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent sunnary of assetseabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.(3): 2,000,000 00 Estimated net wait p.a. ($) 1,500,000 00 Estimated investable abets ($): $2 MM • 5 MM Potential Amount to be Invested with PV/IM (S): 300,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.comiservlet/servlet.Integration?lid-0IN30000000D9Di&e.. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -71 SIVED120 81k8486 EFTA_000 19356 EFTA00169103 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comment: Booking Center i2 NY • Moderate • Offshore sr •A High Risk • NY/Cffshore tisk (Compliance Signature) O DB Employee O CO Managed PIC 111 DB ts Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided n Drivers License RI Passport • National/State ID • Other B. Checklist of names (individuals and/or entities) that were submitted for database searches is 0 Yes • No attached C. Please indkate the resues of the database searches performed RDC searches complete ®Yes Olio negative result found ®Yes O No PCR checks complete RI Yes O No negative results found El Yes O No OFAC checks complete ..4 Yes • No negative results found • Yes Olio BIS searches complete (Leds/Neds, Factrva, Reuters, Dow Jones, DAB) Ryes O No negative result found O Yes Oho Denial Orders checks complete :re Yes O No negative results found • yes 0 No Martindale-Hubbell searched (Lawyerf/Law Rom ontY) • yen No negative results found • Yes O No D. Please summarize any negative resters from the database searches indkated above: JEFFREY EPSTEIN: RDC Men • I -- Dared & APPROVED by Chip Packard, Ali Compliance, and Pat Harris PCR Alert a 1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case-Not our diet. FINANCIAL INFOMAT1i INC: No negative media No court cases 3. Epstein & Co. All Negative Media Is our client. He has been cleated of posing a reputatbnal risk as shown by the AML Clearance attached Court Cases have been dosed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. To the best of your knowledge, has the client ever been convicted of a canna' offense, a Yes • No F' To the best of your laicrwledge, has the custome ever been involved in any past Pupation against Deutsche Bank AG Is litigation or any of Rs subsidiaries or the customer threatening against Deutsche Bank AG or any of b subsidiaries? (71 Yes, node &tic below and contact Qua*, ASA O Yes J No aatAmfintVar the Regulatory Control Group am/ notify Compliance immediate)) G. Does the client or Sated party have any financial or other association / interactions when countries O yes 74 No or regimes sanctioned by the Office of Foreign Meets 0111001 (MCP ii. Does the client or Sated party have any financial or other association/ interaCtionS within high risk • yes n No countries, I. Corporate Documentation Attached (Legal Entities ONO E l Yes O PM O Not Applicable https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ingInN487 EFTA_00019357 EFTA00169104 KYC Print Page 10 of 12 I. Undisclosed Principal Form Complete (Intermediarks Only) One Ono /21NotAppicable K. If lerisiNexis Search Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide on English summit, &the nature/contents of the non.English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? ayes la No Is the account structure unusual'', complex? ayes ®No Is there any indication the client set up a non operating correany expressly for the purpose of transferring shares to third parties? .1. ... re Yes C_INo Is there any indication this could be a prohibited business relationship' • yes ®No Are the bearer shares identified subject to acceptable controls' O yes @No Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... ing CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -10000488 EFTA_00019358 EFTA00169105 KYC Print Page 11 of 12 l eo records to display. H. Case Comenents ONSHORE APPROVALS Client Facing &Sal (CFP): Paul Morns ,.Signature) 7aul Morris 7/17/2013 0Mce Director/Business Mead: Brian M. Beggar Signature) Snail H. Biggar 7/18/2013 Regional Offke Director: Signature) Art Business Risk: Armen &ash (Signature) Armen Brash 8/20/2013 AK CompBanat: Janice Franklin (Signature) Janice Franklin 8/21/2013 UTAH /INTERNATIONAL APPROVALS Client Facing Pr&essional (CFP): (Signature) Account Manager: (Signature) (Acta! Market Team Head (2.1111)1Sub-Market Team litsid 4.1 TN)' (Signature) Ali Business Risk: (Signature) Alit Compliance (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Rank 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 suitabili0i, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCPP'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 ofmy 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 clients) and that! 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 (GP's) include: Relationship Managers. Wealth Prodiet ()mi. el., Brokers. Client Managers. etc. Deutsche Bank Americas New York Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 1449 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -10000489 EFTA_00019359 EFTA00169106 KYC Print Page 12 of 12 r Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 945A CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) MO-010490 EFTA_000 19360 EFTA00169107