EFTA00169108.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A O KYC Case :01121718 Status : 6. Approved One sheet must be established per relationship . list all accounts included in the relation shi I. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: BooWng Center: Nevi York Relationship Manager: Paul Morris 2 New FINN Relationship El Existing PWM Relationship Reiatiorshp to FAIN: If emoting, please Skate nee when the relationshi exists, provide reason for new rade and attach old profile: New personal checking and money market for Jeffrey Epstein. This is en update of approved KYC 501082293 where Jeffrey has already been approved. O client Referral la RN Prospect O Intermediary/FIN O Other Source (CB, etc.) How Was the ClIent(s) Introduced? How long has the Rt4 personally known the client' Please provide details (e.g. ame of referral source, how many years RM personally ha Imam, client, etc.): Jeffrey Epstein was a chent of Paul's at JP Morg n. Paul and Jeffrey Epstein had a mutual friend/colleague who inUoduced them while Paul was at JPMorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of hi funds over to JPMorgan Does Deutsche Bank pay a retrocession or sender O Yes I WI No compensation to a third party for the introduction of this relationship/ pi Yea, descnbel. List all existing and new accounts involved in this relationship Legal Entity Accounts) Account Name/Number Opening Date (intended/actual) I 2 Southern Financial, LLC 8/19/2013 2 e Southern Financial, LW 8/19/2013 3 2 Southern Trust Company, Inc. 5/19/2013 4 IA Southern Trust Company, Inc. 8/19/2013 5 IO Jeffrey Epstein 9/11/2013 6 71 Jeffrey pstein 9/1//2013 Who is the primary contact parson for the RN (Note: This person needs to have signatory rights and/or information right for the accounts* Jeffrey Epstein Pretend method of contact (indleate phone no., fax no., e-mall address, etc. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 451 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) -60-00,491 EFTA_00019361 EFTA00169108 KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Noire: Southern Financial,liC Acct. Number Of rwavArbiolt Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management advisory account, custody serykes, tangier°, kwestment, payment/expense account)? Money Market. To hold funds for the company. Indicate O O rr ...4 O from where the assets are expected to arrive? DO Group: Same Booking Center (Indicate account number): DO Group: Other Booldng Ceder (indicate DB location and account details): Other fiestkution (Indicate name & location): intro.°, NYC Physical Deposits (specify cash, securkks, cheques....): What s the expected size and frequency of regular inflov6 and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? I I Currency 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 DB under Eur. 3M? • yes ON° Please list all parties related to the account. For each party: • Check if a source of wealth escription is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • (none of the died( boxes nay, describe the party's refation to the account In the 'Other cdumn. • Always describe ! e relationship between the parties in the last colknn. • Please dill dorm to the ultimate/underlying Beneficial Owner(s). _egal Entkyof Description Souse of Wealth required 7arteS related to lis Account AccounIPiC Holder OwnefTrust Settler of / Founder of Foundation _Climate Benefit-Wier antler 5ignatoryskikitstinancial Ful PGA 7OA IntermediaryShareholderNepresentative (FIM) Significant ,>=25%) Non-PK entity ,indkate ownership ki) egal Grantor/Settbrfounding Jonor Dther ,please describe other roles and/or ndlcate relationship between lathes) 1 O 0 jeffrel Epstein O O O O 2 O O O O c:3 Sole shareholder of Southern Trust; 2 N N Southern rnIa nc I al C • • 0 • 0 • 0 0 0 O 3 Ea 0 Southern Trust Company, Inc. O O O O O O O 100 O O El Southern Inns is the sole member of Southern financial and Jeffrey Epstein is the sole shareholder of Southern Trust; https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) itaia492 EFTA_00019362 EFTA00169109 KYC Print Page 3 of 14 2. Account Ownership Summary Name: Southern Financial, La T Account Acct. Number (d available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio managemen 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 C43 Group: Same Booking Center (indicate account camber): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Institutbn (Indicate name & location): 3PM>rgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account Ondrate 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? I I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,00D 'Currency I USD Does/wIl the client have Assets Under Management (Ault) wtthIn OB under Eur. 311? U Yes a 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' odium. • Always describe t e relationship between the parties in the lad oakum. • Please drill down to the ultimate/underlying Beneficial Owner(s). ..egal)escription lEntttyaf Smote al Wealth -equired ?adios related to his Account Holder PlC OwnerTrust Settler of / Founder of Foundation Jttimate Beneficialor Owner SIgnatorlanttetkiarridd Rd POA PO* InternsecharyShareholderlepresentathre (FIM) Significant >=25%) lion-PIC entity ,Mdkate ownership %) _egal ?Sranter/Seetbdrounding Ponca Other please describe other roles mho/or nditate relahonship ninon, dames) 1 • ,accouM a jefireY EPste ln O O CI O a O O O O O Sole sharouther eholde n r of S Trust; 2 a Southern Financial La S O O • O O O O O O 3 Ea 0 Southern Bust Copany, Inc ig — N O O O O O leer O O Southern Trust Is the sole member of Southern Fi nd Jeff nancial a rey Epstein Is the sole shareholder of Southern Trust; hops://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 53 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Do493 EFTA_00019363 EFTA00169110 KYC Print Page 4 of 14 2. Account Ownership Summary Name: Southern Trust Company, Inc. T Account Acct. Number (if available) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parned/aPense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account ember): • CS Group: Other Booking Center (indicate DB location and account details): @ Other Inslitutbn (Indicate name & location): )PMorgan, NYC O Physical Deposits (specify cash, acuities, cheques, ...): What is the expected size and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. 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 after opening" I 1 Currency I USD What is the expected volume of assets and currency for the account approx. one year after 1100,000 I opening' Currency I USD Does/wil the client have Assets Under Management (AM) wtthln 06 under Eur. 311? OYes & 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 (> 1 can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' opium. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial 0vabe(s). ..egalOescription lEntttyaf Source al Wealth required „account lanes elated to Jib Account Holder PlC Ownertrust Settler of / Founder of Foundation amide Beneficialor Omer Signatornimilatinarkial RI POA POA IntemediaryShareholderttepresentative (F1M) Sigrilkant >=25%) llon-PIC entity ,Mdicate wnershlp %) _egad 'Granter/Settiorkounding )onor Other please describe other roles and/or ndirate rciatonship frutv.voi James) 1 O El Jeffrey )' stem 1--J in O O • A O O O O El Sole shareholder of Southern Trust; 2 2 E Southern rant tampon, ,nc. Di ls-' u u • O • O O O U https://dbforcepb. my. sal esforce.com/serdet/servl et. Integration?lid=01N30000000D9Di&e... 9454 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -1010D0494 EFTA_000 19364 EFTA00169111 KYC Print Page 5 of 14 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (f avadable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio manag ment, advisory account, custody smokes, 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 mother): • 06 Group: Other &Nang Center (ndkate DB location and account details): 0 Other Institution (Indicate name & location): 3PMorgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the expected sire and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 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" I I currency I uSD What S the expected volume of assets and currency for the account approx. one year after 1150,000 I opening' Currency I USD Does/wil the client have Assets Under Management (AuM) within DB under Eur. 3M? Eves el'y. No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the [AMOY. • 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 rektbn to the account b the 'Other- wham. • Always describe t e relationship between the parties in the kid colunn. • Please drill down to the climate/underlying Beneficial Owner(s) ..egalDescriptkin ntttyof Source of Wealth -soared ?rubes related to SS account Account Holder PlC Ownertrust Settler of 'Ultimate / -tondo a Foundation Beneficiabor Owner Signatorydrnteerinancial Full PO4 ?OA thtermediaryShareholderRepresentathee (FIN) Signakant (>=75%) Non PIC entity ;indicate milers!, %) ..egal 'Grantor/Settlor"Sunding )onor Other please describe other roles mid/or ndlcate relationship between throes) I O u Jerry Epstein ,-, " I O O O 21 O O O O O Sok shrareholder o SouNkan Trust: 2 31 31 Southern Trust Company, lbw- n • O O O • O O O O littps://dbforcepb.my. salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9DiSce... ks CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) O0Db4ss EFTA_000 19365 EFTA00169112 KYC Print Page 6 of 14 2. Mast Owner/14 II f ainsmary Account Name: Jeffrey Epstein Acct. Number 0 f avadatVel Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? CMS's° account far Jeffrey Epstein's personal daily use. Indicate from where the awes me expects to arrive? O DO Group: Same Booldng Center (indicate account number): • 013 Group: Other Booking Getter (indicate DB locaten and account details): @ Other Instkotlon (Indicate name & location): .WMorgan Chase. New York, NY O Physical Deposits (specify cash, seaters cheques, ...): What is the expected site and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 15 inflows and outflows per month ranging from $100.110,000. Nut is the expected volume of assets and currency for the account approx. 90 days after opening? 150,000 I Currency I USD Slat is the expected volume of assets and currency for the account appeox. one year after opening? I 100,000 I Currency 1 USO Does*. the client have Assets Under Management (AuM) witNn OB under Eur. 3M? —I—. RI No Yes 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 the account (> 1 can be selected). • If none of the check boxes apply, describe the party's rebtbn to the accost in the 'Other- column. • Always describe the relationship between the parties in the law colunn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egaiDesaiptkin AccoirOlC Setter of Jitirnate Signatonsimitedlimancial Oignalcant _eget Grantor/Settlor. bunding Other ntttraf Source Holder 3wneffrust / Benefeallor Full ?OA Intermediary5hareholderttepresentative Donor please if Wealth Founder of Owner POA (Flm) >=2S9b) Jescxibe required Foundation Von-PIC entity riher roles Ind/or ?mem "indicate ndkate e!sted to nn winterise %) relationship between ICCOUIll )(MIN) I O E Jeffrey Epstein 2 O O O O O O O L Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9456 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -100100496 EFTA_000 19366 EFTA00169113 KYC Print Page 7 of 14 2. ACCOMfat Owningelpiellenely Account Name: Jeffrey Epstein Acct. timber ("available) Account 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 account to hold Jeffrey Epsteln's personal funds. Indicate O from where the assets are expected to arrive' D6 Group: Same Booking Center (indicate account manna): 08 Group: Other Booking Center (Indicate DB location and account details): Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): • 2 O What is the expected sire and frequency of regular Inflows and outflows for the account (indicate estimated inflows and outflows per month ranging from $1,000 to $20,000 number and volume per month): Roughly 1.2 Want is the expected volume of assets and currency for the account approx. 90 days ter opening? I mom I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? I 200,000 I Currency 1 USD Does** the client have Assets Under Management (AuM) within DB under Eur. 3M? 2 NO • Yes 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 rentbn to the account In the 'Other- column. • Always describe the relationship between the parties in the lad connn. • Please drill down to the ultimate/underlying Beneficial Owner(s). „egaiDescription ntttraf Source al Weagh required 'amt-. elated to hr. ICCOUIll AccoirOlC Holder 3wnerirust Senior of / Founder of Foundation Allman Benefiaallor Owner Signatorwimitedifinancial Fug POA ?OA IntermednyShareholdereepresentatIve (riM) Bignlicant >=2S9b) Von-PIC entity "indicate ownership ?a) _Anal Grantor/Settlor. bunding Donor Other please *scribe riher roles Ind/or ndkate relationship `Se wean )(MIN) I O E Jeffrey Epstein 2 O O O O O O O L Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... /it 7 5 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D497 EFTA_000 19367 EFTA00169114 KYC Print Page 8 of 14 One sheet must be established for [ACM INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individuals Name Jeffrey Epstein • Date of Birth: 1/20/1953 Country of Residence: USVI Country of Cozenshlp: USA Address of namely residence: Line Saint James Saint Thomas 00802 US Virgin Islands Has client resided outside of his/her country of nationality for 5 years or more, O yes g m° Profession/Occupation: Self Empriyed Tax ID / SSN: Current Employer Southern Financial LLC Position/Me/Rank President Address of employer: 6100 Red Hook Quarter B3 St. Thomas, USVI 00802 Does the person work as senior executive eta DB-recognized regulated entity In the financial imhestry? or an entity Isted on a 08-recognised exchange? (Not applicable for operating entitles me yes ® r40 Is the Individual a Pdltically Exposed Person (PEP)?(f Yed. ckso-ibe) Oyes No To the best of your knowledge, Is the Individual related to an employe* of the DB groups(/ Family or FrierdsoNA dcsmbe ) O Fan* O Friendship 2 was 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), Or Yes,ckscate) O Yes in MO If applicable, indicate which bank officers have met the person: Indicate where and when the <lint meebng(s) took place. Bank Officer Narne(s) Bank Office: Client Private Domicile: Client Place of Business Other Location (specify): Date: Paul Morris O O Ed 4/3/2013 O O • O O O • Wealth Details for this Individual are not fled in, because they are the same as for the following person: for description indicated in Section 2) 38. Wealth Details (Only parties requiring source of wealth as Nature of the Individuals Business: Private investments Prissy Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of hods' Summarize Source of Wealth: g Business Owner U S a l a r y g a m i n g s 0 Investment U Inheritance/Gifts O Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources (e.g. FOr tins, how did settler accumulate wealth' For Inheritance, how did family accumulate wealth'Fcc business owners. how bang in business, how ninny employees, level of profitability' Indicate type of busOess, countries of major achytkri, important business partners.) Epstein began his financial career in 19/G as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own nano& management firm, J. Epstein & Co., managing the assets of Oents with more than a baton in net worth. In 1996, Epstein changed the name of hi firm to The Financial Trust Company and based it on the island ot St Thomas in the US VegO Islands, Sikh merged into Southern Financial LLC. MI of his clients were anonymous except for the very wealthy businessman Leshe Wexner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated /meal Income($): 10,000,000.00 Estimated amount of investable assets(d): $50 MM - 100 MM Estimated Not Worth($): $100 MM - 500 MM amount of assets planned to invest with PWT4($): 10,000.00 Other Known financial Institutions: Institution: .1l4lOrgarl Country: USA Est. Assets Under Mgt: 20,000,000 00 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9 i g CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -100D0498 EFTA_000 19368 EFTA00169115 KYC Print Page 9 of 14 Institution: Country: Est. Assets Under Mgt: Institution: I I Country: Est. Assets Under Mgt: Please Indicate the family situation of the indMdual (mental status, other family writer:, etc.): ogle One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Financial LLC - type of Entity: 11 Private .1 FoundatiorciAssomation O Trust R Company O Estate O Partnership Purpose of Entity: El Investment ID Philanthropic/Charitable • Commercial type of Entity Other (specify): Purpose of Eby °Uwe (specify): Country of incorporation/registration: US Virgin Islands Date of incorporallOn / registration: 2/25/2013 Volcker Status: Vokkor Rig: Address (city, greet, post <ode): 6100 Red Hook Quarter B3 St Thomas 00602 US Virgin Islands U.S. TIN/EIN: Provide a description of the entity's organizational structure, its ownership structure and Its Top Management For trusts/foundations, include information about revocalifity,settor and benefIciaries,ett.: Southern Trust Company Inc Is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: El Special attention: Bearer Shares - Indicate where shares are custoched: DI...Atitle the chain from the direct ovine, of the entity to the ultimate beneficial owner (t1 not the same persons): lo the best of your knowledge, is the entity party to a non, banlong relationship with Deutsche Rink (e q. external legal counsel, ckut ride! ral SOul source, suppler of goods or services)?: Yes [1 No ] Describe Nature of Entity's Primary Business and Investment Activities Nature of the busmess: This busmess is funded by Jeffrey fustein's wealth. This company was formed to hold Mr. Epsteircs personal wealth any invest in different ventures. Ibis cornpony invests in real estate, equities, commodities, etc and gets es revenue Iron the gains It makes In these Investments. It s a company formed to invest the assets of Mr. Epstein Countries where business is tramacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of weatii description as indicated in Seddon 2) Primary Country of source of wealth/source of Funds? Primary Industry of source of Weami/Source of Fends? Provide Evidence of Corporate Aga (e.g. balance sheet or equivalent summary of assets/labilities): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein} Estimated gross receipts p.a.($): 2,000,000.00 Est mated net molt p.a. ($): 1,500,000.00 Estimated investable assets (5): <$1 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Ingitutlom: Institution: IPMorgan Country: USA Est. Assets Under Mgt: 1,030,030.00 Institution: Country: EM. Assets Under Mgt: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 9.454 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -b000499 EFTA_000 19369 EFTA00169116 KYC Print Page 10 of 14 I I Ic0tm I One sheet mu the rut birched for EACH LEGAL ENTITY In Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Southern Trust Company, Inc. - Type of fift y: O Foundation/MN:elation O Trust g Company O Estate Purpose of Entity: 0 Private Investment D Philanthropic/Charitable Commercial • Partnership Type of Entity Other (specify). Purpose of [May Other (specify): Country of incouroration/registratkon: US Virgin Islands Date of incorporation / registration: 11/18/2011 Volcker Status: Vokka Fbg: Address (city, street, post code): 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TIWEIN: Provide a description of the entity's organtratIonal structure, its ownership structure and its Top Management. for trusts/foundations, include Son-nation about revocablty,settlor and benefkiarles,etc.: Please indicate how ownership of the legal entity is reflected: - Indicate where shams ate custodied: • Special attention: Bearer Shares Describe the chain from the drect ovmer of the entity to the ultimate beneficial owner (!nth the same persons). To the best of your knowledge, is the entity party to a non-hanlong relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services): Yes El No tri Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Financial and Bornedical algorithms. Southern mist 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 then clients and makes their revenue based on the returns and the fees associated with managing their clients assets Countries where business is transacted: US Virgin Islands Number of employees: 1 I Est. Assets Under Mgt: 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds, Primary industry of source of Wealth/Source of Finds/ Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsitabihlUes): Consult and invest client funds and gain revalue based on fees and returns Estimated gross receipts p.a.(3): 2,000,000.00 Estimated net profit p.a. ($) 1,500,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with MUM ($): 300,00040 Other Known Financial IrtstRutions: Institution: WMOrgan Country: USA at. Assets Under Mgt: 2,004000.00 Instrtubon: Camay: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforce.comiservlet/servlet.Integration?lid-0IN30000000D9Di&e... 1 60 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) -0000500 EFTA_000 19370 EFTA00169117 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center 12 NY • • moderate kremlin° LighthorlY • Offshore re •• High Rig NY/Cffshore lisk (Compliance Signature) ID DB Employee O CO Managed PIC 1:1 DB ts Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided n Olive, Ucense El Passport • National/State (0 • Other 8. Checklist of names (indivkluats and/or entitles) that were subtitled for database searches is 0 Yes • No attached C. Please indicate the results of the database searches performed ROC searches complete ®Yes O No negative results found ®Yes Die PCR checks complete FA Yes O No negative results found 0 Yes Oho OFAC checks complete .4 Yes • No negative results found • Yes 0 No BIS searches complete (Leds/Neds, Factiva, Reuters, Dow Jones, DAB) WI Yes Oho negative results found O Yes WI No Denial Orders checks complete ?E Yes O No negative results found • yes Oho Martindale-Ilubbell searched (Latta/LAY Ham or/y) • Ye e No negative results found • Yes Oho D. Please summarize any negative results from the database searches indkated above: JEFFREY EPSTEIN: ROC Alert • I -- Oeared & 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 client. FINANCIAL INFOMATIa INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputatkmal risk as shown by the AK Clearance attached Court Cases have been closed FINANCIAL TRUST & CO ROC/PCR alert is associated wish 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 criminal offense, a yes • No F' To the best of your knowledge, has the custorner ever been involved E any past legation against Deutsche Bonk AG litigation or any of Rs subsidiaries or n the customer threatening against Deutsche Bank AG or any of b subsidiaries? ft Yes, node &tic below and contact Quota), ASA O Yes J No aatAmilneVar the Regulatory Control Group and notify Comps:once immediate)) G. Does the client or related party have any finance' or other association / itteractions widen countries a fro 74 No or regimes sanctioned by the Office of Foreign Assets Control (MCP ii. Does the client or related party have any financial or other association/ Interactions within high risk • yes FA No countries, I. Corporate Documentation Attached (Legal Entities Only) RI Yes • No O Not Applicable https://dbforcepb. my. salesforce.com/servlet/servl et.Integration?lid=01N30000000D9Di&e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) glIgAtt)501 EFTA_00019371 EFTA00169118 KYC Print Page 12 of 14 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? afes 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... 94O CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 40000502 EFTA_000 19372 EFTA00169119 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Janice Franklin 9/5/113 11:56 AM See KYC 1062793 for Senor Business Management's approval to go forward with dent adoption process, ONSHORE APPROVALS Client Facing Professional (CFP) Paul Morris .Signature) saul Morris 9/4/2013 Office Director/Business Head: Brian FL Biggar Signature) 3rlan M. Biggar 9/1,2013 Regional Office Director: [Signature) Mt Business Risk: (Signature) NI. Compliance: Janice Frankin Jacqueline Ughtbialy (Signature) Janice Franklin Jacquekne lighttody 9/S,'20 I t 91512013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GPITH)/Sub-Plarket Team Head (SMTH (Signature) AK Business Risk: (Signature) Aft Compliance: -... . PRIVATE WEALTH 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 Professionalsi(i) (CFP's) should establish and maintain business relationships only with pencils 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 ofCFP's to demonstrate that they brow 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 part of the clients) 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. littps://dbforeepb.rny.salesforce.com/serviet/servietintegration?lid=01N30000000D9Di&e... ?46i CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 0D503 EFTA_000 19373 EFTA00169120 KYC Print Page 14 of 14 Deutsche Bank Americas New York n https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) ingAtV504 EFTA_00019374 EFTA00169121