EFTA01282080

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case it : 01305519 ne sheetmust be established r relationship - list all accounts included in the relationshi Status : 6. Approved 1. Relationship Details Relationship Name: JSC INTERIORS LLC FtELATIONSHIP:00000496076 Booking Center: New York Relationship Manager: Paul Monis 14 New PWM Relationship O Existing PWM Relationship Relationship to PSVNI: If existng, please indicate once when the relations ip exists, provide reason for new profile and attach old wale: How Was the Oient(s) F2I Client Referral O RM Prospect 1O Intermediary/PIM O Other Source (CIB, etc.) Introduced? How long has the RM personally known the cent? Please provide details (e.g. name of referral source, how many years RN personally has known client, etc.): Richard Kahn is a current client of Paul Morris. He referred the account as he knows the owner of this LLC and S also POA. Does Deutsche Bank pay a retrocession or similar 0 Yes I 2 No compensation to a thid party for the introduction of this relationship? (if Yes describe): List all existing and new acccuas involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intendediacbial) 1 0 JSC Interiors LLC • Deposits 11/19/2014 2 O JSC Interiors LLC • NIMA 11/19/2014 Who is the primary contact person for the RM? (Note: Ths person needs to have stgratory rights and/or information right for the accounts.): Richard Kahn Preferred method of contact (ixkcate phone no., fax no., e-mail address, etc.): SDNY_GM_00037359 CONFIDENTIAL- PURSUANT TO FED. R. I ON FIDENTIAL DB-SONY-0000183 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_0014797 I EFTA01282080 KY( Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: JSC Interiors LLC - Deposits Acct. Number (layoff:WM): Account Manager: Paul Moms What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term awestment, payment/expense account)? Chedong account for dalny activities associated with running an interior design company. Indicate from where the assets are expected to arrive? • DB Group: Same Booking Center (indicate account number): • DB Group: Other Booking Center (indicate DB location and account details): 0 Other Instkution (Indicate name & location): 3PM O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular Mows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10.20 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 25000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 50000 I Currency I USD Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? O Yes O No Please list all parties related to the account For each party: • Check if a source of wealth &solution is recaked for the party. • Check the appropriate box to desaibe the relationship o4 the party to this accost (a 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the *other column. • Always desaibe the relattnship between the parties in the last column. • Please &ill down to the ultinate/underlying Beneficial Owner( ). _egal :intityof Description Source of Wealth receked Parties related to this account AccoundPIC molder Ow nerTrust/ Settlor of Founder of Foundation Ultimate Beneficialor Owner *rotor) Full POA iteSinancial POA Intermeduary6hareholder (FIM) Significant (>-25%) Non-PIC entity :indicate ownership ;6) Legal Representative Grantor/Setborrounding Donor Other (please Cesate other roles and/or "[care ,eationship between -antes) I 0 0 Richard Kahn O O O O 2 O O 0 0 D 2 2 2 JSC interiors LLC 2 O O O O O ID O 0 D 3 O 2 . O O O 2 • O O O O • SDNY_GN1_00037360 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000184 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147972 EFTA01282081 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: 3SC Interiors tic - MMA Acct. Number (if available) Account Manager: Paul Maris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)? Money Market account to hold funds and earn interest for the interior design &n Indicate from where the assets we expected to arrive? • DB Group: Same Booking Center (indicate account number): • DB Group: Other &eking Center (indicate DB location and account details): n Other Insbtutico (Indicate name & location): )PM O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1.3 inflows and 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 250® I Currency I USD What is the expected volume of assets and currency for the account approx. we year after opening? 1 50000 I Currency I USD Does/will the client have Asses Under Management (AuM) within DB under Eur. 3M? I Yes n No Please list all parties related to the account. For each party: • Check if a source of wealth desolation is required fo the party. • Check the appropriate box to desaibe the relationshp of the patty to this account (a 1 can be selected). • f non of the check boxes apply, describe the party relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill dawn to the ultinate/underlying Beneficial Owner( ). .egal 2Mityof )esaiption Source of Wealth •ecpsed Parties related to this account AccountPlC Holder OwnerTrust/ Sector of Founder of Foundation Ultimate Beneficiake Owner Sonata") Full POA iteciFinancial a0A IntermedizryShareholder (FIN) Significant (”25%) Von-NC entity (indicate ownership ill) Legal Representative Grantor/Settlafounding Donor Other (please describe other roles and/or indicate relationship between parties) 1 O O KaR.:Fordo hn Do • • ..4 0 0 0 0 O 2 la 3SC la Interiors LLC M • O • • O O • O O 3 O 15 ■ • • O 5 • O 0 • O O SDNY_GM_00037361 CONFIDENTIAL - PURSUANT TO FED. R. t I ONFIDENTIAL DB-SONY-0000185 ht tps://db forcepb.my.sa le sforce.corn/servlet/servlet.lntegration?lid=01N 30000000O9 Di & e... 7/11/2019 EFTA_00147973 EFTA01282082 KY(' Print Page 4 of 12 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A Individual Details (for all parties) Individual's Name: Richard Kahn • 00000486407 Date of Bath: Country of Residence: USA Cantry of Citizenship: USA Address of primary residence: Has dent resided outside of his/her country of nationality fu 5 years or more? O Yes FA No Profession/Occupation: Accountant Tax ID / SSN: Current Employer. HBRK Associates, Inc Position/Tide/Rank: Address of employer. 57S Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senio executive of a DB-recognized regulated enbty in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities • Yes No Is the individual a Politically Exposed Person (PEP)?(if Ye£ *sate) Ekes la No To the best of your knowledge, 6 the individual related w an employee of the DB group?(Oe O Family O Friendship 2 None Family or F+riJvblaA describe) To the best of your knowledge, is the individual party to a non-banking relationship with Deuisthe Bank (erg., external legs counsel, client referral source, supplier of goods or services)?(FY Yesdesafte) No • Yes 121 If applicable, indcate which bank officers have met the person: Indicate where and when the client meeting(s took place: Bank Officer Name(s) Bank Office: Client Private Duniale: Client Place of Business: Other Location (specify): Date Paul Morris RI 11/4/2014 • • O O O O O O • Wealth Details for this individual are not flied in, because they are the same as for the flowing person: 3B. Wealth Details (Only for parties nadLeing Sane of wealth description as kidicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealtlVsouroe of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business OWE! O Salary/Earnings O Investment O Inheritance/Gifts • Other: Further Describe Source of Wealth /Detail the history of wealth for each of the SGINCOB: (e.g. For tugs, how did setdor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major awvities, important business partners.) Estimated Annual Income($): Estimated amount of investable assets(:): Estimated Net Worth($): Amount of assets planned to invest with PWM(S): Other Known financial Institutions: I Est. Assets Under Mgt: Institution: Coisty: Est. Assets Under Mgt: SDNY_GM_00037362 DB-SONY-0000186 7/11/2019 EFTA_00147974 EFTA01282083 KYC Print Page 5 of 12 Institution: Coutry: S. Assets Under Mgt: Please indicate the tangy situation of the axInridual (marital status, other tarry members, etc.): SDNY_GM_00037363 CONFIDENTIAL- PURSUANT TO FED. R. ie I ON FIDENTIAL DB-SONY-0000187 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147975 EFTA01282084 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Date of Beth: Country of Residence: USA Catty of Citizenship: Address of primary residence: Has cbent resided outside of his/her country of nationality for 5 years or more? O Yes 7 No Profession/Occupation: Tax ID I SSN: Current Employer. Position/Tide/Rank: President Address of employer. Does the person work as senio executive of a DB-recognized regulated enoty in the financial industry? cc an entity listed on a DB-recognised exchange? (Not applicable for operating fl oes M Yes No Is the individual a Politically Exposed Person (PEP)?(if Ye£ &sate) O Yes 2 NO To the best of your knowledge, ' 6 the individual related w an employee of the DB group?(if O Family O Friendship 2 None Family& A describe) To the best of your knowledge, is the individual party to a non -banking relatdoship with Deutsche Bank (e.g., external legs camel, client referral source, supplier of goods or services)?(FY Yesdesdfte) • Yes 2 No If applicable, indcate which bank officers have met the person: Indicate where and when the client meeting(s took place: Bank Officer Name(s) Bank Office' ' Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris 2 11/3/2014 • • O O O O O O • Wealth Details for this individual are not filed in, because they are the re as for the flowing person: 38. Wealth Details (Only for parties nettling source of wealth ascription as indicated in Section 2) Nature of the Irdividuars Business: Interior Design Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 1 0 Busims O Investment CIInheritance/6ft O Other: Owner • Salary/Earnings Further Desoibe Source of Wealth /Detail the history of wealth for each of the saran: (e.g. For trusts, how did setdor acanulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major addvities, important business partners.) Yulia is an interior decorator and has earned her living through this outlet. She has lived in the US for over a year and has focused her business in New York catering to individual dients and hopes to expand over time to other locators where clients have homes Estimated Annual Income($): 100,000.00 Estimated arnarit of investable assets($): <$1 MM Estimated Net Worth($): <$1 MM Amount of assets planned to invest with OWN(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. IA I ON FIDENTIAL h tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147976 SDNY_GM_00037364 DB-SONY-00001ES EFTA01282085 KYC Print Page 7 of 12 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the i-cividual (marital status, other family members, etc.): Named 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: Type of Entity: LI Foundation./ AssoctaDon • Trust I A Company • Estate O Partnership is., '9413°s° of Enity: iCommercial 0 Private Investment • Phianthropoc/Cha rroNe O Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of registration: incorporatio on: / 11(7/2014 Volcker Status: Volcker Flag: Address (city, street, post code): 57S Lexington Avenue, 4th Fl New York NY 10022 USA USA US. TIWEIN: 47.2294796 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc: Please indicate how ownership of the legal entity is reflected: Richard Kahn is the Manager 2 Special attention: Bearer Shares - Indicate where shares ere custoded: N/A the chart from the direct owner of the entity to the ultimate beneficial owner (if not he same persons): Single member LL.' Richard Kahn is the Manager To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, dient referral source, supplier of goods or services)?: Yes O ND@ Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth desaiptta as indicated n Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet cc equivalent summary of asset/liabilities): )SC Interiors Iles assets come from the fees it charges its diet for its decorating services. The firm scedaliam in the high end and works mainly with elite private clients and companies Estimated gross receipts p.a.(5): 400,000.00 Estimated net profit pa. (5): 300,000.00 Estimated investable assets (5): c$1 MM Potenbal Amount to be invested with PWM (5): 100,000.00 Other Known Financial Institutions: SDNY_GM_00037365 DB-SONY-0000189 7/11/2019 EFTA_00147977 EFTA01282086 KYC Print Page 8 of 12 Institution: ]PM Country: USA Est Assets Under Mgt: 1 100,000.00 Institution: Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SDNY_GM_00037366 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000190 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147978 EFTA01282087 KYC Print Page 9 of 12 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... OB PM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name Risk Rating Comments: Booking Center rr .4 NY O NY/Ciffshre O Offshore O Moderate Risk I—I LJ High Risk (Compliance Signature) O DB Employee O DB Managed PIC OM is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided R Drivers License O Passport • Nabcnal/State ID • Other B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached @ Yes O No C. Please indicate the results of the database searches performed RDC searches complete I21Yes O No negative results found O Yes 21 No PCR checks complete 0 Yes • No negative results found I:I Yes 74 No OFAC checks complete RI Yes O No negative results found O Yes @ No BIS searches complete (Lexis/Non, Factiva, Reuters, Dow Jones, D&B) 21Yes • No negative results found • Yes n No Dermal Orders checks compete RI Yes 0 No negative results found Ekes 2 No Martindale-Hubbell searched (Lawyers/Law Arms only) O Yes 12 No negative results found O Yes • No D. Please summarize any negative results from the database searches indicated above: No negative results No court cases JSC INTERIORS LLC No negative results No con cases RICHARD KAHN: KYC a • • roved in 401133377 and #01133113 E. To the last of yam knowledge, has the client ever been convicted of a criminal offense? O Yin No F' To the best of yam knowledge, has the customer ever been involved in any past Irtigatin aganst Deutsche Bank AG or any of its subsidianes or is the custcmer threatening litigation against Deutsche Bank AG or any of itssubsidiaries? (If Yes, provide details boaw and contact Quality El Yes I21 No Mgt. (CatAmi7ntl)or the Regulatory Control Gnxe p and nodfytharkance immediately) G. Does the client or related party have any financial or other association / interactionwithin countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? O Yes 0 No H' ''' the client or rated party have any finanoal or other associatm/ 'Me/actor's within high r ni risk countries? I—I Yes eci No I. Corporate Documentation Attached (Legal Entities Only) Yes • No • Not Applicable J. Uncksclosed Preicipal Form Complete (Intermediaries Only) O Yes O No RI Not Applicable K. If Lexis/Nas Search ResulM, Corporate Documents or Other Supporting Documentation is not el English, please provide an English summary of the nabre/contents of the ncn-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? 0 Yes El No Is the account structure unusually complex? O Yes n No SDNY_GM_00037367 DB-SONY-0000191 7/11/2019 EFTA_00147979 EFTA01282088 KYC Print Page 10 of 12 Is there any kidicatch the client set up a non operating company exoresaN for the moose of transferring shares to third Dates' Is there any kidication this could be a prohibited business relationship? El Yes IRINo Dyes No Are the bearer shares identified subject to acceptable controls? Ores 0No SDNY_GM_00037368 CONFIDENTIAL— PURSUANT TO FED. R. CC I O B- N FIDENTIAL DSDNY-0000192 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147980 EFTA01282089 KYC Print Page II of 12 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professions (CFP): Pall Mark (Signature) Paul Monis 11/14/2014 Office Directorffiusinins Head: Kimberly Hat (Signature) Kimberly Hart 11/17/2014 Regional Office Diener: (Signature) AML Busaness Risk: Melisa Veneges (Signature) Melisa Venegas 12/2/2014 MIL Canpliance: (Signature) I LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMIH)/Sub-Market Team Head (*ITN): (Signatve) MIL Busaness Risk: (Signature; AML CarpHance. (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I 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 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. SDNY_GM_00037369 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000193 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_0014798 I EFTA01282090 KYC Print Page 12 of 12 I Deutsche Bank Americas New York U SONY_GM_00037370 CONFIDENTIAL- PURSUANT TO FED. R. CC I - ON FIDENTIAL DB-SONY-0000194 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147982 EFTA01282091