EFTA01284112

KYC Print Page I of 15 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01748087 One sheet must be established per relationship - list all accounts included in the relationshi 1. Relationship Details Relationship Name: sou it if RN FINANCIAL RELATIONSHIP:00000483290 Booting Center: New York Relationship Manager: Stewart Oldfiekt • New PWM Relationship 12 Existing PWM Relationship Reatiomaip to PWM: If elating, please Indicate since when the relatIonsrop edits, provide reason (or new Profile and • checkng account with accotnt title as Zorro Management U.C(House Acct) and adding new steno I? Client Referral O RM Prospect O Intermediary/FIN O Other Source (CIB, etc) Flow Was the Clangs) Introduced, How long has the RM personaly known the client? please provide details (e.g. name of referral source, how many years RN personally has losown client, etc.): Jeffrey Epstein reached out to Stew Oldfieki on 3/7/17 to have a new act opened under Zorro Management Lit end add two new signers to the new acct only. Does Deutsche Bank pay a retrocession or similar • Yes I l'Al No compensation to a thrd party for the introduction of this relationship? (//Yes, describe list an existing and new awaits Involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (Intended/actual) I El 20110 Management, LLC - Deposit 12/27/2016 2 O Zone, Management, LIC (Howe Acct) 3/10/2017 Who is he primary contact person or the Rati (linte: This person needs to have signatory rights a d/or Information right for the accounts.): Darren Indyke Preferred method of contact (indicate phone no., fax no., eine' address, etc.): Status : 6. Approved SDNY_GM_00040025 https://dbforcepb.my.salesforCCINEJIDULTdiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002849 EFTA_00150634 EFTA01284112 KYC Print Page 2 of 15 One sheet must be estabAshed for each account to be opened 2. Account Ownership Summary Account Name: Zorro Management, LLC - Deposit Acct. Nunter fr awarlatikt. Account Manager stewart °Wield What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-tam investment, payment/expense account)? the purpose of this account is to nonage the daily expenses of the company Indicate from where the assets are expected to arrive? a Dlit Group: Same Booldng Center (indicate account number): 35269691 O DO Group: Other Booking Center (indicate Dft location and account details): O Other Institution- (Indkate name P. location): O Physical Deposits (specify cash, securities, cheques, .4 What is the expected size and frequency of regular intim% and outflows for the account (ndicate estimated number and volume per month)': 0-10 inflows/outfbws between 50k and 100k on a monthly basis What is the expected volume of assets and currency for the account approx. 90 days after opening? I ICurtency I 16d What is the expected volume of assets and currency for the account apprac one year after opening? 11000000 ICurrency I usci Does ill the client have Assets Under Management (AIM) within DB under Eta 3Kr arts EiNo Please list all partks related to the account. For each party: • Check if a source of wealth descnpbon 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 column. • Always describe the relationship between the parties in the last column. • Please drill down to the Stimaterunderlying Beneficial Chmer(s). ..egal .tntityaf 3esaipabn Source at Wealth -equked Parties -elated to his attar* AccountbIC balder Dwiserlant Senior of ..litimate / Founder of Foundation 'Signatory 3eneficialor Owner Full POA _ImPeainanclal ?OA IntermedlaryShareliolderlepresentative (FIM) Signifkant (> -2596) Non-PIC entity (indicate ownership %) ._egal .3antorgettlort-oundinglDther Donor 'please iescnbe other roles and/or ndicate relationship Setween mines) i E1 O Zero rlanagernent, Lit El O CI • O • O O a I 2 O 5 Jeffrey Epstein • O • 2 0 • O O • • 5 D O Darren Ind O O O O 121 • O O si I SONY_GM_00040026 https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002850 EFTA_00I 50635 EFTA01284113 KYC Print Page 3 of 15 2. Account Ownership Summary Account Name: 20410 Management LLC (House Acct) Acct. Humber (if ovadalaW: Account Manager: stew °Weld What is the purpose of the account (e.g. portfolio management, advisory account, custody seiVICC6, long-term Investment, paymentiexpense account)? The purpose M the account Is to manage the monthly wanes of the company Indicate from where the assets are expected to who, 0 CO Group: Sane Booldng Ceder (nhate account ember): O DB Group: Other Boding Center (Indicate DO location and accowst details): O Caw Irtgillti011 - (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...t What is the expected size and frequency or regular inflows and outflows for the accomt (indicate estimate] number and volume per month)': 0-10 Mflows/outflows of no more than 10k on a monthly basis What Is the expected volume of assets and currency for the account approx. 90 days after opening? 1 10000 I Currency I usd What is the expected volume of assets and currency for the account approx. one year after opening, 15000 'Currency I usd DoesAvill the client have Assets Under Management (AIM) vathki DB under fir. 3M7 O yes 2 No Please list all parties related to the account. For each party: • Check il a source or 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). • I none of the check boxes apply, describe the party's rela ion to the account in the 'Other column. • Always describe the relationship between the parties n the last column. • Please drill down to the WU-nate/underlying Beneficial Owner(s). seal Enbtyof Description Source of Wealth required arum bled to account sccounWIC Holder OwnerTrust/ Settbr of Fowider of Fotmdation Atli-rate Teneficiallor >taw Signatory Full POA Jetted ?OA Financial InterrnediaryShareholderneptesentatrve (FIM) Significant (>=2S14) Non.PIC entity (Indicate ownership 14) ...mat `rstantor/SettbrFounding Dona Otha please *scribe Wier roles aid/or ndicate tatlonshlp between -tanks) 1 O 121 Zorro anent, LC 9 O O O O O O O O O 2 ID O Jeffrey pstein O O O O El CI O O O O 3 • O Darren ndyko O • • O El ID I:1 O O • 4 O O O • O O El O O O O • 5 O O O O O O El O O O O O SDNY_GM_00040027 https://dbforcepb.my.salesforcCLINErilDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002851 EFTA_00 I 50636 EFTA01284114 K YC Print Page 4 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indolduars Name: 'dire/ Epstein • 00000783289 Date of Birth: 1/20/1953 Country of Residence: USV1 Country of °Wend*: USA Address of primary residence: title Saint hires Saint Thomas 00802 Has client resided outside of his/her country of nationality for 5 years or more' O yes a fin Profession/Occupation: Set Empolyed Tax ID / 591: Current Employer: Southern FlnaixIal U.0 Position/Tele/Rank: President Address of emPbYer: St. Thomas United States 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial rid ustry? or an enUty listed on a DEtrecognised exchange? (Not applicable for operating entitles D yes ga No Is the indMdual a Politicaty Exposed Person (PEPy(r/ Yes, describe) O Yes 2 No To the best of your knowledge, Is the Individual related to an employee of the DB group?(/ Farr* or Frieldthip, descrbe) • Family O faendship E None To the best of your knowledge, k the Individual party to a non-banking relationship vdth Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services)? (A Yes,desabe) El Yes El No If applicable, indicate which bank officers have met the person: Indicate where and when the dent meeting(s) took plane: Bank Offker Name(%) Bank Office: Client Private Domicile: Client Placed Business: Other Location (specify): Date: O O O • O O • O O O Wealth DelaNs for this individual are not flied in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth desuiption as Indicated In Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? sumnsinze Source of Wealth: Ea Business Onner 054,N/famines 0 Investment O lnheritance/Glfts • Other: Further Describe Source of Wealth Metal the history of wealth for each of the sources: (e.g. For trusts, how did senior accumulate swath' For inheritance, how did Minty accumulate wealth1For business owners, how bog in business, how maw employees, level d proleabikly/ Indicate type of business, countries of major activitles, important business partners) Festal 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 managnneit firm, 1. Epstein & Co., managing the assets of dents with more than a Mon 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 Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Steams and his financial management lima Estimated Annual Income(S): 10,000,000.00 Estimated amount of irroestable assets(S): $50 MM - 100 MM Estimated Net Worth($): $500 MM + Amount of assets planned to kwest WO PWM($): Other Known Financial InsUtutions: Institution: Country: Est. Meets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00040028 https://dbforcepb.my.salesforeCCINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002852 EFTA_00 150637 EFTA01284115 KYC Print Page 5 of 15 Institution Est. Assets Under Mgt Please indicate the lenity situation of the individual (marital status, other Caney members, S.): SDNY_GM_00040029 Imps://dbforcepb.my.salesforCCINErlacrbadiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002853 EF1'A_00150638 EFTA01284116 KYC Print Page 6 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indrruluats Plant. Wm.!, In:yko 001c4sn40S Dated Birth: Country of kr:seance: USA Country of Otizensh0: USA Address of pasty r Noce: Livingston 07039 United States itas client resded outside of ht/her country of nationality for 5 years or more' O yes la No Profession/Occupation: Lawyer Tax ID / SSN: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer. Livingston NY United States 10022 Does the person work as senior executive of a Darecognited regulated entity in the financial nd ustry? or an entity listed on a DElirecognised exchange' (Not applicable for operating entities O ya NO Is the indadual a Politically Exposed Person (PEPp(f Yes, tote) • Ye @ No To the bat of your knowledge, is the Individual rebted to an employee of the DB groupt(tY Falter Riendship, desathe ) • Family O FnendsNp @ None To the best of your knowledge, k the indbklual party to a non-hanking seat:3,15Np with Deutsche Bank (e.g., edema! legal counsel, client referral source, supplier of goods or services)' (A Yes,desat) O Yes RI No If applicable, .ideate which bank officers have met the person: Indicate where and when the clan' nreting(s) took place: Bank Officer bands) Bank Office: Client Private Donate: Client Place of Business: Other i ci ...I sr if D.:tr. Stevan Oldfield 0 O O I). 1 "El lb O O CI O O O O Wealth Denies for this individual are not flied in, because they are the same as for the folcasing person: M. Wealth DetMb (Only for parties requiring soma of wealth description as indicated in Section 2) Nature of the IndivitharsffinineLs: Primary Country of source of wealds/source of Funds? Primary nanny of source of Weath/Souice of Funds/ Summarize Source of Wealth: O Business Owner OSalary/Eamings O Investment O Inhotance/Gifts • Other: I other Describe Source of Wealth /Dela the history of swath for ash of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did famfy accumulate wealth/For business owners, how brig in useless, how many employee, le et of profitability/ Indicate type of business, roulettes of major activities, important business partners.) I throated Annual Income($): Estimated amount of investable asseta): Estimated Net Worth($): Mount of assets planned to hat with MKS): Other Known Financial Institutions: Institution: County: Est. Assets Under Mat: Institution: Country: Est. Mies Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the indiv col (mental status, other fandy members, etc.): SONY_GM_00040030 lit t ps://dbforcepb.my.salesforcCaNEJIDEsciardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002854 EFTA_00150639 EFTA01284117 KYC Print Page 7 of 15 SDNY_GM_00040031 latps://dbforcepb.my.salesforcCLINEJIDerhilidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002855 EFTA_00150640 EFTA01284118 K YC Pri nt Page 8 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownesshb Summa 3A. Individual Details (for all parties) linkkuars Name Date of Birth: Country of Residence: USA Country of °Wend*: USA Address of pernary residence: Slinky 87056 United States Has client resided outside of his/her country of natkmakY for S years or more' O Yet El No Profession/Occupation: Manager Tax ID / SSIV: Current Employer: Zorro Management Posit/on/Title/Rank: Manager Address of employer: St Thomas unked States Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB:recognised exchange? (hot applicable for operating entitles OYin WI No Is the individual a Politkaly Exposed Person (PEPP(r/ Yes, **vibe) O Yes 2 No To the best of your knowledge, is the Individual related to an employee of the DB groufa(if Fein* or Friendship, desmbe) Il Family O friendsNp El None To the best of your knowledge, is the Individual party to a nonhanking relationship with Deutsche Bank (e.g., extemal legal counsel, client referral source, supplier of goods or senores)? (I Yes, describe) Ores 10 No If appicable, Skate which bank officers have met the person: Indicate where and when the client meeting(s) took oboe: Bank Officer Name(%) Bank Office: Client Private Domicile: Client Place of Business: Other location (specifyh Date: O O O • O • • O O O Wealth Details for this individual are not flied in, because they are the same as for the (denying person: 38. Wealth Details (Only (or parties rogueing source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Pommy industry of source or Wealth/Souite of Funds' Summarize Source of Wealth: • Business Owner OSekry/Eamings O Investment C inheritance/Gifts • Ott*: (tether Describe Source of Weals/Detail the history of wealth for each of did fan* accumulate we.alth"for business owners, how bog in business, activities, important business parbiers.) the sources: (e.g. For trusts, how did senior accumulate wealth' For inheritance, how Indicate type of business, countries of *nor how many snant,...., level er workability" Estimated Annual Income(p): Estimated amount of investabk assets($): Estimated Net Worth($): Amount of assets planned to invest with PWII($): I Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: lintflutk3n: Country: Est. Assets Under Mgt: Please and it ate the lam fi sit toot. of the individual (roar till status, other family members, etc.)'. SDNY_GM_00040032 https://dbforcepb.my.salesforeCLINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002856 EFTA_OOI 50641 EFTA01284119 KYC Print Page 9 of 15 SDNY_GM_00040033 t ps://dbforcepb.my.salesforCCINEJIDrNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002657 EFTA_00150642 EFTA01284120 KYC Print Page 10 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indroduars Name: Date of Birth: Country of Residence: USA Country of Otiten010: USA Address of prmaryr ence: Stanley 87056 tinted State Has client resided outside of his/Mr country of nationality for S years Cr more, O yes RING Profession:Occupation: Manager Tax ID I &SN: Current Employer: Zocro Management LLC Position/Title/Rant Manager Address of employer: USVI United States Does the person work as senior Jacobite of a DWrocognized regulated entity in the financial ndustry? or an entity listed on a DB.recognised exchange? (Not applicable for operating entities O y.< 2 ,40 Is the individual a Polnicalty Exposed Person (PEPp(d Yes, describe) No . Yes 2 To the best of your knowledge, is the individual related to an employee of the DB grafp?(f Faster Friendship, describe) O Family O Friendship Rhone To the bat of your knowledge, a the Individual patty to a non -banking relationship with Deutsche Bank (e.g., external legal camel, client referral source, supplier of goods or services), (I Yes,desabe ) LI Ye' El No If applicable, aureate Muth bank officers have met the person: Indicate while and when the (lent meetiiN(s) took place: Bank Officer Name(s) Bank Office: Client Private Client Donidle: Client Place of Business: location (specify) Date: O O O O O • O O • r. i Wealth Details for this inzlendual are not filed in, because they are the same as for the Mowing person: 38. Wealth Detail, (Only for parties reguring source of weal desolation as indicated In Section 2) Nature of the Individual's Buenas: Primary Country of source of wealth/source of Funds? Primary industry ol source of Wealth/Scotto of Funds? Summarize Source of Wealth: OBusiness Owner OSalary/Famings O Investment O Inheritance/Gifts /Other: further Describe Source of Wealth /Dela the history of wealth for each of the sources: (e.g. For trusts, haw did senior accumulate twalth? For inheritance, how did family accumulate wealUVFor business owners, how long in useless, how many employees, level of proltabihtyl Indicate type of business, countries al major advances, important bigness partners.) I *mated Annual Income($) Estimated amount of investable assets($): Estimated Net Worth(f) Amount of assets planned to That with PWII4($) Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the !only situation of the individual (rnantal status, other handy members, etc.): SO _GM_00040034 Imps://dbforcepb.my.salesforcCuNEJIDEJardiA10000000D9Di&e... 7 NY /30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002858 EF1'A_00150643 EFTA01284121 KYC Print Page 11 of 15 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity OctalIs (for all Legal Entitles) Legal Entity Narne: Zorn) Management, Lit - 00003550331 type of Entity O FoundatIon/Anociatlan O Trust ®Company O Estate Purpose of Entity: Ofinvate Investment O PhiaMhropic/Charitabk OCommercbl • Partnership Type of Entity Other (specify): LLC Purpose of Entity Other (specifyY Country of mcorpxation/registration: USA Date of Incorporation / regkgration: 12/14/1016 Volcker Status: Identified on Customer Profile Vokker Flag: No Address (city, street, post code): St. Thomas; USV1 00802 United U.S. States U.S. TIN/EIN: Provide a description of the entlys organtational structure, Its ownership structure and Its Top Management. For trusts/foundations, Include information about revocabilty,settbr and benefickarles,etc.: Jeffrey Epstein is the sole manager and owner of this entity. Signors on this account wall be: Jeffrey Easter Darren Indyke Signors co the house acct are: Jeffrey Epstein Darren Indyke Please mdkate how (warship of the legal entity is reflected: D Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the deed owna of the entity to the ultimate beneficial owner (if not the same peaces): Jeffrey Epstein is the sole manager and owner of I his entity. sows on this account will be: Jeffrey Epstein Darren Indyke Signors on the house acct are: Jeffrey Epstein Darren Ind To the bat of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, suppler of goods or services)': Yes • No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: a real estate holding company. It is a company formed to an and operate al acWities associated aWth a property that Jeffrey Epstein owns in the US Vrgin islands. Countries where business is transacted: USA Number of employees: 1+ 3D. Wealth Profile (Cs* for parties requiring soave of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of wealth/Source or Fundst Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabities): This company Is funded by Jeffrey Epstein's personal wealth Estimated gross receipts p.a.($): 1,000,000.00 Estnoted net profit pa. (S): 1,000,000.00 SDNY_GM_00040035 https://dbforeepb.my.salesforeCLINEIDEgrNIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0002859 EFTA_00150644 EFTA01284122 KYC Print Page 12 of 15 Estimated investable assets ($): f 1 MM • 2 fel Potential Amount to be Wrested vdth PVill ($): Other Known Rnancisl Institutions: Institution: Country Est Assets Under Mgt Insntution: Country. Est Assets Under Mgt: Insttitbn: Country. Est. Assets Under Mgt: SONY_GM_00040036 Imps://dbforcepb.my.salesforCCINEJILIFschiltiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002860 EFTA_00150645 EFTA01284123 KYC Print Page 13 of 15 DB PWM GLOBAL KYC/NCA: US/LatArn/Intli PART B rA Relationsb Name SOUTHERN FINANCIAL REIATIONSHIP Risk Rating Comments: Booking Center Env I: O Offshore IR° m°detate ask 0 Nigh Risk jToccaull chung /Offshore (Compliance Signature) D DB EmPlaYee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 0. Attachments A. Type of Photo ID Provided 5 Drivers Lkeitse O Passport • Nate:gal/State 10 • Other B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached 0 Yes O No C. Please indicate the results of the database searches performed RDC searches complete i Yes O No negative results found Oyes 0 No PCR checks complete Ryes Olio negative results found Oyes 10 No OFAC checks complete Eves O No negative results found Oyes RIND BIS searches complete (LexisMexis, Factam, Reuters, Dow Jones, D&B) 5 yes • No negative results found Oyes 0 No Denial Orders cheeks complete Dye ONo negative results found Oyes 12INo MarundaieHubbell searched (LawyereLaw Ferns only) Oyes EINo negative results found Oyes O No D. Please summarize any negative results from the database searches indicated above: E. To the best of your knowledge, has the client eve been convicted of a criminal offense? O yes El No F To the best of your knowledge, has the customer ever been Involved In any past litigation against Deutsche Bank AG or any of its subsidiaries or Is the customer threatening ligation against Deutsche n yes R No Bank AG or any of as subsidiaries? al Yes, proved debts beefy and event Quedy Mgt gatAMfinfilar me Repute:ay Control Group and notifyCompliance immediately) a Does the read or related party have any financial or other association / interactions within countries O yes g No or regimes sanctioned by the Office of Foreign Assets Control (CF AC), II. Dees the client or related party have any financial or other association/ etteractions within high risk o yes zit countries? I. Corporate Documentation Attached (Legal Entities Only) 01Yes ON* O Not Apprimble J. Undisclosed Principal Form Complete (Intermediaries On/y) Oyes O No @Not Applicable K. If Leds/Neds Search Results, Corporate Document or Other Supporting Documentation is not in English, please provide an English summary of the naturelcontents of the non English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? O yes Ono Is the account structure unusually complex? • Yes ®No Is there any Indication the client set up a non operating company expressly O yes RIND for the purpose of transferring shares to third pant? Is there any indication this could be a prohibited business rebitionShiP1 Ova RIND Are the bearer shares Identified subject to acceptable controls? O yes Ono SDNY_GM_00040037 https://dbforcepb.my.salesforCCINErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002861 EFTA_00150646 EFTA01284124 KYC Print Page 14 of 15 H. Case Connate Created By Date Comments Cynthia Rodriguez 3/7/117 2:38 PM Please revert to recently approved KYc case 01696913 for updated research on all parties. Research on new are attached to this < urrent case. ONSHORE APPROVALS Client Facing Professional (CFP3 tern sohrab Signature) erri stab 3/8/2017 Otte Director/Business Head: Andrew F Gallivan 'Signature) Andrew F Gallivan Regional Office Director ,Signature) NIL Business Risk: (Signature) AM Compliance: Ralat4 Mercado Voonsun Chung (Signature) Rafael Mercado Yoonsun Chung 3/13/2017 3/13/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (O P) (Signature) Account Manager (Stgnature) Glabar Market Team Head (GMT11)7Sub, Market ream Head (91111): (Signature) AML Business Risk (Signature) Alit Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals! (I) (CPT 's) should establish and maintain business relationships only with persons who sake 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 ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and beliefthe 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 1 have followed all the procedures relating to account opening as described in the PIM, Americas Procedures and the Pit Al Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Atanagers, Wealth Advisors. Product Officers. Brokers. Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00040038 itttps://dbforcepb.my.salesforcGQNEJIDErlailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002862 EF1'A_00150647 EFTA01284125 KYC Print Page 15 of 15 SDNY GM 00040039 https://dbforcepb.my.salesforcaaNtErilDnEgiardiAL000000D9Di&e... 7/35/2619 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002863 EFTA_00150648 EFTA01284126