EFTA01284148

KYC Print Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01790724 One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL FtELATIONSHIP.00000.483293 Booking Center: New York Relationship Manager: stewart oldfield III New FUN Relationship 74 Existing PWM Relationship Relationship to WM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile. • "This KYC is a periodic review for high risk renxdiation"' Original KYC1161376 Client Referral O RM Prospect O Interrnediary/FIM • Other Source (Cw, etc.) How Was the Client(s) Introduced' How long has the RM personally known the client' Please mime defogs (e.g. name ral source, is Rat personally has known client, etc.): Stewart Oldfield and Cynthia Rodriguez contacted and /2017 to confirm If there are any material changes to their Joint accoun and source of wealth. The imed that is now the sole provider of their household. She provided recent paychecks to confirm this. relies on Income to support her Ifestyk. Does Deutsche Bank pay a retrocession or similar O yes 10 No compensation to a third party for the introduction of this feletimship7 Of Yes, describe). List as exisbng and new account Involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 0 Deposit 12/16/2013 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the account.): Preferred method of contact (mdicate phone no., fax no., e-mall address, etc.): Status : 6. Approved SDNY_GM_00040061 hups://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002885 EFTA_00150670 EFTA01284148 KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Deposit Acct. Number ft avatiadal. Account Manager: stewart oldfleld What is the purpose of the account (e.g. portfolio ma ent_,__advisonr account custody services, long-term investment, PaYment/aPerne account)' Checking account fa the daily use of and M Indicate from where the assets are expected to entre' g 08 Group: Same Booking Center (indicate account number): El 08 Group: Other Booking Center (indicate 08 location and account details): O Other Institution - (Indicate name 8 location): • Physical Deposes (specify cash, securities, cheques, ...): What is the expected sloe and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': 0-4 :Awes and outflows per month ranging from $100 to $1500 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' 14379.40 I Currency I USD Doeshvil the client have Assets Under Management (AuM) within D8 under Eur. 3M' Dyes 2 No Please Nat all parties related to the account. For each party: • Check d a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> lean be selected). • If none of the check boxes apply, describe the parties relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the uttlmate/underlying Beneficial Ovmer(s). .ecial Zottyof )escripticri Source of Weath required roes fated this count AccounWIC Holder OwnerTrust Setikr d / Founder of Foundation Jitimate Beneficialor Owner SignatorrtimitedIRnancial Full POA POA Intermediary (FIM) Significant Shareholdergepresentattre „.> =25%) ilon-PIC entity indicate Dwnership it) _egal Grantor/Settloreounding Donor Other (please lescribe other roles end/or ndlcate relationship Sebum arbes) 1 O O 2 El • TA 71 O O O O • 2 O 0 TA O O D O DD O • O SDNY_GM_00040062 https://dbforcepb.my.salesforCLINErilDEgrialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002886 EFTA_00150671 EFTA01284149 KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indhicluars Name: - 00000489505 Date of Birth: Country of Residence: USA Country of Citizenship: I.I Address of primary residence: Has client resided outside of his/her country of nabonalty Ice 5 years Of morel O yes Pi No Profession/Occupatton: homemaker Tax ID / 55N: Current Employer PositonMUe/Rank: Address of employer: Does the person work as 141O:r executive of a DB-recognued regulated entity in the financial Mosby' or an entity listed on DO-recognised exchange' (Not applicable for operating entitles Oyes ®No Is the individual a Politically Exposed Person (PEP)1(d Vet *suite) OYU ®N0 TO the best of your knowledge, Family or Friendship, desalt.) Is the Individual related to an employee of the DB grOup?(f OFamily OFriendshlp rd None To the best of your knowledge, is the individual party to a non-banking rdabcriship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier Cl goods or servxes),(6 Yes,descabe) ElYes Ft No If appkcable, indicate valid, bank officers have met the person. Indicate Mere and Mien the client meeting(s took place: Bank Officer tia imp) Bank Office: Client Private Dcmkile: Client Place of /Business: Other Location (specify): Date: Paul Morris D 12e3.2013 • 74 LI O • r,. O n • Wealth Details for this individual are not filled in, because they are the same as for the folkymng person: 3B. Wealth Details (Only for parties requinng source of wealth description as indicated in Section 2) Nature of the Individuals Business: homemaker Pnmary Country of source or wealth/source of Funds, Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: 1 DOther: E Business Owner III Salary/Earnings El Investment El Inhentance/Grfts Further Describe Source of Wealth /Detail the history d wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth' For inheritance, how did family accumulate wealth'For business owners, Nov ' iness, how many employees, level of profitability' Indicate type of business, countries of major activities, important business partners.) used to work for NES, LLC (existing DB client and previously kyc approved) which is the LISS4S is used to run Jeffrey Epstdris New York Ctty home. The legal addr f • n but the home is Kalif" East 71 St New York NY. no longer manages the NYC home and solely relies on the Income o She has relied on income for the past 3 years Estimated Annual Incorne(S): Estimated amount of investable assets(S): <31 W Estimated Net Worth(S): <S1 MM Amount of assets planned to invest with PWIN(S): 20,000.00 Cther Knows Financial Institutions: Institut:km: I Wriorgan I Country: I Utak lEst Assets Under Mgt 160,003.00 SDNY_GM_00040063 t ps://dbforcepb.my.salesforcalINEJIDEATML000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002887 EFTA_00150672 EFTA01284150 KYC Print Page 4 of 10 Institution: Country: Est Assets Linda Mgt: Insbtubcei: Country: Est Assets Linder Mgt: Please indkat the family stualicc of the individual (marital status, other family members, etc ) 1=I=1 SONY_GM_00040064 https://dbforeepb.my.salesforeCaNErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002888 EFTA_00 150673 EFTA01284151 KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3L Individual Details (for all parbes) Individual% Name: - 00000489504 Date of Birth: Country of Residence: USA Country of Citizenship: Address of primary residence: Has client resided outside of his/her country of nabonality for S years or more? O yn ®No Profession/Occupation: )SC Interiors LLC Tax ID / $SN: Current Employer: JSC Interiors LLC PositionMtle/Rank: Interior Decorator Address of employer: AS Lexington Ave 14th Fl New York NY United States 10022 Does the person work a senior executNe of a DB-recognized regulated entity in the financial ndusby7 or an entity listed on a 06-recognised exchange' (riot applicable for operating entities OTOS ®No Is the individual a Politically Exposed Person (PEP)'(# Yes, desert.) OYU ®No To the best of your knowledge, is the individual related to an employee of the DB group(/' Fara* or Friendship, desenbe) O Fent ElFriendshlp rd None To the best of your knowledge, is the indrOdual party to a non-banking relabonshg with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servxes),(6 Yes,descnbe) O Yes No If appkable, indicate which bank officers have met the person: Indicate sphere and %glen the client meeting (s) took place: Bank Officer Name(s) me(s) Bank Office: Client pirate Degnicile. Client Place of Business: Other Location (specify): Date: Stewart %Meld O g 6/23/2017 • El O 11 r-i E ri for this individual are not filled in, because they are the same as for the fob:ming person: • Wealth Details 3B. Wealth Details (Only for parties reguinrg source of wealth description as odcated in Section 2) Nature of the Individuals Business: intenor design Pnmary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summanze Source of Wealth: • Business Owner RI Salary/Earnings O Investment O Inheritance/Gifts ['Other: Further Describe Source of Wealth /Detail the history of vdealiR for each of the sources: (e.g. For trusts, how did settke accumulate wealth? For inheritance, how did family accumulate iwalth'For business owners, hot In business, how many empayees, level of profitability? Indicate type el basin In ntries of major activities, important business partners.) went to school for interior design and now works as a interkx decorator for a currently client of D8 (kyc case 01305519). Her annual income is approximatety 4150k with salary, bonus, and cannessicen. Estimated Annual Income(S): 150.000M Estmated amount of investable assels($): <$1 SW Estimated Net Worth(S): <$1 Nim Amount of assets planned to invest wth PWM($): 2000.00 Other Known Financial Institutions: Institution: did I Country: I use Est. Assets Under Mgt: 2,000.00 Insbbibon: JP Morgan Chase County: USA Est. Assets Under Mgt 2,000.00 SDNY_GM_00040065 Ilttps://dbforcepb.my.salesforcCLINEJIDEArdiAlL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002889 EFTA_00150674 EFTA01284152 KYC Print Page 6 of 10 bsteutice: I Meese Indicate the family Country Est Asseb Under Mgt: tuabon of the individual (martal status, other Carney members, etc.): SDNY_GM_00040066 littps://dbforcepb.my.salesforcalNEJIDEschiltiN0000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002890 EFTA_00150675 EFTA01284153 KYC Print Page 7 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUDERN FINANCIAL RELATIONSHIP Risk Rabng Comments: Booking Center 2 NY NY/ Offshor E Offshore RiskO Moderate n1 ci High Risk Yoonsun Chung (Compliance *nature) O DB Employee O CEr Managed PIC • DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided El Drivers license O Passport O National/State ID O Other B. Checklist of names 0ndivkluals and/or entities) that were submitted for database searches is attached O Yes 74 No C. Please indicate the results of the database searches performed RDC searches complete 2 Yes O No negative results found O yes tri No PCR checks complete 2 Yes O No negative results found O Yes No OFAC checks complete 2 Yes O No negative results found O yes 0 No BIS searches complete (Leds/Nexis, Facttva, Reuters, Dow Jones, ChB) 2 Yes O No negative results found • yes Fa No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 2 No Martindale-Hubbell searched (LawyersAaw Arms orgy) 0 Yes 2 No negative results found 0Yes • No D. Please summarize any negative results from the database searches indicated above: No Negative Media Court case referencing of Pennsylvania against Bayer Eswre Inc is fora personal injury and is a false positive as the in the KYC resides n New York and has no current injuries. No Negative Media No Court Cases NES, I1C: Previous!). KYC approved. See Case #:01141322 for relevant attachments E. To the best of your knowledge, has the client ever been convicted of a criminal offense? O yes gt No F. To the best of your knowledge, has the customer ever been involved in any past (ligation again Deutsche Bank AG or any of is subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of in subsidiaries? af Yes, provide data* below and contact Qualify O Yes RI No AV* an falahtf) or fhe Regulatory Control Group and notdy analance immediately) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (MC)? 0 Yes 2 No H. Does the client or related party have any financial or other association/ interactions within high O yes g No risk countries? I. Corporate Documentation Attached (Legal Entitles Only) 2 Yes • No • Not Applicable 3. Undisclosed Principal Poem Complete (Intermediaries Only) 0 yes 0 No 2 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is net in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Couritries? O Yes El No Is the account shoran unusually complex? 0 Yes Ira No SDNY_GM_00040067 https://dbforcepb.my.salesforcaraNtErilDnEgISAIdIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002891 EFTA_00 I 50676 EFTA01284154 KYC Print Page 8 of 10 Is there any IndkatIon the client set up a non operating company expressly for the purpose of transfening shares to third parties' El yes ONO Is there any Indication this could be a prohibited business relationship' K Yes EZNo Are the bearer shares Identified subject to acceptable antrdss O yes ©No SONY_GM_00040068 https://dbforcepb.my.salesforeCLINErilEIEJNITIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002892 EFTA_00 150677 EFTA01284155 KYC Print Page 9 of 10 M. Case Comments Created By Date Comments The account holders have been cknts of DB since 2013. Below are the reasons why we were comfortable with approving this high risk KYC remediatlon - • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the account and expected transacbon actr2 • The account holders M=I source cf wealth and source of funds were Kshitg Golan 7/27/117 5:06 PM sufficiently detailed and appears plausible • Negatke Media: One of the account holders, used to work for Jeffrey Epstein. Jeffrey Epstein s a registered sex offender. In June 2008, under a plea deal, he was sentenced to 18 month for soliciting a minor. He served 13 months. See approval from Chip Packard under KYC 01082293. • Our review did not identrfy any red flags and thus there vas no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any /sanctions lists. ONSHORE APPROVALS Client Facing Professional (CFP): stewart °Wield (Signature) stewart oktheld 720:2017 atce Director/Business Head' Andrew F Gallivan (Signature) Andrew F Gal van 7/25.2017 Regional Office Director: (Signatue) AM Business Risk: (Signature) AML Compliance: Kshrb) Golan, Yoonsun Chung (Signature) Kshitg Golani Yoonsun Chung 7/27/2017 7/27/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager. (Signature) Global Market Team Head (GMTH)/Sub.hiarket Team Head (SNTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Rank Private Wealth Management (PWAI) worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing Professionals I(I) (CFP.9 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 SDNY_GM_00040069 https://dbforcepb.my.salesforcaaNErt DiErNilliA10000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002893 EFTA_00 150678 EFTA01284156 KYC Print Page 10 of 10 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. 1 confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that 1 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 is) include: Relationship Managers. Wealth Advisors. Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York VA SONY_GM_00040070 hups://dbforcepb.my.salesforcaliNtErilDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002894 EFTA_00150679 EFTA01284157