EFTA01295105

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A raid KYC Case # : 01133377 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: F New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Ctient(s) Introduced? How long has the RM personally known the client? 17 Client Referral F RM Prospect F Intermediary/FIM F Other Source (06, etc.) please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Darren Indyke is the in-house lawyer for Jeffrey Epstein, who is a current client of the bank. Darren has worked extensively with Paul here at DB while we've opened accounts for Jeffrey Epstein and he was a previous client of Paul's when he was at PMorgan. He met Paul at JPM through Jeffrey Epstein Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? F Yes F No (If Yes, descnbe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F The 2007 Jeffrey E. Epstein Insurance Trust # 3 10/16/2013 2 F HBRK Associates, Inc 10/16/2013 3 F HBRK Associates, Inc -- Money market 10/16/2013 4 F Darren K. Indyke PLLC 10/16/2013 5 F Darren K. Indyke PLLC -- Money Market 10/16/2013 6 F Darren K. Indyke PLLC-Attorney Trust Account 10/16/2013 7 F Darren K. Indyke PLLC-Attorney Trust Account -- Money Market 10/16/2013 a F New York Strategy Group, LLC 10/16/2013 9 F New York Strategy Group, LLC -- Money Market 10/16/2013 Who is the primary ontact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Preferred method of contact(indicate phone no., fax no., email address, etc.): 212 971 1319 SDNY_GM_00053823 CONFIDENTIAL - PURSUANT TO FED. R. Fit) DB-SDNY-00 16647 httpsfina4.salesforce.corniservIet e PIDEN1911kt 0D9Di&eid=50060... 11/18/2013 EFTA_00I 64393 EFTA01295105 KYC Print Page 2 of 29 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 I 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, payment/expense account)? Checking account to hold funds for this trust. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): 1; Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 10 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150000 Currency USD the account approx. one year after opening? 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' column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Description AocountPIC Settlor of Ultimate Signatory imiteciFnancial Significant Entityof Source Holder OwnerTrust / Benefiaabr Full POA (ntermediary6harehoider of Wealth =ounder of Owner POA (FIM) K>=25%) required l'ouridabon Non-NC entity (indicate Other (please describe other roles and/or indicate parties related to s account ownership %) relationship between Dailies) The 2007 Jeffrey E. 1 F F Epstein Insurance F F F F F F F Trust #3 2 F F Jeffrey Epstein F F F F F F F Grantor; 3 F F Darren Indyke F F F F F F F Trustee:; 4 F F Richard Kahn F r F F F r r Trustee:; SDNY_GM_00053824 CONFIDENTIAL - PURSUANT TO FED. R. 'I..) DB-SDNY-00 16648 hops://na4.salesforce.com/serele PIDE/TRAt 0D9Di&eid=50060... 11/18/2013 EFTA (()164394 EFTA01295106 KYC Print Page 3 of 29 2. Account Ownership Summary Account Name: The 2007 Jeffrey E. Epstein Insurance Trust #3 -- Money Market 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, payment/expense account)? Money market account to hold hinds for the insurance bust Indicate from where the assets are expected to arrive? F 013 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 200000 Currency LlSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 250,000 Currency USD the account approx. one year after opening? 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 column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settler of _Iltimate Signatory _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate ?arties related to ownership relationship between Ithis account %) oarbes) The 2007 Jeffrey E. 1 F F Epstein Insurance F F F F F F F Trust *3 2 F F Jeffrey Epstein F F F F F F F grantor; 3 F F Darren lndyke F F F F F F F Trustee:; 4 F F Richard Kahn F F F F F F F Trustee:; SDNY_GM_00053825 CONFIDENTIAL - PURSUANT TO FED. R. Ate) I l'-' DB-SONY-0016649 hups://na4.salesforce.com/serylet PPR Elfr0pAt0D9D i&eid=50060... 11/18/2013 EFTA _OO164395 EFTA01295107 KYC Print Page 4 of 29 2. Account Ownership Summary Account Name: HBRK Associates, Inc 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, payment/expense account)? Checking account to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? F DS Group: Same Booking Center (indicate account number): F 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after opening? Please list all parties related to the account For each patty: • 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' column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPlC Settfor of _Itimate Signatory_imitecRnancial ignificant Entityof Source Holder OwnerTrust / Beneficiakx Full POA Intermedia hareholder of Weakh Founder of Owner POA (FIM) > ai25%) required Foundation -PIC tity indicate Other (please describe other roles and/or indicate p i ities related to s account o) ership relationship between parties) 1 F F HBRK Associates, Inc F F F F F F F 2 F F Richard Kahn F F F F F F F 3 F F Harry Beller F F F F F F F SDNY_GM_00053826 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fi t e DB-SONY-0016650 htt s://na4 F EITRAt .. 0D9Di&eid=50060. 1 I/18/2013 EFTA_001 64396 EFTA01295108 KYC Print Page 5 of 29 2. Account Ownership Summary Account Name: HBRK Associates, Inc -- Money market 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, payment/expense account)? MOney market account to hold hinds for the company and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 013 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan. new York, NY 7 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 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150000 Currency USD the account approx. one year after opening? 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 column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/untie ying Beneficial Owner(s). Legal Description AccountPlC Sector of _Iltimate Signatory_imitedflnancial Significant Entity of Source Holder OwnerTrust / Beneficiakor Full ?OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) i(>-25%) required ities related to is account Foundation Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between oarbes) 1 F F I nc HBRK Associates, r r r r r F F 2 r r Richard Kahn F F F F F r F 3 F F Harry Beller F F F 7 F F F SDNY_GM_00053827 SDNY-0016651 DB CONFIDENTIAL - PURSUANT TO FED. R. Fil l b) 1 I''' - has://na4.salesforce.com/servlet piFIEWRACEDD9Di&eid=50060... 11/18/2013 EFTA 00164397 EFTA01295109 KYC Print Page 6 of 29 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC 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, payment/expense account)? Checking account for the daily use of the this law firm Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F 06 Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after openng? 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 column. • Abney describe the relationship between the parties in the last column. • Please drill (tom to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jftimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) 0.25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate ridesrelated to p i s account ownership %) relationship between ,arties) 1 F F Darren Indyke F F F F F F F 2 F iT Darren K. Indyke PLLC F F F F F r- SDNY_GM_00053828 CONFIDENTIAL - PURSUANT TO FED. R. Ate) I '''' DB-SDNY-0016652 lutps://na4.salesforce.com/sen/let plifrffEtfrapAtoD9Di&eid=50060... 1 1 /18/2013 EFTA_00I 64398 EFTA01295110 KYC Print Page 7 of 29 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC -- Money Market 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, payment/expense account)? Money market account for the company to hold funds and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O13 location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 monthr anging from $1,000 to $10,000 What is the expected volume of assets and currency for 100000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 125000 Currency USD the account approx. one year after opening? 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 column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Setttor of _Iltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate p i ates related to s account ownership %) relationship between oarbes) 1 F F Darren Indyke F F F F F F F 2 F F Darren K. Indyke PLLC i7 r— r-- F F r- SDNY_GM_00053829 SDNY-00 16653 DB CONFIDENTIAL - PURSUANT TO FED. R. At l b) 1 I''' - Ims://na4.salesforce.com/servlet pifrffEm AtoD9Di&eid=50060... 11/18/2013 EFTA_00 I 64399 EFTA01295111 KYC Print Page 8 of 29 2. Account Ownership Summary Account Name: Dan-en K. Indyke PLLC-Attorney Trust Account Acct. Number (if availabreet. 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)? Checking account for clients escrow. Funds are placed here to earn Interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 50000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after opening? 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 column. • Ahiray describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of Jftimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>"25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate rises related to account ownership %) relationship between tames) 1 P F Darren K. Indyke PLLC 17 p r r r n r 2 P F Darren Indyke n r n r p I- r SDNY GM_0005.3830 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servle r eleEtepAt0D9Di&eid=50060.. . 11 /I 8/2013 DB-SDNY-0016654 EFTA 0()164400 EFTA01295112 KYC Print Page 9 of 29 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC-Attorney Trust Account -- Money Market Acct. Number (i f 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 for clients escrow. Funds are placed here to earn interest Indicate from where the assets are expected to arrive? F 08 Group: Same Booking Center (indicate account number): F De Group: Other Booking Center (indicate DB location and account details): F7 Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 75000 Currency USD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 100000 Currency USD the account approx. one year after opening? 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' column. • Ahmay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settler of Jtimate Signatory _imitecRnancial Significant Entityof Source Holder OvvnerTrust / Beneficiakor Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate ?antes related to is account ownership %) relationship between cartes) 1 F F Darren Indyke F F F F F F F 2 F F Darren K. Indyke PLLC ET r r - F F r- SDNY_GM_00053831 htt irjEw p Ato rop D,Di&eid=50060... 1 I/8/2013 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servlet R. Filb) 1 DB- 016655 -0016655 EFTA (()164401 EFTA01295113 KYC Print Page 10 of 29 2. Account Ownership Summary Account Name: New York Strategy Group, LLC Acct. Number Of 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)? Checking account for the daily needs of the company Indicate from where the assets are expected to arrive? F D8 Group: Same Booking Center (indicate account number): F 08 Group: Other Booking Center (indicate 08 location and account details): F7 Other Institution (Indicate name & location): JPMorgan. New York, NY F 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 10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for 25000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after openng? 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 tither column. • Alway describe the relationship between the parties in the last column. • Please drill (tom to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of Jltimate Signatory _imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiakir Full POA IntermediaryShareholder of Weakh Founder of Owner ?OA (FIM) K>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate p i rb esrelated to s account ownership %) relationship between ,arbes) 1 F F New York Strategy Group, /IC F F F F F F F 2 F r Darren Indyke F r F F F f F SDNY_GM_00053832 lut fEtti toD9Di&eid=50060... pi ntA 11/8/2013 CONFIDENTIAL -PURSUANT TO FED. s://na4.salesforce.com/seryletR. Fli t 1ip l'-' DB-1SDNY-0016656 EFTA (()16440? EFTA01295114 KYC Print Page 11 of 29 2. Account Ownership Summary Account Name: New York Strategy Group, LLC -- Money Market Acct. Number Of avallab.eet. 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 funds for the company and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 17 Other Institution (Indicate name & location): JPMorgan. New York, NY 7 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 50000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 75000 Currency USD the account approx. one year after openng? 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 tither column. • Ahmay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Setttor of Jftimate Signatory_imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate p i ities related to s account ownership %) relationship between oarbes) 1 F F New York Strategy Group, LLC F F r r r n r 2 F F Darren Indyke F r F F F f F SDNY_GM_00053833 CONFIDENTIAL -PURSUANT TO FED. R. Fit) 1 l'-' DB- 016657 -00 16657 lut s://na4.salesforce.com/serylet pip: EisfrtAtoD9Di&eid=50060... 11/18/2013 EFTA (()16=403 EFTA01295115 KYC Print Page 12 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 6100 Red Hoak Quarter 83 St Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fneniship, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r Yes F, No If applicable, indicate 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 of Business: Place Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Attorney Summarize Source of Wealth: F Business Owner F Salary/Eamings 7 Investment F Inheritance/Gifts r- Other. Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, how did settlor For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, Indicate type of business, countries of major activities, important business partners.) Darren has been an in-house at Southern Financhial LLC for over 10yrs, whererin his main source of income comes form (See KYC #1082293). own small companies (LLC' ) for his private investments and well his own law practice, Darren Indyke PLLC accumulate wealth? level of profitability? lawyer for Jeffrey Epstein He also owns a few of his Estimated Annual Income a): 300,000.00 Estimated amount of investable assets(S): $1 MM - 2 MM Estimated Net Worth(S): $2 MM - 5 MM Amount of assets planned to invest with PWM($): 200,000.00 Other Known Financial Institutions: 1 I I I I SDNY_GM_00053834 CONFIDENTIAL - PURSUANT TO FED. R. ne) i ._ DB-SDNY-00 16658 https://na4.salesforce.com/serylet Ri : EltepAt0D9Di&eid=50060... 11/18/2013 EFTA (()164404 EFTA01295116 KYC Print Page 13 of 29 Institution: JPMorgan Institution: Country: USA Bt. Assets Under Mgt: 10 000 000.00 Country: Est. Assets Under Mgt: Institution: Country: Est ASSetS Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053835 hups://na4.salesforce.com/servle c plippyINTMEM9Diaceid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED. R. A(b) ' I-1 DB-SDNY-0016659 EF1'A_00164405 EFTA01295117 KYC Print Page 14 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beller - 00000487202 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: Address of employer: 575 Lexington Avenue, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family a- Fnendstw, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship With Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r• yes ,— to No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Moms r r F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Accounting Firm Summarize Source of Wealth: F Business Owner F Salary/Eamings 7 Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, Indicate type of business, counties of major activities, important business partners.) Harry is an accountant and also the in-house accountant for Southern Financial LLC KYC #:01082293). He has gained his wealth from his years accountant and his own firm accumulate wealth? level of profitability? owns his own firm. He is as the in-house Estimated Annual Income (S): 500,000.00 Estimated amount of investable assets(S): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: I I I I I SDNY_GM_00053836 CONFIDENTIAL - PURSUANT TO FED.l R. DB-SDNY-00 16660 hus://na4.salesforce.com/servet PPR: E fl ritACL0D9Di&eid=50060... 11/18/2013 EFTA (()164406 EFTA01295118 KYC Print Page 15 of 29 Institution: JPMorgan Institution: Country: USA Country: Est. Assets Under Mgt: 5 000 000.00 Est. Assets Under Mgt: Institution: Country: ESt. Assets Under Mgt: Please indkate the family situation of the individual (marital status, other family members, etc.): Married SDNY_GM_00053837 httpsl/na4.salesforce.com/servle f itrliEjEtrbektD9Diateid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016661 EF1'A_00164407 EFTA01295119 KYC Print Page 16 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Richard Kahn - 00000486407 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the D43 group?(If Family a - From/ship, descnbe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) f— yes i— ' t*" No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Client of Businew: Place Other Location (specify): Date: Paul Moms r F 17 9/13/2013 F r r r r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Accountant Summarize Source of Wealth: 17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor For inheritance, how did famdy accumulate wealth?For business owners, how long in business, how many employees, Indicate type of business, countries of major activities, important business partners.) Richard owns HBRK Associates He is also an in-house accountant for Southern Financial, LLC (KYC #1082293), for over 10yrs. His wealth comes being an in-house accountant accumulate wealth? level of profitability? Inc with Harry Beller. from his own firm and Estimated Annual Income ($): 300,000.00 Estimated amount of investable assets($): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: I I I I I SDNY GM_00053838 CONFIDENTIAL — PURSUANT TO FED. R. https://na4.salesforce.com/serylet r eliCiEWiAt0D9Di&eid=50060... 1 1/1 8/2013 DB-SDNY-0016662 EFTA (()164408 EFTA01295120 KYC Print Page 17 of 29 Institution: JPMorgan Institution: Country: USA Est. Assets Under Mgt: 1 000 000.00 Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_Ght00053839 hups://na4.salesforce.com/servle nriEjEtrrpAtD9Diaceid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016663 EF1'A_00164409 EFTA01295121 KYC Print Page 18 of 29 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: 6100 Red Kook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a - Fnendstv, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r- i Yes F No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Gent Private Client Place Domicile: of Business: Other Location (specify): Date: Paul Moms r f F 9/13/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parte requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: 17 Business Owner F Salary/Eamings F Investment F Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, how did settlor 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 activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, ). Epstein & Co., managing the assets of clients with more than a billion 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. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income a): 10,000,000.00 Estimated amount of investable assets($): $50 MM - 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: hups://na4.salesforce.com/servle CONFIDENTIAL - PURSUANT TO FED. R. AttleEmPACL0D9Di&eid=50060 SDNY_GM_00053840 11/18/2013 DB-SONY-0016664 EFTA_00164410 EFTA01295122 KYC Print Page 19 of 29 Institution: 3Ptiorgan Country: USA Est. Assets Under Mgt: 120,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053841 CONFIDENTIAL —PURSUANT TO FED. s://na4.salesforce.com/serylet Pt R. At) I DB- 016665 -00 16665 htt iriElliritAt0D9Di&eid=50060... 11/8/2013 EFTA_00164411 EFTA01295123 KYC Print Page 20 of 29 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: New York Strategy Group, LLC - 00000487215 Type of Entity: r Foundation/Association r Trust F Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Chantabfe r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: USA Date of incorporation / registration: 1/13/2000 Address (city, street, post code): 575 Lexington Ave, 4th Fl New York NY 10022 USA U.S. TIN/EIN: 13-4097417 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,settJor and beneficianes,etc.: New York Strategy Group, LLC is a single member LLC owned by Darren K. Indyke. Please indicate how ownership of the legal entity is reflected: Darren K. Indyke is the sole member F Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner (if nor the same pesons). Darren K. Indyke is the sole member To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: yes I— No F Describe Nature of Entity's Primary Business and Investment Activities Nature of Mel usiness: Private LLC used for the personal investments of Darren Indlcye. The LLC holds funds and invests in assets that Darren finds interesting Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence New York Strategy of Corporate Assets (e g balance sheet or equwalent summary of assets/liabilities): asset classes and gains its assets through the revenue it makes on the return investments Group, LLC invests in different Estimated gross receipts p.a.(;): 100,000.00 Estimated net profit p.a. (5): 75,000.00 Estimated investable assets (5): <51 MM Potential Amount to be invested with PWT4 (5): 50,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: LISA Est. Assets Under Mgt: 500,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053842 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. e FiteEltt ) DB-SDNY-00 16666 hos://na4 Pl ilik 0D9Di&eid=50060... 11/18/2013 EFTA 00164412 EFTA01295124 KYC Print Page 21 of 29 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: Darren K. Indyke PLLC - 00000487220 Type of Entity: r Foundation/Association r Trust 17 Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: USA Date of incorporation / registration: 9/5/2008 Address (city, street, post code): 575 Lexington Avenue New York NY 10022 USA U.S. TIN/EIN: 30-0503849 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabil ty,settior and beneficianes,etc.: Single member PUG with Darren K. Indyke as the sole member and owner Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member and owner F Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner (if not the same persons). Single member PLLC wth Darren K. Indyke as the sole member and owner To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: yes F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Law practice. This is Darren Indykes private law firm. Countries where business is transacted: USA Number of employees: 3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2) Provide Evidence Assets come from of Corporate Assets (e g balance sheet or equivalent summary of assets/habilibes): his law services the rates he charges clients for Estimated gross receipts p.a.($): 300,000.00 Estimated net profit pa. (5): 200,000.00 Estimated investable assets (5): <$1 MM Potential Amount to be invested with PWT4 (5): 100,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 500,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053843 CONFIDENTIAL - PURSUANT TO FED. R. 'Pt) 1 DB- 016667 -00 16667 https://na4.salesforce.com/serylet pliciEwitipAtoD,Di&eid=50060... 11/18/2013 EFTA 0016=4 13 EFTA01295125 KYC Print Page 22 of 29 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: HBRK Associates, Inc - 00000487223 Type of Entity: r Foundation/Association r Trust rj Company r Estate r partne,ship Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of incorporation / registration: 8/29/2008 Address (city, street, post code): 575 Lexington Avenue, 4th Fl New York NY 10022 USA U.S. TIN/EIN: 30-0503838 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,settlor and beneficiaries,etc.: Richard Kahn 50% owner Harry Beller 50% owner Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Beller 50% owner r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same petsons) Richard Kahn 50% owner Harry Beller 50% owner To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes r- No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Accounting firm Countries where business is transacted: USA Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Harry and Rich are both in-house accountants for Jeffrey Epstein. Their company's, HBRK, assets comes from the fees they charge for this service Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 300,000.00 Estimated investable assets ($): <5i MM Potential Amount to be invested with PlA/M (5): 200,000.00 Other Known Finanoal Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053844 https://na4.salesforce.com/serylet CONFIDENTIAL — PURSUANT TO FED. R. liBEWRACED9Di&eid=50060 11/18/2013 DB-SONY-0016668 EFTA 00164414 EFTA01295126 KYC Print Page 23 of 29 Institution: I Icountry. I I Bt. Assets Under Mgt: I I SDNY_GM_00053845 hups://na4.salesforce.com/servle ntliDE-1499) ACE/D9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016669 EFTA_00164415 EFTA01295127 KYC Print Page 24 of 29 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: The 2007 Jeffrey E. Epstein Insurance Trust 0/3 - 00000487199 Type of Entity: r Foundation/Association F Trust r Company F Estate F partnership Purpose of Entity: F Private Investment r Philanthropic/Charilabie r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USVI Date of incorporation / registration: 11/1/2007 Address (city, street, post code): 575 Lexington Ave, 4th Fl New York NY 10022 USA U.S. TIN/E1N: 26-6387242 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, inckide information about revocabl ty,setUor and beneflciaries,etc.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee F Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner ("ingot bbe same persons). Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Trust account Countries where business is transacted: USVI, USA. Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The funds for this trust account come from contributions made by the Grantor, Jeffrey Epstein. His source of wealth can be found in his wealth profile Estimated gross receipts p.a.(;): Estimated net profit p.a. (5): Estimated investable assets ($): <51 MM Potential Amount to be invested with PWM (5): 400,000.00 Other Known Financial Institutions: Institution: JPMorgan I Country: I USA I Est Assets Under Mgt: 1400,000.00 SDNY GM_00053846 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servlet iptlirjEtepAt0D9Di&eid=50060... 11/18/2013 DB-SDNY-0016670 EFTA_OOI 644 I 6 EFTA01295128 KYC Print Page 25 of 29 Country: Bt. Assets Under Mgt: ! InstibAlca: Institution: I I Country: Est. Assets Under Mgt: I I SDNY_GM_00053847 hups://na4.salesforce.com/servle AttliEjElfrpktD9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016671 EFTA_00164417 EFTA01295129 KYC Print Page 26 of 29 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name I EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F NY/Offshore F Offshore Moderate aF k it.: Janice High Risk Franklin (Compliance Signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided 57 Drivers License r Passport F National/State ID F Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes F No searches s attached C. Please indicate the results of the database searches performed RDC searches complete F yes F No negative results found F Yes F No KR checks complete F Yes F No negative results found F Yes F No OFAC checks complete F Yes F No negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D88) F Yes r-- No negative results found F Yes F No Denial Orders checks complete F Yes r No negative resit found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F yes F No Please summarize any negative results from the database searches indicated above: DARREN K. 1NDYKE: No negative Media No court cases NEW YORK STRATEGY GROUP, LLC: No negative media No court cases DARREN K. INCMCE FUC: No negative media No court cases HBRK ASSOCIATES INC: No negative media No court cases D. RICHARD KAHN: Approved KYC *01082293 NIL Clearance attached to this KYC Not barred from NYSE Arca and he was cleared twice as seen In the attachments HARRY BELLER: Negative media: Not our client All negative media pertains to an environmental microbiologist. Our client is an accountant Court Cases: *1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Seller. Our client is an accountant JEFFREY EPSTEIN INSURANCE TRUST: No negative media No court cases JEFFREY lids] N: Previously KYCd and approved in: 01082293 and 01121718 SDNY_GM_00053848 CONFIDENT AL - PURSUANT TO FED.M R. Atpl e) Ii DB- 016672 -00 16672 htts://na4.salesforce.com/se et frffEtritpAtoD9Di&eid=50060... 11/8/2013 EFTA_00164418 EFTA01295130 KYC Print Page 27 of 29 E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes r- No 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 F. threatening leigation against Deutsche Bank AG or any of its subsidiaries? (If Yes r yes F No prowde details below and contact Quality Mgt (Lat4m/Intl) or dr Regulatory Control Group and notify Compliance immediately) the client or related party have any financial or other association / interactions r yes F No G' '''' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' H. Does the client or related party have any financial or other association/ interactions F within high risk countries? r Yes NO I. Corporate Documentation Attached (Legal Entities Only) F Yes F No r Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r- No F Not Applicable K. If Lexis/Nexis Search Resues, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: SDNY GM_00053849 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servlet iteliriElprOpAtOD9Di&eid=50060... 11/-1 8/2013 DB-SDNY-0016673 EFTA_001644 I 9 EFTA01295131 KYC Print Page 28 of 29 M. Case Comments Created By Date Comments Amanda Kirby 10/11/2013 9:21 AM Need to clone to make 2 new KYC's ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris "Signature) >au! Morris 10/3/2013 Office Director/Business Head: Brian M. Biggar :Signature) Brian M. Biggar 10/4/2D:: Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 10/11/2013 11/1/2013 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) https://na4.salesforee.com/seMet CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053850 IDEMETAt 0D9Di&eid=50060 11/18/2013 DB-SDNY-00 16674 EFTA_00I 64420 EFTA01295132 KYC Print Page 29 of 29 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 Proftssionalsl(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 CFR 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 ofmy 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 (i) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York SONY_GM_00053851 hups://na4.salesforce.com/servle ntliEjEtrrtAtD9Di&eid=50060... 11/18/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016675 EF1'A_00164421 EFTA01295133