Text extracted via OCR from the original document. May contain errors from the scanning process.
KYC Print
Page 1 of 15
KYC Case
: 01748087
One sheet must be established Des relationship - list all accounts included In the relatIonshi
L. Relationship Details
Relationship Name:
Booking Center:
New York
Relationship Manager:
Stewart Oldfielf
O New PWM Relationship
IKI Existing ROM Relationship
Relationship to PWM:
If existing, please indicate since when the relationship eche; provkie reason fee new profile and attach cad toile: o
new
checking account with account title as Zorro Management LLC(House Acct) and adding
new signo
5 Client Referral
•
RM Prospect
O Intermediary/FIN
O Other Source (CH), etc.)
How Was the °rents)
Introduced, How king has the
RM personally known the
client'
Please provide details (e.g. one of referral source, how many years RM personally has known client, etc.): .1effrey Epstein
reached out to Stew °einem on 3/7/17 to have a new acct opened under 7orro Management LLC and add two new signors to DM
new acct only.
Does Deutsche Bank pay a
retrocession or similar
O Yes
I El No
compensation to a third party
for the introduction of this
relationshc'
(fig Yes, describe)
List all existing and new accounts involved n this relatkinshp
Legal Entity
&counts)
Account lame/ Plumber
Opening Date (intended/actual)
1
O
Zorro Management, LLC - Deposit
12/27/2016
2
0
Zorro Managemert, LLC (House Acct)
3/10/2017
Who it the Primer contact
person or the RM' (Note: This
person needs to have signatory
tights and/or information right
for the accounts.):
Darren Indyke
Darren
Preferred method of contact
phone no., fax no.,
e-mal Wrest etc.):
Status : 6. Approved
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CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e)
DB-SDNY-0002849
EFTA_000 16323
EFTA00167075
KYC Print
Page 2 of 15
One sheet mud be established for each account to be opened
2. Account Ownership Summary
Account Name:
Zone Management tic - De
a
'Acct. Number (f avaibtie)
Account Manager:
dessert oldfldd
What Is the purpose of the account (e.g. portfolio ma irmywiin , advisory account, custody servkes, long-term Investment, payment/expense account)? the
purpose of this account is to manage the day expenses of the company
Indicate from where the assets are expected to arrive
E21 DB Group: Same Booking Center (Indicate account number):
O DB Group: Other Booking Center (militate DB location and account details):
O Other Institution - (Indicate name & location):
O Physical Deposits (spat, cash. securities. cheques...)
What Is the expected sire and frequency of regular Inflows and outflows for the arrow/ (indicate estimated number and volume per month)' 0.10
inflows/outfbrrs between 50k and 100k on a monthly basis
What is the expected volume ol assets and currency For the account approx. 90 days after opening?
I
'Currency
I usd
What is the expected volume of assets and nirrency for the account approx. one year after opening? I 1000000
'Currency
I us
DoesAsill the client have Assets Under Management (AuM) within DO under fur htt
• Yes RI No
Please list all parties related to the account
For each party:
• Check if a source of weak h description is required for the party.
• Check the appropriate box to describe the relationship of the party to tins account ( > 1 can be selected).
• ff none of the check boxes apply, describe the parties rein ion to the account in the 'Oilier' column.
•
Always describe the relationship between the parties in the last column.
•
Please drill down to the ultImatelundedyIng Benelkial Cwneffs).
_coal
Ently-of
Description
Soiree
/ Wealth
required
ernes
related to
dos account
accountPIC
touter Cromer
Settler of
Trust /
rounder ol
foundation
Jitimate
3eneferalor
Owner
Signatory
full
PO*
imIted
?OA
financial
Intermedia
(FM)
SIgiafkant
anal/Medley
(>=25%)
lion-NC
entity
(indicate
ownership
tit)
_egal
rancor
Grantor/Sett • -mounding
• or
Inv
please
Sescnbe
other roles
and/or
indkate
'elatio
between
Tholes)
1 El 2
Zorro
Management,
pc
[0
O
O
•
O
O O
O
•
O
2 O a
Jeffrey
=sue
O
O
O
O
a
O O
O
•
O
3
O
O
Ind
Darren
yke
O
0
0
0
0
0
O
O
O
O
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SIDNY-0002850
EFTA_000 16324
EFTA00167076
KYC Print
Page 3 of IS
—
2. Account Ownership Summary
Account Name:
Zorro Management, LLC (House Acct)
Acct. Number (i/evadable).
Account Manager:
stew oklfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody service; long-term Investment, payment/expense account)? The
purpose of the account s to manage the monthly expenses of the company
Indicate from where the assets are expected to arrNe?
0
DB Group: Same BoolOng Center (indicate account number):
•
DB Group: Other Booking Center (ndicate DB location and account details):
0
Other Institution - (Indicate name & location):
O
Physical Deposits (specify cash, saturates, cheques, ...X
What is the expected sire and frequency of regular inflows and outflows for the account (indicate estimated number and volume per mcrahr: 0.10
inflows/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 Csadddi
I
usd
What Is the expected volume of assets and currency for the account approx. one year after opening> I 5°°°
ICsfrer"
I usd
Does/will the client have /diets Under Management (AuM) within DB under Eu. 3M?
O yes [ONO
Please Hat all parties related to the account
For each party:
• Check d a source of weath description is requred 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 bones apply, descr be the partys rely ion to the account In the °Met column.
• Always describe the relationshp between the parties in the last column.
•
Please drill down to the ultimate/underlying Beneficial Cremy(s).
sgal
Entity,/
Descriptko
Source
of Wealth
required
?antes
related to
is account
AccounWIC
Solder Owner
Stake of
Trust /
Founder of
Foundation
_Palmate
Send-idol/at
)Surer
Signatory
Full
POA
Jmked
?OA
Financial
IntennediarfahareholderRepresentative
(F1M)
Significant
(>-25%)
Non-PIC
entity
(Indkate
ownership
3b)
eget
Grantor/Settlorfounding
Donor
Other
,please
describe
other roles
and/or
ndkate
relationship
Setween
sarties)
I
(2)
O
Zorro
Management,
LC
O
O
O
O
O
O
O
O
O
O
2
•
IZ
Ipste in
Jeffrey
O
En
0
0
O
O
O
O
O
3
•
0
Indyke
Darren
0
0
0
0
0
0
0
0
0
0
4
•
O
Gordon,
Oren L.
O
O
•
O
0
O
•
O
O
O
5
O
MI
Gorden,
Nice M.
O
O
O
NI
0
IN
O
O
O
O
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7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
D6-SDNY-0002851
EFTA_000 16325
EFTA00167077
KYC Print
Page 4 of IS
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Detalls (for all parties)
Individuaes Name:
Jeffrey Epstein--
Date of Birth:
1/20/1953
Country of Reddens:
USVI
Country of Citizenship:
USA
Address of primary resIderxe:
Utte Saint James Saint Thomas 00602
Has dent resided outside of
Ms/her country of nationality
for 5 years or mare?
No
O Yes
ProfessioniOccupaben:
Self Errpolyed
Tax ID / SSN:
Current Empbyer
Southern FIIISIldal U.0
Pormonfek/Ranic
President
Address of errpbyer:
6100 Red Hook Quarter B3 St. Thomas United States 00802
Does the person work as senior executive of a Dtrrecog need regulated entity in the financial
ndustry? or an entity listed on a De-recognised exchange> (Not appicable for operating entitles
O Yes 0 No
Is the individual a Politically Exposed Person (PEP)' (it Yes, descnbe)
No
• Yes
la
To the best of your knowledge, is the individual related to an employee of the 06 group)(A
FIT* Of Mends/bp, desenbe)
O Friendship
RI None
• Family
To the best of your knowledge, Is the individual party to a nom banking relationship with
Deutsche Bank (e.g., external legal counsel, Sent referral source, supplier of goods or services)?
(et YeAdescree)
O Yes
OW
II applicable, indicate which bank off'
me the person:
Indicate where and seen the dent meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Prrvate
Domicile:
Client Place of
Business:
Other Location (specify):
Date:
O
O
•
ID
O
•
O
O
O
• Wealth Details for this Individual are not filled in, because they are the same as for the following person:
30. Wealth Details (Only for parties requiring sows of wealth description as Indicated in Section 2)
Nature of the (nevi:Mats Business:
Private investments
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
0 Business Owner OSalary/Earnings 0 Investment E Inheritance/Gifts O Other:
Esther Describe Source of Wealth /Detail the history of wealth for each of the sources (e.g. For trusts, how did senior accumulate wealth? For ideritance, how
did family accumulate wealth?For business owners, how bng in business, how many employees, level of profitabety? Indtate type of business, countries of major
activities, important business partners.) Epstein began hi financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1960. In 1962,
Epstein founded Ns own financial management firm J. Epstein & Co., managing the asses et Sees with more than a billion in net worth. In 1996, Epstein
changed the name of Ms Mtn to The Financial Trust Company and based a on the Island d St. Thomas In the US Wgln Islands. Al d his clients wee anonymotn
except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and hi financial management fins
Estimated Annual Income(8):
10,000,000.00
Estimated amount of invellabia assets(s):
950 kW - 100 Nil
Estimated Net Worth(9):
5500 MM 1
Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
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7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002852
EFTA_00016326
EFTA00167078
KYC Print
Page 5 of 15
'Institution:
H
si"'
Please indicate the family situation of the ndhfclual (mortal status, other family members, etc.):
I
Cs1 AsuYs Under 14$'
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002853
EFTA_000 16327
EFTA00167079
KYC Print
Page 6 of IS
One sheet must be established for EACH INDIWDUAL PARTY in Section 2. Account Ownership Summary
3A. Individual Details (for all pones)
Indio:bars Name:
Darren Indyke -
Date of Birth:
Country of Residence:
USA
Country of Citizenship:
USA
Address of primary residence:
Has dent resided outside of
hs/her country of nationality
for S years or mare
O yes
No
Profession/Occupation:
Lawyer
Tax ID / SSN:
Current Empbyer:
Southern Financial LTC
Poston/Title/Rant
Address of empbyer:
575 Lexington Ave, 4th Fl Livingston NY United States 10022
Does the person work as senior executive of a DB-recog nized regulated entity in the financial
ndusUy? or an entity listed on a Da-recognised exchange> (Not applcable for operating entitles
O Yes g No
Is the individual a Politically Exposed Person (PEP)> (II Yes, descnbe)
No
• Yes
la
To the best of your knowledge, is the individual related to an employee of the 00 group)(A
FIT* Of Mends/bp, desenbe)
O Friendship
RI None
• Family
To the best of your knowledge, is the individual party to a now banking relatonship with
Deutsche Bank (e.g., external legal counsel, dent referral source, wpplser of goods or services)?
(de Yekdesenbe)
[ h e.
O N°
II applicable, indkatc which bank off'
mct the person:
Indicate where and when the cleat meeting(s) took place:
Bank Officer Name(s)
Bank Office:
Client Prrvate
Domicile:
Client Place of
Business:
Other Location (specify):
Date:
Stewart Oldfseld
ga
O
12/12/2016
•
O
•
•
O
O
O
• Wealth Detais for this individual are not filled in, because they are the same as for the Mowing person:
30. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)
Nature or the Individual's Business:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds'
Summarize Source of Wealth:
O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other:
Esther Describe Source of Wm h /Detail the history of wealth for cad. of the sources: (e.g. For trusts, how did settbr accumulate wealth? For inheritance, how
did family accumulate wealth?for business owners, how bag in business, how many employees, level of meltability? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets($):
Estimated Net Worth($):
Mount of assets planned to Invest with PWM($):
Other known Financial Institutkins:
Instance:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mat:
Please indicate the (array situation of the individual (marker status, tithe family members, etc.):
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7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002854
EFTA_000 16328
EFTA00167080
KYC Print
Page 7 of 15
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002855
EFTA_000 16329
EFTA00167081
KYC Print
Page 8 of 1.5
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh Sum
3A. Individual Details (for all Parties)
Indroduars Name:
Date of Birth:
Country of Residence:
USA
Country of Citizenship:
USA
Address of primary residence:
Has dent resided outside of
hts/her country of nationality
for S years or mare?
No
• yes ?I
Profession/Oecupalion:
Manager
Tax ID / SSN:
Current Empbyer
Zorro Management
Pos/Jonffille/Rant
Manager
Address of empbyer:
St Thomas United States
Does the person work as senior executive of a DElrecog Wed regulated entity in the financial
ndustry? or an entity listed an
exchange> (Not appicable for operating entitles
O Yes g No
Is the individual a Politically Exposed Person (PEP)' (it Yes, descnbe)
NO
• Yes
la
To the best of your knowledge, is the Individual related to an employee of the 00 group(A
Finn* or Mends/bp, desenbe)
O Friendship
RI None
In Family
To the best of your knowledge, Is the Ind Mdual party to a now banking relationship with
Deutsche Bank (e.g., external legal counsel, client referral source, wppber of goods or service-9>On.
(de Yesdeserbe)
OW
II applicable, indkate which bank off'
me the person:
Indicate where and when the dent eneeUng(s) took place:
Bank Officer Name(s)
Bank Office:
Client Prrvate
Donticile:
Client Place of
Business:
Other Location (specify):
Date:
O
O
•
O
O
•
O
O
O
• wealth Details for this indivklual are not filled In, because they are the same as for the Mowing person:
38. Wealth Details (Only for parties requiring soiree of wealth description as indicated in Section 2)
Nature or the Individuals Business:
Primary Country of source of wealthrsource of Funds?
Primary Industry of source of Wealth/Source of Funds'
Summarize Source of Wealth:
O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other:
Esther Describe Source of Wm h /Detail the history of weakh for each of the sources (e.g. For trusts, how did setter accumulate wealth? For inheritance, how
did family accumulate wealth?for business owners, how bag in business, how many employees, level of pretest/key? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Inceme(l):
Estimated amount of investable assets($):
Estimated Net Yierth(l):
Aznount of assets planned to Invest with PWM($):
Other known Financial Institutians:
Indhuties:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under MS:
Please Indicate the (array situation of the indlvalual (mareal status, oche (array members, etc.):
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7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
D6-SDNY-0002856
EFTA_00016330
EFTA00167082
KYC Print
Page 9 of 15
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002857
EFTA_00016331
EFTA00167083
KYC Print
Page 10 of IS
One sheet mud be established for EACH INDIVIDUAL PARTY in Sallee 3. Account Ownership Summary
3A. Individual Details (for all parties)
Indrvaluars Name:
Date of Birth:
Country of Residence:
USA
Country of Citizenship:
USA
Address of primary residence:
Has dent resided outside of
ms/ter country of nationality
for S years or maze?
No
• yes ?I
Profession/Occupation:
Manager
Tax ID / SSN:
Current Empbyer:
Zorro Management LLC
Poston/Mk/Rank:
Manager
Address of empbyer:
USVI United States
Does the person work as senior emotive of a DB-recognized regulated entey in the financial
ndustry? or an entity listed on a De-recognised exchange? (Not appkable for operating entities
O Yes g No
Is the IndPadua' a Politically Exposed Person (PEP)'(Il Yes, descnbe)
No
• Yes
la
To the best of your knowledge, is the individual related to an employee of the 00 oroup)(e/
FIT* Of Mends/bp, desenbe)
O Friendship
RI None
In Family
To the best of your knowledge, Is the individual party to a now banking relationship with
Deutsche Bank (e.g., external legal counsel, (tent referral source, topes of goods or service-9>On.
(/ Yecdeserebe)
O N°
II applicable, indkate which bank off'
met the person:
Indicate where and when the cleat eneeUng(s) took place:
Bank Officer Name(s)
Bank Office:
Client Prrvate
Domicile:
Client Place of
Business:
Other Location (specty):
Date:
O
O
•
O
O
•
O
O
O
• Wealth Octets for this Mittel are not filled In, because they are the same as for the Mowing person:
3B. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2)
Nature d the Indeidurts Business:
Primary Country of source of wealthrsource of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
O Business Owner OSalary/Eamings O Investment E Inheritance/Gifts O Other:
Esther Describe Source of Was h /Detail the history of wealth for each of the sources (e.g. For trusts, how did settler accumulate wealth? For inheritance, how
did family accumubte wealthWor business owners, how tang in business, how many employees, level of tenability? Indicate type of business, countries of major
activities, important business partners.)
Estimated Annual Income($):
Estimated amount of investable assets($):
Estimated Net Worth($):
Amount of assets planned to invest with PWM($):
Other known Financial Instittitkins:
Internee:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mot:
Please Indicate the family situation of the individual (martal status, oche (array members, etc.):
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7/30/2019
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002858
EFTA_000 16332
EFTA00167084
KYC Print
Page 11 of 15
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entitles)
Legal Entity Name:
ZOITO PlaragelTlelle, IIC -
Type of Entity:
O Foundallca/Associetion O Trust
O Partnership
79 Gewgaw O Estate
Purpose of Entity:
Purpose of Entity
Other (specify):
2 Private Investment O
philanthropic/Charitable Otommerdal
Type of
Other (specify):
tiC
Courtly of
incorporation/registration:
USA
Date of Morporaten /
registration:
12/19/2016
Wicker Status:
Identified on Customer Prole
Mk ker Flag:
No
Address (city, street, post
code):
6100 Red Hook Quarter, 83 St. Thomas; USVI 00602 United
U.S.
St ates
U.S. TIWEIN:
Provide a description of the entity's organizational structure, its ownership structure and es Top Management. For trustsifoundations. include information about
revecabillty,setUor and beneficiaties,ett ;
Jeffrey Epstein Is the sole manager and owner of this entity.
Signors on this amount will be
Jeffrey Epstein
Omen lelyke
Signors on the house acct are:
Jeffrey Epstein
wen
•
Please indicate how ownership of the legal entity is reflected:
- Indicate where shares are rustodiorl:
•
Special attention: Bearer Shares
Descrtie the chain from the direct owner of the entity to the ultimate beneficial owner hi not the same persons): Jeffrey Epstein IS the sole manager and owner of
this entity.
Signors on this aCCOLag will be:
Jeffrey Epsteii
Darren Indyke
Signets on the house acct are:
Jeffrey Epstein
Darrell Ind
To the best of your knowledge, is the entity party to a nonibanking relationship with Deutsche
Bank (e.g. external legal counsel, client referral source, suppler of goods or services.)'.
Yes O No g
Describe Nature of Entity's Primary Business and Investment Activities
Native of the business:
a real estate holding company. It is a company loaned to run and operate all amities(ISSIX glad
with a property that Jeffrey Epstein owns in the US Virgin islands.
Countries where business is transacted:
USA
'hlter of employees:
14
3D. Wealth Profile (Orly for partics requking source of wealth description as edicated in Section 2)
OrEvaty Country of •.otace of iwalthliource of lunch>
Primary industry of source of WealthiSourte of Funds,
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Natalea):
This company ts funded by Jeffrey Epstein's personal wealth
Estirrated gross receipt; Pia.(0:
1,000,000.00
Estknated net prof[ p.a. ($):
1,000,000.00
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
D B-SD NY-0002859
EFTA_000 16333
EFTA00167085
KYC Print
Page 12 of 15
Estimated investable assets ($):
$1 MM - 2 141
Potential Amount to be Invested with P1VTI (9 h
Other Known financial Institutions
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0002860
EFTA_000 16334
EFTA00167086
KYC Print
Page 13 of 15
DB PWM GLOBAL KYC/NCA: US/LatAM/Int'l PART B Int
Relationship Nacre
Risk Rating Comments:
Booking Center
O
NY/Ofhhore
O cmhore
• Moderate 2 High Risk iYfifillstm CNN
s Ny
IS
(Compliance Signature)
O DB Employee
Doe Managed PIC
O 08 is Trustee/Co-Trustee
O Bearer Shares
4. Attachments
A. Type of Photo ID Provided
74 Drivels Lkense O Passport • NatisnaVState ID O Other
B. Checklat of names (Individuals and/or entitles) that were submitted for database searches Is attached 0 yes O No
C. Please indicate the results el the database searches performed
RDC searches complete
74 Yes O No
regain results found
Oyes a ea
PCR checks complete
2 Yes • No
negatkte results found
• Yes 2 No
OFAC checks complete
121 Yes 0 No
negative resits found
• yes 2 No
BIS searches complete (Lech/Nevis, Faces, Reuters, Dow Nines, DNB)
2 yes Olio
negative mutts found
• yes @No
Denial Orders checks complete
g yes O No
negative results found
OYes a NO
Martindalc-Hubbell searched (Lawyers/Law Firms only)
O yes OW
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 Sent ever been convicted of a criminal offense,
• yes 121 No
F.
0
To the best of your knowledge, has the customer ever been involved n any past litigation against
Deutsche Bank AG or any of its subsidiaries or is the customs threatening kfigatian againt Deutsche n yes 2 No
Bank AG or any of Its subsidiaries? (If Yes, provide debit; below and contat Quably Mgt
(Latam/Int7) of bYeRepubton, Cannel Grow and nobly Compaence wemedsten)
a Does the dent or related party have any financial or other association / interactions worn countries
r—,
or regimes sanctioned by the Office or Foreign Assets Control (Cr AC),
Ll Yes 121 No
H.
m
Does the dent or related party have any financial or other association! interactions within high risk
Yes ®ter
countries?
I. Corporate Documentation Attached (Legal Entities Only)
IZI Yes DSc • Not Applicable
1. Undisclosed Principal Form Complete (Intermediaries Only)
Oyes OM 0 Not Applicable
K. If Lexls/Necis Search Results, Corporate Documents or Other Supporting Documertation is not in English, please provide an Engird. summary of the
nalure/coments of the noniEnglish Documentation:
L. Special Risk Pesos
Does the account have Nexus to Special Risk Countries'
Ekes 2 No
Is the account structure unusually complex,
Oyes ®No
Is there any indication the client set up a non operating company expressly
LIri Yes 2 No
for the purpose of transferring shares to third parties'
Is there any indkation this could be a prohibited business relationsho,
Oyes 2 No
Are the bearer shares identified subject to acceptable controls'
Oyes Olio
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KYC Print
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M. Case Comments
Created By
Date
Comments
Cynthia Rodriguez
3/7/117 2:38 PM
Please revert to recently approved KY( caw 016%013 for updated research on all pasties. Research on new
signors are attached to this current case.
Cent FackN Prdessianal (CFP):
lein soling)
Signature)
erri sohrab
3 11 :01/
Office DirectoriOusirsess Head:
Andrew) I ollwan
Signature)
Andrew F Gallivan
Regional Office Director
Signature)
AML business Risk:
(Signature)
NIL Compliance:
Rafael Mercado
'Monson Chung
(*nation)
Rafael Mercado
'Mows, Chung
3/13/2017
3/13/2017
Gent Fackig Professknal (GBP):
(Signature)
Account Manager:
(Signature)
Global Market Team Head (GITH)/Sub-
Market Teem Heed (911H)c
(Signature)
Met Business Risk:
(Signature)
Al& Compliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests opts clients. To do so. Client Facing Professionals) (1)
(CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of
suitability, background and character. Due diligence obtained on the client must be appropriately documented by the
CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception ofa 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 1 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
Americas Procedures and the PIM Global KYC Policy
(1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers,
Client Managers. etc.
Deutsche Bank Americas New York
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DB-SDNY-0002862
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EFTA00167088
KYC Print
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I
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DB-SONY-0002863
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EFTA00167089