Text extracted via OCR from the original document. May contain errors from the scanning process.
KYC Print
Page 1 of 10
DB P1^/ NI GLOBAL KYC/NCA: PART A rA
KYC Case a : 01898372
ne sheet must be established per relationship - list all accounts Included In the relationship
Status : 6. Approved
1. Relationship Details
Relationship Name:
SOUTHERN FINANCIAL RELATIONSHIP'
Booking Center:
New York
Relationship Manager:
Stewart Oldied
0
New KM Retatenship
0
Edging PM RelauensNp
Relationship to PWM:
If existing, please indicate snce when the relationship exists, Provide reason for new profile and attach old profile: Initial funding must
take place by 02/13/2018 in order to purchase assets for the trust
2 Client Retells
0
RM Prospect
0
intermediary/me
0
other Son (al, etc.)
Hon Was the ['Not(s)
Introduced? How long has the
MI personalty known the ctent?
Please provide details (e.g. name of referral son, how many years RM personally has known dient, etc.): Jeffrey Epstein reached
out to Stew adieu on 2/02/2018 to open a new depos t account for his annuity trust mum fuming must take place by 02/13/2018 In
order to pitchase asses for the trust
Does Deutsche Bank pay a
retrocession or Omit&
0
Yes
112 No
compensation to a Med party
for the nuoduction of this
retationsNp?
(/f Yes, *scar/
List all exisung and new accounts involved in this relations*
Legal Entity
Account(s)
Remelt Name / Martel,
Opening Date (Mended/actual)
1
El
The 20 7 Caterpillar Trust - Deposit
2/13/2018
Who Is the primary contact
person or the RM? (Note: This
person needs to have signatory
rights and/or Information right
for the accounts.):
off
Gr
, Lesley
Preferred method of
e con act
(indicate owe no., fax no.,
&Mae address, etc.):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e)
DB-SDNY-0000300
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e...
UM92814263
EFFA_00019173
EFTA00168920
KYC Print
Page 2 of 10
One sheet must be established for each account to be
2. Account Ownership Summary
Account Name:
The 2017 Caren:drat Trust - Deposit
Acct. Number (if asedebk).
Acorn Manager:
stewed cicifield
What is the purpose of the account (e.g. portfolio management, advisory account, custody senrion, long-tam Investment, payment/expense account)? the purpose or
this account is to hold the member interest in IGO Company LLC
Indicate hat where the assets are expected to wive?
Jr
../ DB Group: Sane Booking Center (indicate account number):
O DB Group: Other Booking Center (Indicate DB location and account details):
O Other Institution — (Indicate name & location):
O Physical Deposits (specify cash, securities, cheques, ...):
What is the expected an and frequency of regular belays and outflows (or the account (indicate estimated number and vane per month)?: less than 2 disbibutons
on an annual basis between SO and SI00k
What is the expected volime c4 assets and currency for the account approx. 90 days after opening?
1300000
I Currency
lug]
What is the expected volime of assets and currency for the account approx. one year after opering?
1300000
I Currency
Hied
Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M?
ayes O No
Please list all parties related to the account.
For each party:
• theck if a source of wealth description is re:IL:red for the party.
• Oeck the apt:formate box to describe the dationship 04 the party to this account (> 1 can be selected).
• U none of the check boxes apply, describe the party's elation to the account In the "Other oaken.
• Always describe the relationship between the parties I the last cokimn.
• Please drill down to the ultimate/underlying Beneficial Ovmer(s)
_egal
ENVY
Description
Son
of Wealth
equrred
Parties
related to
this
account
AccounfPIC
Holder OwnerTrust
Senior of
/
FoLnder of
Foundation
Simate
BenetIciakx
Owner
Signatory
Full
PO*
LimiteciFirancial
PO*
IntermedaySfarehoklerlepresentathe
:FIM)
Significant
(>=25%)
Non-PIC
entity
(Indicate
ownership
%)
_egal
Grantor/Sealrifouning
Donor
Me (please
describe other roles
arxifor indicate
relation*
between pates)
1
1,11 0
The
2017
catevaa,
Trt,St
r7i
O
O
O
O
O E
O
O
O
2
O
10
E.
EPSt
Jef
fein
"
rey
n
O
O
O
O
O O
O
O
O
Benenclay;Granta
and Beneficiary of
The 2017
Caterpilar
Trust.;Granitor of
The 2013 Butterfly
Trust:
O O
%yaw&
Daphne n
"
O
O
O
El
O O
O
O
•
Trustee:;bustee;
4
O
O
Lesley
O
O
O
O
O
O O
O
O
O
trustee; Trustee:;
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a)
DB-SONY-0000301
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814264
EFIA_00019174
EFTA00168921
KYC Print
Page 3 of 10
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershi Summary
3A. Individual Details (tor all pates)
Individual's Name:
Jeffrey E. Epstein -
Dated Earth:
1/20/1953
Country of Residence:
USVI
Country of Otlzenship:
USA
Addess of plenary residence:
Late Saint James Sant Thomas 00802 United States
Has dent resided outside of
his/her country of nationality fe
5 yeas or more?
O yes ®No
Profession/Occupation:
Self Empolyed
Tax ID f SSN:
Current Employe:
Southern Trust Company LLC
Position/Title/Rank:
President
Address of employer:
6100 Red Hook Quarter B3 St. Thomas United States 00802
Does the person work as senior execudve of a CO-recognzed regulated entity in the financial
ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities
O Yes
0 No
Is the indndual a Politically Exposed Person (PEP)7(/Yes, doscribe) connection with Prince Andrew
and BB Clinton
O yes
O No
To the best of your knowledge, is the inclyidual related to an employee of the DB group?(/Fatruiy or
Fni ...FAO, dismay)
O Family
O Friendship
g None
To the best of your knowledge, is the inclyidual party to a non-banking reationsap with Deutsche
Bank (e.g., external legal counsel, diet referral source, supplier of goods or servizes)?(if
Yes,cresaite)
Oyes
O No
If applicable, incbcate which bank officers have met the person:
Incbcate where and when the diem meeting(s) took place:
Bank Officer Name(s)
Bank Debt
Client Private
Dorricle:
Gott
Business:Place of
Place
Other Locatbn (seedy):
Date:
O
O
O
O
O
O
O Wealth Details for this individual are not filled in, because they are the same as for the following person:
3B. wealth Details (Only for parties requiring saute of wealth description as indicated in Section 2)
Nature of the Indkriduars amines:
PrNate investments
Primary Cotten, of settee of wealth/source of Funds?
thimay industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
®Business Owner O Salary/Earnings
r
a
Investment O Inheritance/Oils • Other:
Further Describe Source &Wealth /Detail the history of wealth for each of the mates: (e.g. For trusts, how dd settler accumulate wealth? For inheritance, how did
family accumulate wealth?For business owners, haw long in busnes, how many employees, level of profitability? Indtate type of business, counties of major activities,
important business partners.) Jeffrey Edward Epstein (ben January 20, 1953) is an American Wander and registered sex offender in the united States. He worked at
Bear Stearns early in his career and then formed his own firm, 1. Epstein at Co. In 2008, Epstein was convicted of seedling an underage girl for prostitution, for which he
served 13 months in prison. lie Ives in the US Virgin Islands. Epstein taught calculus and phyla at the Dalton School in Manhattan from 1973 to 1975. Among his
students was a son of Alan C. Greenberg, chairman of Beat Stearns.
In 1976, Epstein started wok as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth dents on tax strategies.
Proving successful in his (Mandel cave, in 1980 Epstein became a partner at Bear Stearns.
In 1982, Epstein fended his own financial management firm, 1. Epstein & Co., managing the assets &dents with more than $1 Son in net worth. In 1987, Leslie
Werner, founder and chairman of Ohio-based The Limited chain of women's clothing Stara, became a well-knew) client. Werner acquked Abercrombie at Fitch the
Mowing year. In 1992 he converted a private school on the Upper East Side Into an enormous residence. Epstein later bought that property, in the wealthiest part of
Manhattan. In 1996, Epstein changed the name of Ns 6mi to the Finandal Ma Company and, for tax advantages, based it on the island of St. Thomas in the U.S.
login Islands.
In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Paz, media mogul and pubisher laortimer
Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Brat Wasserstein, a longtime Wall Street investor,
who paid $55 maim.
In 2009, Epstein and Zuckerman =matted up to $25 minim to finance Radar a celebrity and pop culture magazine founded by Sleet Roshan. Epstein and Zuckerman
were equal partners in the venture. Roshan, as its &km-in-chief, retained a wall ownership stake.
Presently, W. Epstein founded Southern Trust Company Inc. a private consoling company that invests the assets of their clients and gets their revenue from the tenet)
of thee Invatments. Southern Trust invests in different portfolos catered to their dents and makes their revenue based on the returns and the lees associated with
managing their dent's assets.
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. B(e)
DB-SDNY-0000302
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192814265
EFIA_00019175
EFTA00168922
KYC Print
Page 4 of 10
Estimated Annual Incryne(S):
10,000,000.00
Estimated amount of investable assets(s):
S50 MM - 110 M14
Estimated Net Worth($):
5500 MM ♦
Amount of assets planned to invest with Firifl4($):
other Known Financial Institutions:
InsUtuUcti:
Cowitry:
Est. Assets Under Mgt
InsUtuUcti:
Cowitry:
Est. Assets Under Mgt
InsUtuUcti:
Cowitry:
Est. Assets Under Mgt
Please indicate the family situation of the Individual (marital status, other rangy members, etc.):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SONY-0000303
https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... UM92814266
EFIA_00019176
EFTA00168923
KYC Print
Page 5 of 10
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary
3k Individual Details (tor all pates)
Individual's Name:
Wallace, Daphne -
Date of Earth:
Country a Residence:
USVI
Country of Otbenship:
USW
Adceess of Orrery residence:
Has dent resided outside of
ms/her country of nationality fa
5 yeas or more?
O yes ®No
Profession/Occupation:
Mara
Tax ID i 55th:
Current Employer:
Southern Trust Canpaw Inc
Position/Title/Rank:
controller
Address of employer:
6100 Red Hook Quarter St Thomas United States 00802
Does the person work as senior executhe a a CO-recognized regulated entity in the financial
Industry? or an entity listed on a DB-recognsen exchange? (Not applicable for operating entities
0 Yes Iii No
Is the Mb/dual a Politically Exposed Pencil (PEP)?0, Yes, desoibe)
Oyes
Ea No
To the test a your knonledge, is the individual related to an employee of the DB group?(freatrWor
Fnc,,,Ahp, desmbe )
O Family
O Friendship
g None
To the test a your knoaledge, is the inclyidual party to a non-banking relationshp with Deutsche
Bank (e.g., external legal counsel, diem referral source, supplier of goods or servbes)?(if
ves,desoite)
Oyes
I2 No
If applicable, notate which balk officers have met the person:
Indicate where and when the diem meeting(s) took place:
Bark Orrcer Name(s)
Bank Office:
Client Private
aide:
Diet Place of
Business:
Other Locatbn (spedty):
Date:
0
O
0
0
O
O
0 Wealth Details fa this individual are not Filled in, because they are the same as for the following person:
3B. wealth Details (Only for parties requiring mate of wealth description as imitated in Section 2)
Nature d the Individual's Dishes:
Panay Cotmtry or solace of %earth/source of Funds?
almay industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other:
Further Desete Source or Wealth /Detail the history of wealth fa each a the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did
Vanity accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, woollies of ma)or, activItks,
impatant busbies parties.)
Estimated Annual Incone(S):
Estimated amount &investable assets(s):
Estimated Net WortI(S):
Amount of assets planned to invest with PW14($)e
Other Known Finandal Instiutbns:
Insttturico:
Country:
Est. Assets Under Mgt
Institution:
Country:
Est Assets Under Mgt
Institution:
Country:
Est. Assets Under Mgt
Please indicate the family situation of the Individual (meal status, other randy members, etc.):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a)
DB-SONY-0000304
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... UM92814267
EFIA_00019177
EFTA00168924
KYC Print
Page 6 of 10
One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmers I Summary
3k Individual Details (lor all pates)
Individual's Name:
Groff, Lesley -
Date of Earth:
Country of Residence:
USA
Country of Citizenship:
USA
Adceess of plenary residence:
Has dent resided outside of
his/her country of nationality fa
5 yeas or more?
O yes 12N0
Profession/Occupation:
Attorney
Tax ID 155N:
Current Employer:
Darren K Indylce PLLC
Position/Title/Rank:
Attorney
Address of employer:
575 Ulengton Avenue 4th FL new rock NY United Stabs 10022
Does the person work as senior executive of a CO-recognized regulated entity in the financial
Industry? or an entity listed on a DB-recogndel exchange? (Not applicatte for operating entities
El Yes ® No
Is the inbhdual a Politically Exposed Person (PEP)7(ie Yes, desoibe)
Oyes
g No
To the best of your knowledge, is the inchndual related to an employee of the DB group?(firatrWor
Fni,,,M0, ciesmbe )
O Family
O Friendship
g None
To the best of your knowledge, is the inchndual party to a non-barking relationshp with Deutsche
Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(l
ves,deso-ibe)
0 Yes
I2 No
If applicable, indicate which balk officers have met theperson:
Indicate where and title, the diet meeting(s) took place:
Bark Officer Name(s)
Bank Offke:
Client Private
wide:
Diet Place of
Business:
Other Locatbn (spedfy):
Date:
0
O
0
0
O
O
0 Wealth Details foe. this Individual are not filled in, because they are the same as for the following person:
3B. wealth Details (Only for parties requiring sane of wealth description as indkated in Section 2)
Nature of tie IndNiduars Business:
Airway Cowin or solace of wealth/source of Funds?
Primay industry of source of Wealth/Source of Funds?
Summarize Source of Wealth:
O Business Owner O Salary/EarNngs O Investment O Inheritance/Gas O Other:
Further Describe Source or Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did
famly accumulate weallh?Por business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actIvitks,
important Psalms partners.)
Estimated Annual Incane(S):
Estimated amount of investatle assets(s):
Estimated Net WortI(S):
Amount of assets planned to invest with PW14($)e
Other Known Financial Instiutbns:
Insttturion:
Country:
Est. Assets Under Mgt
Institution:
Country:
Est Assets Under Mgt
InsUtution:
Country:
Est. Assets Under Mgt
Please Mute the family situation of the InclNidual (maital stabs, other family members, etc.):
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a)
DB-SONY-0000305
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824268
EFIA_00019178
EFTA00168925
KYC Print
Page 7 of 10
One sheet must be established for EACH LEGAL ENTITY In Section 2 Account Summary
3C. Legal Entity Details (Fee ail Legal Entities)
Legal Entity Name:
The 2017 Caterpillar Trust -
Type of Entity:
O Foundation/Amciation g Trust
ParMership
O Company .
Estate O
pu
of Entity:
Ea Private Investment O
Phlanihropic/Chantable OCommecial
Type d Entity Other (specify):
Purpose of Entity Other
(sljedfv):
Country of
incapastkiniregistration:
Virgin Islands, U.S.
Date of Incorporation /
reystragon:
1/3/2017
Volcker Status:
Determination Required
Wicks Rag:
No
Adcaess (dry, stree( post code): 6100 Red Hook Quarter B3, St Thomas 00602 United States
U.S. TIN/EIN:
Provide a description of the entity's organizational structure, Is ownership structure and Its Top Management For trusts/fouidaUcns, inclide information about
revocability,settlw and benenciariesetc.:
This is a grantor reLened annuity Mist that holds membership interest In IGO Company LLC. This trust will terminate two years from the date dinkier funding and
onnual annuity distributions wil be paid to the grantor only. Upon ternWaticn, the membership Interest will then transfer to the 2013 Butterfly Trust.
Grantor: Jeffrey Epstein
Trustee: Lesley Groff and Daphne Wallace
Beneficiaries: Jeffrey Epstein and The 2013 Butterfly Trust (upon termination of bust)
Please indicate hew ownership of the legal entity is reflected: bust agreement
O Special attention: Bearer Shares - Innate where Mats are cuslodied:
Describe the chain hem the direct owner of the entity to the ultimate benclical owner (final the same Forams): Grata: Jeffrey EpsteM
Trustee: Lesley Groff and Daphne Wallace
Beneficiaries: Jeff'
n and The 2013
Trust u n termination of bust
To the best of your knowledge Is the entity party to a non-balking Mahone* with Dandle Bank
(e.g. external legal counsel, client Serra source. suppler of goods or services)?:
Yes ON0
Describe Nature of Entity's Primary Business and Irwesbnent Activities
Nature c4 the business:
This Is a grantor retained annuity trust that holds membership interest in IGO Company LLC.
Countries where business is 0-enacted:
usa
Number of employees:
0
3D. Wealth Profile (Only for parties requiring source of wealth description as indicated In Section 2)
Primary Comby of write of wealth/source of Funds?
Rimay industry of source of Wealth/Sowce of Funds?
Provide Evidence of Corporate Assets (e.g. balance sheet or equ relent summary of assets/liabilities):
The source of wealth for this trust derives from Jeffrey Epstein. Please revert to his source of wealth for more details.
Estimated gross receipts p.a.(S):
1,000,000.00
Estimated net wont p.a. (5):
1,003,000.00
Estimated ow:gable assets (3):
SI WI - 2 MM
Potential Mown to be Invested with MN (5):
1,000,000.00
Other Known Financial Institutions:
InstttuUcn:
Country:
Est. Assets Under Mgt:
InstttuUcn:
Court'''.
Est. Assets Under Mgt:
InstttuUcn:
Court'''.
Est. Assets Under Mgt:
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a)
DB-SONY-000030B
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... U§192824269
EFIA_00019179
EFTA00168926
KYC Print
Page 8 of 10
DB PWN1 GLOBAL KYC/NCA: US/LaLArn/In til PART B
Rdatortthip Name
Risk Rating Canments:
Booking Center
0 NY
0 NY/Offshore 0
Ofirshcle
RDiskr43derate
2
High
Risk
YGulmul Chung
(Compliance Sombre)
El DB Employee
O DB Managed PIC
Trustee/Co-Trustee
O Bearer Shares
• DB is
4. Attachments
A. Type of Photo ID Provided
0 Drivers License ®Passport O National/State ID O Other
B. Checklist of names (Individuals and/or unities) that were h./omitted fa database searches Is attached
gym CI No
C. Please indicate the results of the database searches perfumed
ROC searches complete
r Yes O No
negative testes found
Ores 121 No
PCR checks complete
Ores O No
negative testes found
Ores 2 No
OFAC checks complete
®Yes O No
negative restAs found
Oyes 2 No
BIS searches complete (t.exismetis, move, Reuters, Dow Jones, DAB)
®Yes O No
negative teas found
O Yes 2 No
Denial Orders checks complete
Ores O No
negative testes found
Ores 2 No
Kara-dam-Hobbes searched (Lawyers/Law Firms only)
Ores 2 No
negative testes found
Ores O No
D. Please sawrarite any negative !woks from the database searches indicated above:
E. To the best of your knowledge, has the client ever been convicted of a criminal diens&
®Yes • No
F.
To the best of your knowledge, has the customer ever been waved in any past itigatico against
Deutsche Bank AG or any of es subsidiaries or Is the customer threatening litigation against Deutsche
Bank AG or any of Is subsidiaries? (if Yes, poilde cleat Wow and matter cluaAryNgt aa&liWintVor, O Ye5 @ No
me Re9utflon, Coney/ Crony amino* Compiance emnediately)
G. Does the client or related party have any (Kendal or other association / interactions %Rhin countries or Dye, 2 No
regimes sanctioned by the Office of Foreign Assets Control (OFAC)?
H. Doun
m the client or related party have any finandal or other associatbni interactions MUM high risk
Doggy
• Yes n No
co
?
I. Corporate Denomination Attached (Legal Entities Only)
®Yes 0 No 0 Not Applicable
3.
undisdosed Prindpai Form Complete (Intenneciaries Only)
arm O No e Not Applicable
K. If Lexismexis search Results, Corporate Documents or Other SuppoMng Documentation Is not in English, please provide an Engash summary of the nature/contents
of the nal-English Documentation:
L. Special Risk Factors
Does the amount have Nexus to Special Risk Quart?
Ores gbi No
Is the account structure unusualy complex?
O Yes @ No
Is thee any indcation the client set up a non operating company expressly for
o
yes ® No
the purpose of transferring Mares to third parties?
ts there any indication the could be a prohibited business relationship?
O Yes e No
Are the bearer shares identified subsea to acceptable controls?
O Yes @ No
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0)
DB-SDNY-0000307
https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... UM92814270
EFIA_00019180
EFTA00168927
KYC Print
Page 9 of 10
N. Case Comments
Created By
Date
Comments
rowsun Chung
3/16/118 10:52 MI
The client Trust is registered in US VI, not USA.
Matthew-3 Purcell
2/13/11B 11:13MI
This KYC saves as a high risk renew for the new dent The 2017 Caterpilar Tiust (referred as "atcountholder) -
Below are the reasons why we are ccmiortatte with approving this KYC:
. Information and suggesting documents required by moat Poky were provided and reviewed; and as a result we
lave an understanding of the structtre of the accountholders, their purpose, the purpose Cl the accounts and expected
Yansacticn acUvhy.
. There are a few risk factors asscdated with the accounthcider-
SOW: The UBO (Jeffrey Epstan) is the fonder of Soulhan Trust Company Inc, which manages clients assets. SOW
ratification was obtained.
Negative Media & PEP: Thee is some negative media against Mr Epstein and he is also maintain a dose
retail:rung with Bil Clinton and Prime Andrew. Please see risk calculator fa more infomiatlon. Appropriate approval
,.as obtained.
, Ott review dd not idently any red flags and thus there was no need to escalate this case hither.
, We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists
Cynthia Rodriguez
2/B/118 10:59 AM
Please Note: The 2013 Butterfly trust is listed as a beneficiary only Men the 2017 Caterpillar Trust terminates. Sere
his beneficiary does not receive the annual annuity payments, it was not added as a parry. However, I have attached
TM bust aoreement and list of bench:lanes fa this trust as supped.
Gent Faring Professional (CFP):
stewart ddreld
(Signature)
stewart °Wield
2/4/2018
Office Directorreusiness Head:
Andrea F Gallivan
(Signature)
Andrew F Gallivan
2/8/2018
Regional Office Ditt1O1:
(Signature)
AML Business Risk:
(Signature)
AML Compliance:
Matthew-) Purcell
YCOASIMI Chung
(Signature)
Matthew-1 PLYCel
Towson Chung
2/13/2018
2/13/2018
Cent Facing Professional (CFP):
(Signature)
Account Manager:
(Signanne)
Globa Market Team Medd (GNITH),fSub.
tact Team Head (S.MTH):
(Signature)
AML Business Risk:
(Signature)
AML Convliance:
(Signature)
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM)
worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(l) (CFP's)
should establish and maintain business relationships only with persons who smash/ our high standards of suitability,
background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the
responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing
basis.
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(e)
DB-SONY-0000308
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EFIA_00019181
EFTA00168928
KYC Print
Page 10 of 10
DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is
correct and up to date. I confirm that! have no suspicions relating to the money laundering or unethical activities on the part
of the client(s) and that! have followed all the procedures relating to account opening as described in the PWM Americas
Procedures and the PIM Global KYC Policy
(I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Cyficers, Broken, Client
Managers, etc.
Deutsche Bank Americas New York
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0)
DB-SDNY-0000309
https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9Di&e... U§192824272
EFIA_00019182
EFTA00168929