KY(' Print

KY(' Print Pagel of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Cost: y : 01791049 One sheet must be established per relationshi - list all accounts included in the relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00030483290 Booking Center: New York ReLationeup Manager: Stewart Oldfeld • New FWM Relationship 2 Eiisting PWM Relationship ReLatiorehip to PWM: If misting, please indicate since when the relationship exists, provide reason for new profile and attach old profile: """This Mt is a perb:lic review for high nsk remediationnit Original KYC1133377 2 Client Referral O RH Prospect O Intermediary/PIM O Other Son (CIB, etc) How Was the Client(s) Introduced? How long has the RM personally known the client? Please provide details (e.g. ame of referral source, how many years RM personally has known client, etc): Stew Oldfield reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changes to the accounts. Rich Kahn confirms that he is now the sole owner and signor of HBRK Associates. Hs main source of wealth derives from this company. Darren confrms no matenal changes to has PLC Does Deutsche Bank pay a retrocession or similar O Yes I 2 No compensation to a tNrd party for the introduction of this relationship? (/f Yes aescnae)t List all existing and new accounts involved in this reLatiorishp Legal Entity AccouM(s) Account Name / Number Opening Date (intended/actual) 1 liBRK Associates, Inc- Depose 11/1/2013 2 2 Darren K. Indyke PLC- tepee 11/1/2013 Who is the primary contact person a the PM? (Note: TNs person needs to have signatory nglt andfor Information right for the account.): Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY_GM_00037422 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000246 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148034 EFTA01252911 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: NBRK Associates, Inc- Deposit Acct. Number (if avaiable Account Manager: stavait oldfleld What is the purpose of the account (e.g. portfoler management, advisory account, custody services, long-term Invesbnent, payment/expense account)? Cheddng account to hold fords for daily use for the company. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution — (Indicate name & location): 1:1 Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected sue and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)?: 0-1S inflows/outlfovis between lk and 6k on a monthly basis What is the expected volume of assets and cLrrency for the account approx. 90 days after opening? 100000 I CtirrencY I USD What is the expected volume of assets and chancy for the account approx. one year after opening? 1 163601.98 I airrencY I USU Does/will the client have Assets Under Management (ALM) within Ce under Eut. 3M? OYes 2 No Please list all parties related to the account For each party: • Check if a source of wealth description is reared for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • f none of the check boxes apply, describe the paths relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). r egal tnUtyof Description Source of Wealth required Parties rated to Eccount AccountPIC Holder Owner Settor of Trust / Founder ofriwner Foundation JIUmate 3enefkcialor SignatorwimeedFinancial Full POA DOA IntermediaryShateholder (FIN) Significant (>=25%) von-PIC entity ',ndicate ownership ,r,) Legal Reptesentaave Grantor/Settlort)oxding or !parties) O Other (please describe other roles and/or Indicate relationship pe tween I ID 2 FIBRK Associates, Inc 2 O El O O O O O O 2 O FA RicKhahn D. ard • • O 0 El O O • O • SONY_GM_00037423 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000247 https://dbforcepb.my.sale,sforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148035 EFTA01252912 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Darren K. Indyke PLLC- Deposit Act Number ( I available): Account Manager: stewart oldfield What is the purpose of the account (e.g. portfolio management, advisory accorn, custody services, long-term investment, payment/expense account)? Chedong account for the daily use of the this law firm Indicate from where the assets are expected to arrive? 2 DB Group: Same Booking Center (indicate account number O DB Group: Other Booking Center (indicate DB location and account details): • Other Institution - (Indicate name & 'pardon): • Physical Deposits (specify cash, secuntes, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: 0.15 infkres/outflows between 1k and 15k on a monthly bass What is the expected volume of assets and currency for the account approx. 90 days after opening? 110050D I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1295086.86 I Currency I USD Does/mil the denthave Assets Under Management (AtM) within DB under Err. 3M? Olt J No Please list all parties related to the account Far each party: • Check if a source of wealth description Is regind for the patty. • Check the appropriate box to describe the relationsNp of the party to this account (> 1 an be selected). • f none of the check boxes apply, describe the paths reLabon to the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill down o the ultimate/underlying Beneficial Owner(s). regal Intityof Description Source of Wealth required Parton related to the account AccountFIC Holder Owner Senior of Trust / Founder oflOwner Foundation Simate Benet-calor Signet Full PO* Imite.inandal A IntermediaryShareholds (FIM) Significant (>=25%) Yon-PIC entity (indicate ownership Yo) Legal Representative trantor/SettIctroundinsiCitnd Donor ;please descnbe other roles and/or naccate -donorship zetween -,artes) I O Darren K. Indyke O D O 2 2 O O O O O 2 El 3 Darren K. Indyke PLC I2i O O O O O O O O O SONY_GM_00037424 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ONFIDENTIAL DB-SONY-0000248 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148036 EFTA01252913 KY(' Print Page 4 of 12 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OWnershlo Summa 3A. Individual Details (for all parties) indtekluars Name: Darien K. Indite - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outode of his/her country of nationality for 5 years or more? No O Yom Profession/Occupation: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Posttion/Title/Rank: Address of employer: 575 Lexington Ave, 4th R LMngston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the Mandel ndusby? or an entity listed on a CO-recognised exchange? (Not applicable for operating entitles El Yee 0 No Is the individual a Politically Exposed Person (PEP)?(Y Yes, describe) O YeS 2 No To the best of your knowledge, is the individual related to an employee of the 08 group?(1 Fame) i or Frienosko, desaite) O Family • Friendship 74 None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, dent referral source, supplier of goods or services)?(/ Yesdesoibe) No • Yes ca If applicable, indicate which bank officers have met the person: Indicate where and Mien the client meetirg(s) took place: Bank Officer Name(s) Bar* Office: Gent Private Domicile: Client Place of Business: Other Location (speofy): Date: O O • O O O 1:1 • • • Wealth Details for this individual are not filled ri, because they are the sane as for the following person. 3B. Wealth Details (Only for pastes requiring source of wealth descnption as indicated in Section 2) Nature of the IndMduars Business: Attorney Pnmay County of scarce of wealth/source of Funds? Primary irdusby of source of Wealth/Source of Funds? Summarize Source of Wealth: Owner 2Salary/Eamings O Other: a Business 0 Investment • Inhentance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how red setdor accumulate wealth? For inhertance, how did family accumulate wealth?Fct business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor actmtles, important business partners.) Darren has been an in-house lawyer for Jeffrey Epstein at Southern Finery:el LLC for over 15yrs, wherein his man source of income derives from. Southern Francis' LLC is a current dent of DB. See case 1082293 as a reference. Mr. Indyke also owns his own legal practice called Darren Irdyke PLLC, as well as smaller LLCs for his own personal investments. Estimated Annual Income(S): 300,000.00 Estimated amount of investable assers($): $1 MM - 2 MM Estimated Net Worth($): $2 MM - 5 MM Amount of assets planned to invest with PWM($): Other Known Emended Institution: Institution: Country: Est. Assets Under Mgt: Insboition: Country: Est. Asset Under Mgt: SDNY_GM_00037425 DB-SONY-0000249 7/11/2019 EFTA_00148037 EFTA01252914 KYC Print Page 5 of 12 Institubon: I Country: Please indicate the family stuatan of the indivclual (mental status, other family members, etc.): at Assels Under Mgt: SDNY_GM_00037426 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000250 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148038 EFTA01252915 KY(' Print Page 6 of 12 CONFIDENTIAL- PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Indtekluars Name: Richard D. Kahn • 00000466407 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outsde of his/her country of nationality for 5 years or more? O Yes cudNo Profession/Occupation: AccounlaM Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Title/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entitles O Yes 0 No Is the individual a Poldcally Exposed Person (PEP)?(/ Yes, describe) O yes 2 No To the best of your knowledge, is the individual related to an employee of the DB group?(, 'amebic( Friends* desaite) O Family • Friendship 74 None To the best of your knowledge, is the indhedual party to a non-baniang relationship with Deutsche Bank (e.g., external legal courser, client referral source, supplier of goods or senAces)?(d Yescfesoibe) •Yes RIND If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took pace: Bank Officer Name(s) Bar* Office: Gent Private Domicile: Client Place of Business: Other Location (speofy): Date: O O • O O O • • • • Wealth Details for this indrvidual are not filled 111, because they are the sane as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth descnpnon as indicated in Section 2) Nature of the IndSiduaFs Business: Accountant Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: 'in Business Owner 0 Salary/Earnings O Investment • Inhentance/Glfts O Other: Father Describe Source of Wealth /Detail the history of wet' for each of the sources: (e.g. For vests, how did minor accumulate wealth? For inhertance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of mayor activities, important business partners.) Rich Kahn has been an in-house accountant for Jeffrey Epstein for over 10 years. He began HBRK with another in house accountant Hairy Beller. Mr. Beller is now retired and Rich has taken over ownership of this entity. Assets come from the rates he charges for his accounting services. Estimated Annual Income(s): 116,000.00 Estimated amount of investable asset$): <$1 MM Estimated Net Worth($): <$1 RN Amoixt of assets planned to invest with PWM($): Other Known France Institutions: Institution: DB Country: USA Est. Assets Under Mgt: Insttution: Country: Est Assets Under Mgt: SDNY_GM_00037427 DB-SONY-0000251 7/11/2019 EFTA_00148039 EFTA01252916 KYC Print Page 7 of 12 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... Institution: I Country: Please indicate the family situation of the indivodual (mantal status, other family members, etc.): at Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Darren K. Indyke PLC - 00000487220 Type of Entity: El Foundation/Association O Trust 2 Company 0 state O Partnership Purpose of 811:4: O Private Investment O Flaanthroptc/Chantabe Commercial Type of Entity Other (specify): Purpose of Entity Other (spedfy): Country of incorpotabon/registratan: USA Date of incorporation / reastration: 9/5/2008 Volcker Status: Determination Required Volcker Rag: No Address (city, street, post code): 575 Lexington Avenue New York NY 10022 United States U.S. TIN/UN: 300503949 Provide a description of the ercity's organizational structure, ID ownership structure and rts Top revocablity,settlor and benefiaanes,etc: Single member PLLC with Darren K. Indyke as the sole member and owner ndude infomiabon about Man t. For trusts/foundatans, Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member and owner O Special attention: Bearer Shares - Indicate where shares are custoded: Desaibe the than from the direct owner of the entity to the ultimate beneficial owner (d not the sane persons). Single member PLLC with Darren IC Indyke as the sole member and owner To the best of your knowledge, is the entity party to a non-banksng relationship with Deutsche Bark (e.g. external legal counsel, client referral source, suppler of goods or services)?: Yes O No Describe Nature of Entity's Primary Business and Investment Acthittles Natire of the business: taw practice. This is Darren Indyke's private law firm. Countries where business is transacted: USA Number of employees: I 3D. Wealth Profile (Only for parties requiring source of weath desorption as indicated In Section 2) Pnmary Curvy of soLrce of wealth/source of Funds? Pnmary Irclusby of source of Wealth/Source of Funds? Provide Evidence of Corporate Asses (e.g. balance sheet or equivalent summary of asseisniabilities): Asses come from the rates he charges clients fat his law services Estimated gross receipts p.a.($): 300,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be nvested with PWM (5): 100,000.00 Other Known &andel Institutions: Ingestion: Pflorgan Country: USA Est. Assets Under Mgt: 500,000.00 Institution: Country: Bt. Assets Under Mgt: Institution: Country: Bt. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary SDNY_GM_00037428 DB-SOW-0000252 7/11/2019 EFTA_00148040 EFTA01252917 KYC Print Page 8 of 12 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: HBRK Associates, Inc - 00000487223 Type of Entity: O Foundation/Association O K . Purpose of Entitle: O Private Invistment O Phdanthrodc/Chantable Commerdal Trust RI Company • Estate • Partnership Type of Entity Other (speofy): Purpose of Entity Other (spedfy): Country of incorporation/registration: USA Date of Incorporation / registration: 8/29/2008 Volcker Status: Determination Required Volcker Rag: No Address (city, street, post code): 575 Lexington Avenue, 4th Fl New York NY 10022 United States U.S. TIN/EIN: 30-0503838 Provide a description of the entity's organizational sbucture, its ownershp structure and es Top Management. For trusts/foundations, rdude information about revocatility,settke and benelidanesetc.: Richard Kahn s 103% owner and signor of this entity. Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Beller 50% owner O Special attention: Bearer Shares - Indicate where shares are custoded: Describe the chain from the direct owner of the entity to the ultimate tenefiaal owner Plena tire same persons). Richard Kahn is 100% owner and signor of this entity. To the best of your knowledge, is the entity party to a non.banking reboonship with Deutsche Bar* (e.g. external legal counsel, dient referral source. suppler of goods or services)?: Yes O Noe Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Acoounting fen Countnes where business is transacted: USA Number of employees: 2 3D. Wealth Profile (Only for par ;es requiring sauce a' meats dexiiptcn as indicated in Section 2) Pnmary Country of source of wealth/source of Funds? Pnmary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Ich Is an in-house accountant for Jeffrey Epstein. His started this company with Harry Beller who ratted. The company assets comes from the fees he charges or this service. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 300,000.00 Estimated investable assets ($): 451 MM Potenoal Amount to be invested with PWM (5): 200,000.00 Other Known Frontier Instrubons: Insotution: DB Canby: USA Est. Assets Under Mgt: 203,000.00 Insotution: Country: Est. Assets Under Mgt: Insotution: : Est. Assets Under Mgt: SDNY_GM_00037429 DB-SONY-0000253 7/11/2019 EFTA_00148041 EFTA01252918 KYC Print Page 9 of 12 CONFIDENTIAL — PURSUANT TO FED. R. t I ON FIDENTIAL https://dbforcepb.my.salesforce.corn/servlet/servlet.lntegration?lid=01N30000000D9Di&e... DB PWM GLOBAL KYC/NCA: US/1st/kin/Intl PART B VA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Bodong Center I 2 NY OOffshore NW O offshore Risk Omoderate O mo Risk Yodisun Chung (Compliance Signature) O DB Employee D De Managed PIC O DB IS Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided El Divers License O Passport O Natictial/State ID O Other B. Checklist of names (individuals and/or enabes) that were submitted for database searches is attached 2 Yes El No C. Please indicate the results of the database searches performed RDC R1 O found O FZI searches complete l'eS No negative results Yes No PCR checks complete In Yes • No negative results found O Yes RI No OFAC checks complete Yes • NO negative resits found Ores 2 No BIS searches complete (Leds/Nexis, Fame, Reuters, Dow Jones, MB) A let • NO negative results found Ores 2 No Denial Orders checks complete PI Yes O No negative results found O Yes 0 No Martindale Firms found -Hubbell searched (Lawyers/Law only) Oyes IR1 No negative results Ores O No D. Please sumrrenze any negatve results from the database searches indicated above: DARREN K. INDYKE: No negative Media No court cases NEW YORK STRATEGY GROUP, LLC: No negative media No court cases DARREN K. INDYKE PLLC: No negative media No court cases HBRK AcAnNATES INC: No negative media No court cases RICHARD KAHN: Approved KYC X01082193 AML Clearance attached to this KYC Not barred from NYSE Area and he was cleared twice as seen in the attachments HARRY BELLER: Negative Media: Not our client. All negative media pertains to an environmental nwroddogist. 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 Cr. Harry Seller. Our dent is an accountant JEFFREY EPSTEIN INSURANCE TRUST: No negative media No court cases JEFFREY EPSTEIN: Previously KYC'd and approved in: 01082293 and 01121718 E. To the best of your knowledge, has the client ever been convicted of a cnmmal offense? • Yes O No F. To the best of your knowledge, has the customer ever been invoked ri any past litigation against Deutsche Bank AG or any of As subsidanes et is the customer threatening litigation against O Yes E21No Deutsche Bank AG or any of asubsdanes? K (If Yes, provide defogs belay and contact Qualey Mgt. (Lat4m/Int1)& the Regulatory Control croup and notifyCompliance immeciakly) G. O Yes ®No SDNY_GM_00037430 DB-SONY-0000254 7/11/2019 EFTA_00148042 EFTA01252919 KYC Print Page 10 of 12 Does the client or related party have any financial or other assocabon / interactiors 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 asscoabon/ Interactions within high risk n Yes LJ countries? 1 2 1 No I. Corporate Documentaoon Attached (Legal Entities Only) Yes O No • Not Applr_able J. Undisclosed Principal Form Complete (Intermediart Only) O Yes O No RI Not Applr_able K. If Leas/Nobs Search Results, Corporate Dxumenis or Other Supporting Documentation IS not in English, please provide an English summary of the rature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? at 12 ta Is the account struch.re unusually complex? at 0 tip Is there any indication the client set le a non operating company expressly D yes 2 No for the purpose of transferring shares to third parties? Is there any Indication the could be a prohibited business relationship? ElYm 2 Pk. Are the bearer shares identified subject to acceptable controls? Dyes 0 No SONY_GM_00037431 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000255 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148043 EFTA01252920 ICY( Print Page 11 of 12 CONFIDENTIAL - PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... M. Case Comments Created By Date Comments C,nt' :!a: cr iu,.: /;17/1171:05 PM Dated resolution adached kshiui Golan 7/18/117 1:01 PM HBRK Associates Inc and Darren K Indyke PLLC (accountholders) have been clients of DB since 2013. Below are the reasons why we are comfortable with approving this update/high risk review - • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accoultholders, them purpose, the purpose of the accounts and expected transaction activity. • The account holders' source of wealth and source of funds were sufficiently detailed and appears plausible • The account holders' source of wealth is via the company's operations, which is accounting frm/Law Arm. • Our renew did not identify any red flags relating to fraudulent ownership hence we believe the true ownership of the accountholder was 'denoted. • We performed due diligence searches on all key parties mxluding the client, UBOs and authorized signatories and did not And the names searched to be on any sanctions lists. Cynthia Rodrguez 7/17/117 1:25 PM purpose of the accounts and current activities have been reflected on the KYC Cynthia Rodrguez 7/17/117 1:05 PM * HBRK Cynthia Rodnguez 7/17/117 1:04 PM KBRK Incorporation dots attached to reflect ownership. Cynthia Rodrguez 7/17/117 1:23 PM Stew Oldfleld reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changesto the Accounts Cynthia Rodrguez 7/113/117 11:41 AM tax ownership document attached showing it kahn as sole owner. ONSHORE APPROVALS Client Facing Profesuonal (CFP): stewart oldfield (Signature) stewart oilfield 7/13/2017 Office PrectoriSustess Head: Andrew F Gallivan (Signature) Andrew F Cavan 7/14/2017 Regional Office Drector: (Signature) AML Bustess Risk: (Signature) 7/10/2011 7/18/2017 AML Compliance: Kshto,}Golam Yoonsun Chung (Signature) Kshlbj Golan' Yoonsun Chung LATAM/INTERNATIONAL APPROVALS Clent Facing Professanal (CFP): Account Manager: Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): i AML Stemless Risk: (Signa:ut , AML Compliance: (Signature) SDNY_GM_00037432 DB-SONY-0000256 7/11/2019 EFTA_00148044 EFTA01252921 KYC Print Page 12 of 12 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 Professionals1(1) (CFP's) should establish and maintain business relationships only with persons who swish, 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 bath. 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 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 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York SDNY_GM_00037433 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL DB-SONY-0000257 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00148045 EFTA01252922