Case File
efta-efta01253078DOJ Data Set 9Other.De*Eithe:tie"•?ttS:el
Date
Unknown
Source
DOJ Data Set 9
Reference
efta-efta01253078
Pages
3
Persons
0
Integrity
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at 6#.-000011$
9466:9320 •
SDNY_GM_00038586
CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e)
DB-SDNY-0001410
EFTA_00149195
EFTA01253078
Account Title and Joint ApplinationInfernifitifin
se0thern Financial LLP•
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Remo of Accomilitla
Nast name, first name. middle initialler Nosiness
41$471902
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f/iirnburix Taxpayer ID Stoners.
'gees name., first name. middle Mitiag
Social Security NuMbir or Taxpayer ID Nurriber
SiSILISesUSSOLOWICRUIL- • •
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Menne
Address'
tsurn- 1
Stars
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M41721;a20.
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Busmen, Telephone Number"
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040 08531.4,0 0niNornortr•
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Dean of Empleyer
ACIMCSS.
City; Stme ime•TipC.oee
Addiels '
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City. State one Tip Code
Noticeof ituoorper. Identification Policy
Mtportant Information
To help the governinent fight the funding of terionsinend money laundering activities, Federal law requires all liminCial
institutions to obtain, verity,. and-
that identifies each pertonWho establishesenaccount.investritent or
other Waits relationship with a financial institution. This means that we will ask. for your name. address. and other
information that with aeon ue to identity you: We may alio ask' to see ijeniiiying documents such es a codificite of
• formation or good standing (legal entities) or a passpori ix other photo identiticatioa (indiniduals).
,30.E0 Notice
•
GoYanimental rules have also broadened the. scope'Of
flank•sobtigations io aid in the fight ageinelmeney laundering
end teerMistlinenOng;these rulei call for an active'•Involvernent of both asset management'llirrns and their chums. For
new and existing clients we currently have a legal Obligation to ask our customers questions regarding their identities:
addresses, source of.funda and. if necessary, legal reptesentaMms, authorizedaigemories, beneficial owners or control
structures and to collect requisite documentation tpairbsientiatothe info:Motion. Also enhanced anti-moneylliUndcring
arqUirornonti require that should any of the above parsanal or institutional information Omaga,ayr inertia would be
•
obliged to immediately notify uS•oi the changes) end.preyidetys With' nifeyentdricionentatiail.te VenihrithrilSO clWAMIS•
Telephone, Facsimileor Email InstructiOnS
By eigning.teiow: you agree that from time to time you may give instructions by telephone, facsimile of email regarding
the above captioned accounfial (defined herein as -Verbal Instructions'). his understood that the Mk of Verbal
Instructions being given by psison or. persons purported lo.be you is•ythir own. Absent the gross negligence•or walkst
misconduct of.Deusche.Elank Trust Company Americas (OSTCA),YOniagnisi to indemnify and hold harmless OBTCA for
arty:claim's, lases, expenses cdattor attorneys' fees resulting frentOBTCA's acting upon such misunderstand 'and
unauthorized Verbal Inetructiiint you understand ntat DBTCA'rnay. !RR aluilloca be requited Utast* verification 01 your •
verbal, facsimite or email instructions by tell back. In case of doubt, petcA may in its sole diicrMion reluie to execute
your Verbal lnstructions or any part thereat Without Mcurring any liability..001ra is under no Obligation:M*6c* your •
:Verbal Instructions to transfer funds or secorities to any accounts) wiinoy!i;fritien instnreddits beating your original
Signature.
•
Joint Account Disclosure
.
.
'Yon have opened • Mint "taunt With OBTCA and acknoWledge receipt of ihe belloWleginformailon, This deposit and any
additions to theaocountahall tecornothe property of ea0howner as joint tenants, and.DBTC4 may rektise.ihe entire- '
account Many owner during the lifetime of all owners: DEITCA may hOnOr ohecks, orderi or Withdrawal requests from
any owner during the Materna. of all owners. The Bank may be required by service of legal Prokosettirernif funds held in.
the joint accoum to satisfy a judgment entered.against. or other valid debt incurred bY:any owner of the account. DINKA
May honer checks. cridera70( withdraWal requests from the survivonsi after the death el anyoWnens) and may treat-tail.
account as the sole oropailic el the stmt./G*10ker the deethof any or/net(s). Unless DaTC.A receives written notice .
signed by any owner not to pay of detail': any join; deposit or addition or accrual, D.BTCA shah not
liable to any Owner,
Tor continuing to honor checks: orders or withdrawalrequests from any owner. After. the mega:not tho nuticatrpftrred to
in the'provious sentence, OBTCA4rieyrequinstly) written euthorization.ol any or al jOini owners for aniinfihar PtiViOnneti
or deliveries.
2
13.11W040101
017959.011013
SDNY_GM_00038587
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED R CRIM. P. 6(e)
DB-SDNY-0001411
EFTA_0O149196
EFTA01253079
ir
ATM/Debit: $eMce
'Matadi& 'Illgtil*letentioneuOtti Ctl.dwATIvlaibit card conetistis 4e:enplanes oftOterms and conditions of the
AgreamentiOgriteinsidlit'llie TOSiiiand COnditioni.ed. DepOsit
-
Internet Barlking.SerViCe.
Ityou haw selected to receive Internet flanking:Services. You understand that you will be reisuliad to error into a
lapareie:Mtemet•ganIdng.Senrices Agreement with DBTCA before you can access the Internet Banking Service.
Acknowledgement Of:Receipt of NO./icy Ncitice
By signing biknie, you adknoWledge receipt of bEfTeks Pii6aCy Notice included in the ApPlii-aV0.9 Package.
Non-US Individuals: Confirmation of*Te?tancl•CornplianoefiesponSibilities,
You confirm that it is youi teipptiSibility-to fulfill any tax 004i:ions and any other. •regulifory reporling duties applicable.
Is you ;II any relevant juriauticete :Set may arise in Canitiotl6h:With assets; income or tranaSetionsksyoui itecciss(s).
and yOur business bilgibbshib-wo DBTC,A.
. . • ..
•
Non-US OtoanizatiOnt:-.Confiernation'of Tajc:and Compliance Responsibilities.
Yinknotifilm that it is Youi resiionlibilitY.tolunili any lug ohligeiioria and any other regulatory reporting Duties applicable
CO it in' nyTrelevantjulisdintions that may arise' in connection with assets; iricorrieottiatisections juyourtitecising(s) and
Yout bOilneas relationship with 001CA. Eurtherrignu.yeni cOnfirth thatthe .necasearyInforriiationAto the best Oil SOO/.
knowledge and capabilities) is made available no re.“ than annually to. the relevant beneficial tie/Sale). tuitikSe(11:
benefielitry(ies),,panniy(t),:et to enabletiithater/ them to (OM any respobtiva Uli Obligalkins that may arise far hirii/hari.
*OM Ucconnection
your busin'e'ss relatiOnship With:DEiTCA.
•
.
Please complete and attach separate W:78 et W:P clothirpeptetiphas 106dd/ie..
Terms. and Conditions and Representations
.
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.. . . ..
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.
By Mining below you acknoWleilge receipt of the:Ternis end Conditions ki.OUSIOWASIourits attached to this
APPlicatIcin and agree to Si bOun0 bythern: Intiddition:YoUattietto notify us inwriedlaiely of anymateriel changeUS
die information provided by you on this AppliCatiOn.
You represent and
that all of the infoiinatlisn Provided by you On thiS Aeolic:Won illaiaisid.
The Terms and Conditions for Deposit Acceuntsam so •jectio change.
Athapta
YOu
*triad by. oerrcA.
Saint
.t fleasect stratus —
•Ie: •
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Onitr Reviewed by.
Far
Na
"•":.
uato
btu
Date
At
•
by DATCA:
-71/1A-JEC-7CAC
("..410C
.Date
CONFIDENTIAL
1 SAWM-010I
013959 032013
SDNY_Gh4_0003&588
CONFIDENTIAL — PURSUANT TO FED R. GRIM. P. 6(e)
DB-SDNY-0001412
EFTA 00149197
EFTA01253080
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