KYC Print

KYC Print Page I of I I DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01135524 Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: SOUDIERN FINANCIAL RELATIONSHI Booking Center I New York Relationship Manager: Paul Morris J New PWM Relationship K Ensting PWM Relationship Relationship to PWM: If exisbng, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ■ Client Referral 2 RM Prospect K Intermediary/Mal K Othe Source (CIB, etc.) How Was the Client(s) Introduced' Flow long has the PM personally known the client' Please provide details (e.g. name of referral source, ow many years RM personally has known cknt, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paufs at JP Morgan. Paul and Jeffrey Epstein had mutual filerid/crAleague who Introduced them while RILII was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to brig some of Ns funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar ■ yes 12 No compensation to a third party for the introduction of thn relationship' al ref tote) List all existing and new accounts evolved si this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 2 NeMune LLC 10/16/2013 2 El Neptune LLC .. Money Market 10/16/2013 Who Is the primary contact person for the Rat? (Note: This person needs to have signatory rights and/or information fight for the accounts.): Harry Beier Preferred method of contact (ndicate phone no., fax no., e-mail address, etc.): SDNY_GM_00039772 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL -PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002696 EF1'A_0015038I EFTA01253300 KYC Print Page 2 of 11 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Neptune LLC Pat. Nero:: aranriBtlie Account Manager: Paul Morris What is the purposed the account (e.g. portfotio management, advisory account, custody services, longterm investment, paymenbexpense account)/ Checking account used for the daily needs of running Jeffrey Epstein's home In NYC. Indicate from where the assets are expected to Nine' O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account details): e Other Institution (Indicate name & location): 3PMorgan. New York O Physical Depostis (specify cash, sectaries, cheques, ...): What Is the expecte:1We and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)," Roughly 10 infkiws and outflows per month ranging from $,1000 to $10,000 What is the expected volume ct assets and currency for the account approx. 90 days after opening, I 5C" I Currency I USD What is the expected volumed assets and currency for the account approx. one year after opening? 110000 1Currency I USD Does/VAII the client have Assets Under Management (Audi) within 06 under Eur. 3M/ Dyes E No Please list ad parties related to the account. For each party: • Check de 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 elation to the account in the "Other column. • Always describe the relationship between the parties I the last olumn. • Please dnl down to the oh-nate/underlying Beneficial Owner(s). _egal5escnption Entity,( Source of Wealth required Parties related to his account AccounWIC Holder Onnerlrust/ Settlor of Founder of Foundation JItirnate Beneficial 'enter Sagnatory_imrtedkinancial or Full POA >OA Intermediary (FIN) Significant Sharetiolderstepresentative (> =25%) Non-PIC entity (indicate ownership r`b) _egal Grants/Settle coundingOther Donor • (please describe other roles and/or indicate relationship between parties) 1 ii) 1Z Nep LLC tune, ., L-1 O O O O O O O 2 0 63 ./dtrey Epstein ri " 0 0 El 2 0 • U 0 0 3 O O HanY Bar O O O • 0 O • O • • SONY_GM_00039773 Imps://dbforcepb.my.salesforcGCNEJIDEATJA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002597 EFTA 00150382 EFTA01253301 KYC Print Page 3 of 11 2. Account Ownership Summary Account Name: Neptune LLC -- Money Market Acct. Number (if ay.sdabCo) Account Manager: Paul Morris What is the purpose d the account (e.g. portfolio manag ment, atheism account, custody services, longterm investment, payment/expense account)' Money Market to hold funds necessary to run the costs associated with Jeffrey Epstein's NYC home Indicate from where the assets am expected to arrive? O DB Group: Same Booking Center (Instate account number): 0 DB Group: Other Booking Center (indicate DB location and account detail): 2 Other Institution (Indicate name & location): 3PMorgan. NYC 0 Physkal Defrost (specify cash, %cooties, cheques, ...): What Is the expected size arid 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 91,000 to $10,000 What is the expected volume d assets and currency fa the account approx.90 days after opening' 15000 I Currency I USD What is the expected volume of assets and cwrency for the account approx. one year after 110,000 I opening' Currency I USD Does/Nil the client have Assets Under Managenent (AuM) within CO under Eur. 3M? • yes 5 No please 1St aN parties related to the account. For each party: • Check Ile source of wealth description is required for the pant. • Check the appropriate box to describe the relationship or the party to this account (> 1 can be selected). • If non of the check boxes apply, describe the partys relation to the account in the 'Other column. • Always describe the relationship between the parties in the last olumn. • Please dril down to the ultimate/underlying Beneficial Owner(s). .inbty _eganescnpbcn of Source of wealth ,equffed Parties related to this account AccounfRIC Holder Cemerlrust/ Settlor of Founder of Foundation Jltimate Beneficial Tuner Signaboryumrted or Full ON ?OA Financial Intermediary (Fled) Significant Sharehoiderlepresentative (>=25%) Yon-PIC entity (indicate ownership %) _egal Grantor/Settlor sounding:tiler Donor O (please describe other Mira, and/or indicate relabonshie between parties) 1 2 2 eptune, LNLC 2 O D O El O O O Ei 2 O g Jeffrey Epstein r l—1 • • El • • O O O • LI • Harry Belle r is • • • 5 • 0 • LI • SDNY_GM_00039774 Imps://dbforcepb.my.salesforca:tNEJIDairdiA19000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002598 EFTA_00150383 EFTA01253302 KYC Print Page 4 of 11 One sheet must be established for EACH INDIVIDUAL PARTY in Sect ion 2. Account Owneaship Summa 3A. Individual Details (for all pasta) Indinduat's Name: Jeffrey Epstein Date of Birth: County of Residence: USVI Country of Citizenship: USA Address of primary reresidence: Ltte Saint James Saint Thomas (0802 US Virgin Islands Has dent resided outside of his/her country of nationality for 5 years or more? Oyes 0 No Profession/Occupation: Self Empolyed Tax ID / 5511: Current Employer: Southern Financial LLC Position/TM/Rank: President Address of emPloYer: 6100 Red nook Quarter B3 St Themes USW 00802 Does the person work as senior executive ci a DO-recognized regulated entity In the financial ndustry' or an entry listed on a DB-recognised exchange, (Not applicable for operating entitles"Ye. n ONO Is the individual a Poetically Exposed Person (PEP)?/, Yes, desmbe) O MS 0 No To the best of your knowledge, is the individual related to an employee of the DB group'( ef Family or Friendship, °Waite) OFamily ORiendship EA 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, suppler of goods or servkes)'fr Ye:tient< ) OYes 0 No ((applicable, indicate which bank officers have met the person: Indicate where and when the c rent rreetng(s) took place: Bank Officer Name(s) Bank Office: Client Private pamirak: Client Hated Business: Other Location (specify): Date: Paul Mors O 0 9/13/2013 • O O • El 0 III O Wealth Details for this inclIncluel are not filled in, because they are the ante as for the b aking stem: 3$. Wealth Details (Only for parties requiring source of wealth description as Imitated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source c4 Funds' Sun-mate Source of inkath: 2 Business Owner O Salary/Earnings 0 investment O inheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the histcry of wealth or each of the scums: (e.g. For trusts, how did setdor accumulate wealth' For inhernance, how did (array accumulate wealth?For business owners, how long in business, how many employees, level of profitatilty? Indicate type of business, countries of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., nunagng 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 SArgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. has wealth has come from his days at Bear Steams and ho financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Wortfs(S): $100 MM - 500 MM Amount of assets planned to nvest with PWS1($): Other Known Financial Institutions: InstWbon: JPMorgan County: USA Est Assets thlder Mgt 200,000,000.00 SONY_GM_00039775 https://dbforcepb.my.salesforCCINBIDEArdiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002599 EF1'A_00150384 EFTA01253303 KYC Print Page 5 of 11 Institution: Country: Est Assets Under Mot: [ Institubon. Country: Est Assets Under 14ot Pease indicate the family situabon of the individual (m rrtal status, other (amity members, etc.): SONY_GM_00039776 ilt t ps://dbforcepb.my.salesforcaINEJIDILchilidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002600 EFTA_00150385 EFTA01253304 KYC Print Page 6 of I I One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indus:loafs Name: Harry Beller - 00000487202 Date of Birth: County of Residence: USA Country of Citizenship: USA Address of primary residence: Has dent resided outside of his/her country of nationality for S years or more> O yes EZNo Prole-soon/Occupation: Accountant Tax ID / 5511: Current Employer: KIRK Associates PotitiOn/TPM/Ranic Address ce employer. 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senior executhre of a DB-recognized regulated entity In the financial ndustry' or an entity kW on D8-recognised exchange? (Not applicable for operating entitles n Yes ONO Is the individual a Poetically Exposed Person (PEP)1(if Yes, *sate) O MS 0 No To the best of your knowledge, is the individual related to an employee of the DB groupW Family or Friendshy, descnbe) D Fa mihr O Friendship R None To the best of your knowledge, is the individual party to a non-banking relationdup with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services)>0f Yes,cfesarbe) O Yes 0 No ((applicable, indicate which bank officers have met the person: Indicate where and when the client meetirxXs) took place: Bank Officer Name(s) Bank Office: Olent Private Domidk: Client Plated "rosiness: Other Location (specify): Date: Pate Mont • • 0 9/13/2013 O O O F1 O O O Wealth Details for this indixklual are not filled in, because they are the same as for the fdiowing person: 38. Wealth Details (Only for pages requiring source of vrealth description as indicated in Section 2) Nature of the Individuars Business: Primary Country of source of wealth/source of Funds' Primary industry of source of WeatIVSource of Fords' Summarize Source of Wealth: O Business Owner O Salary/Eamings I:Investment OInheritance/Gits 00ther: Further Describe Source of Wealth /Detail the bitty of wealth or each of the scorers: (e.g. For trust, how did settler accumulate wealth' For inhentance, how did (amity accumulate wealth?For business COMM, how long in baseless, how many employees, level of profitatdity? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income(S): Estimated amount of Investable assets(s): Estimated Net Worth(S): Amount of assets planned to nvest with PWM($): Other Known Financial Institutions: Institubon: Country: Est Assets Under Mgt: Institution: County: Est ASsetS Under Mgt Instfb.thon: County. Est Assets Under Mgt. S0NY_GM_00039777 Imps://dbforcepb.my.salesforCCINtErlaceNniliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002601 EF1'A_00150386 EFTA01253305 KYC Print Page 7 of 1 I Please indicate the family situation of the ndividual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Neptune, LLC • 00000487264 Type of Entity: OFoundation/Association O Trust EICanpany O Estate O Pedro:N*0 a. . " rpm a Entity: 0 Private Imestrnent O Philanthrcpic/Chantable 0 Commercial Type d Entity Other (specty): Oth Purpose of Entity er (specify): Country of ircorporabon/registration: USA te in Dacorporaticn of / registration: 12/21/2011 Volcker Status: Volcker Flag: Address (city, street, post code): 6100 Red Hook, Quarter B3 St, Thomas 00802 USVI US. TIN/EIN: 45-4093384 Provide a description of the entity's organbational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocatility,settior and beneficiaries,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership d the legal entity is reflected: Single member LLC. Capital contribution d 5.1000 was made by Jeffrey Epstein who is the sole member • Special attention: Bearer Shares • Indicate where shares are custcdied: Descnbe the chain from the drect owner of the entity to the ultimate beneficial owner Of not the same persons): Single member U.C. Jeffrey Epstein is the sole member To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)>: r—i yes No L.1 Describe Nature of Entity's Priming Business and Investment Activities Nature of the business: This LLC was formed to hold the funds ne ry cessa to cover the costs and taxes associated with wring Jeffrey Epstein's NYC home Countries where business Is transacted: USA Number of emPloYecs: 1 1 3D. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2) Primary Country of source of wealth/source a Funds! Primary Industry of source of Wealtli/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabeties): This LLC is funded my contsbutions made by Jeffrey Epstein. Estimated gross receipts p.a.(5): Estimated net profit pa. (5): Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM (5): 20,000.00 Known Financial Institutions: Other Institution: JPMorgan Country. USA Est. Assets Under Mgt 20,000.00 Institution: Country: Est. Assets Under Mgt Institution: Country: Est. Assets Under Mgt SDNY_GM_00039778 https://dbforeepb.my.salesforeCCINErilDIEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002602 EFTA_00I 50387 EFTA01253306 KYC Print Page 8 of I I DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship NAM! SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comment: Boodle Center Offshore NY/ Offshore [E Offshore Offshore0 Moderate Risk fl i c_i High Risk Janke Franklin .4 . NY (Compliance Signature) PIC Trustee/Co-Trustee 0 Bearer Shares IN DB Employee • 08 managed • 06 is 4. Attachments A. Type of Photo ID Provided ®Drivers License SZI Passport ONational/State ID 00ther B. Checklist of names (Individuals and/or entitles) that were submitted for database searches Is attached r Yes 0 No C. Please Indicate the results of the database searches performed RDC 2 0 negative found 2 0 searches complete Yes No results Ya No Pat checks complete 2 yes Clio negative results found 0 Yes No CFAC thetas complete 12Ires C No negative result found Ora gl NO BIS searches complete (Leds/Nes, Factiva, Reuters, Dow Jones, EX9B) RI Yes 0 NO negative results found Oyes El No Denial Orders checks complete g Yes C No negative results found Ora 2 No Martindale-Hubbell searched (Lawyers/Law Firms only) Ora RN* negative results found Ova • No D. Please summarize any negative results from the database searches Indicated above: NEPTUNE LLC: See attached AML Clearance -- The ROC alert was a false hit Negative Media: MI negative media is not our tient Al negative media either predates cur dents formation (2011) or is another LLC. Our Neptune LLC Is a single member LLC that runs the operations of a home JEFFREY EPSTEIN: See KYC *01082293 and 801121718 for previous KYC approval and aN pertaining document HARRY BELLER: Negative Media: Not our client All negative melt pertain to an environmental microbiologist Our client is an accountant Court Cases: 81: Deposed In 1967 Al other cases are not ow dent. The other court cases refer to a Dr. Harry Beller. Our dent is an accountant E. To the best of your knowledge, has the client ever been convicted MacWrite' offense' 2 Yes 0 No F' To the best of your knoWedge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening legation against 0 yes nNo Deutsche Bank AG or any of its subsidiaries" (if yes, payee details baby and contact (Slay Mgt (Laternantl)ortbe Regulatory Control Gaup and notly Compliance immediately) G. Does the client or related party have any financial or other association / interactsees within countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? Ores E No H. Does the client or related party have any financial or other association/ Interactions within high risk oya n No countries? L Corporate Documentatin Attached (Legal Entities Only) g Yes 0 No ['Not Applicable I. Undisclosed Principal Form Complete (mntermedianes Only) 0 Yes 0 No ®Nat Applicable K. T1 Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summery of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' Ores EN* Is the account structure untsualy complex? SDNY_GM_00039779 https://dbforcepb.my.salesforcettaNErilDnEgiNitidiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002603 EFTA_00 I 50388 EFTA01253307 KYC Print Page 9 of 11 O y e s E No Is there any indkation the client set up a non operating company expressly n for the purpose of transferring shares to third parties' LI Yes E No Is there any Indication this could be a prohibited business relationship/ O Yes E No Are the bearer shares Identified subject to acceptable controls/ Oyes E No SONY_GM_00039780 https://dbforcepb.my.salesforeCLINErilEatiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002604 EFTA_OOI 50389 EFTA01253308 KYC Print Page 10 of 11 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Monis 10 i3 2013 Office Director/Business Head: Brian H. Biggar (Signature) Brian M. Biggar 10.8:2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AM1 Compliance. Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 10/17/2013 10/17/2013 LATAM/INTERNATIONAL APPROVALS Client Facing ProfessMnal (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Garin/Sub-Market Team Head (SWF(); (Signature) MIL Business Risk: (Signature) MIL Cempllance: (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 Professionals) (1) (CFP 's) should establish and maintain business relationships only with persons who satisfy our high standards of suitabili0i, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they blow their client both at the inception of a 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. 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. Doutstho Bank Amorkas Now York SDNY_GM_00039781 Ilt t ps://dbforcepb.my.salesforCCINEJIDWidEAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002605 EFTA_00150390 EFTA01253309 KYC Print Page II of II SIDNY_GM_00039782 https://dbforcepb.my.salesforcaINErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002606 EFTA_00150391 EFTA01253310