KYC Print

KYC Print Page I of I I DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01161376 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: 17 New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Oient(s) Introduced? How long has the RM personally known the dient? 17 Client Referral F RM Prospect I- Intermediary/FIM r- Other Source (CIB, etc.) Pleaseprovide details e.g. name of referral source, how many years RM personalty has known client etc.): works for M. which is owned by Jeffrey Epstein. Jeffrey introduced to us Does Deutsche Bank pay a retrocession or similar compensation to a third party for the Introduction of this relationship? F Yes F No (If yes, desaibe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F and Karyna Shuliak 12/16/2013 2 f and Karyna Shuliak -- Money Market 12/16/2013 Who is the primary ciiiiiicit person for the RM' (Nme This person needs to hare signatory rights and/or Information right for the accounts.): Preferred method of contact(indicate phone no., fax no., email address, etc.): Status 6. Approved https://na4.salesforce.com/serviet CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053523 Ft) DB-SONY-0016347 PlifirfEWITACL0D9Di&amp;eid=5 12/17/2013 EFTA_00164104 EFTA01255026 KYC Print Page 2 of 11 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: and Karyna Shuliak Acct Number Of available). Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio sn ement, advisory account, custody services, long-term investment, payment/expense account)? Checking account for the daily use of and Karyna Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): 3PMorgan. New York F Physical Deposits (specify Cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month r nging from $100 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 10000 Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 10000 Currency USD Please list all parties related to the account. For each party: • Check if a 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 relation to the account in the Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal5escription Entityof Source of Wealth required Parties related to account AccountPIC Holder OwnerTrust Settler of / =minder of •:ouriliation slItimate Beneficialor Owner Signatory..imitec nanaal Full ?OA POA IntermediarySharehoider (FIM) .q%) is Significant (>=25%) Non-PLC entity (indicate ownership Dther (please describe other roles and/or indicate relationship between )arties) 1 F F Karyna Shuliak F r F F F F F 2 r- F F F F F F F F https://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053524 PEE DB-SDNY-00 16348 lifirfEWITACL0D9Di&amp:eid=5 12/17/2013 EFTA_00 I 64 I 05 EFTA01255027 KYC Print Page 3 of 11 2. Account Ownership Summary Account Name: and Karyna Shuliak -- Money Market Acct. Number (ifavailable). Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold their Joint funds and earn interest Indicate from where the assets are expected to arrive? 7 08 Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York 7 Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and 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 $100 to $10,000 What is the expected volume of assets and currency for 10000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 10000 Currency USD the account approx. one year after opening? Please list all parties related to the account For each party: • Check if a 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 relation to the account in the 'Other column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of _Iltimate Signatory_imitedflnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) r>-25%) required Foundation Non-PIC entity (indicate Other (please Jescribe other roles and/or indicate p i ates related to s account ownership %) relationship between ,arbes) 1 F F Karyna Shuliak F F F F F F F 2 r F F F F r F F r https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. SDNY_GM_00053525 - lifirrEepAt0D9Di&amp:eid=5 12/SONY-0016349 DB17/2013 EFTA_OO1641O6 EFTA01255028 KYC Print Page 4 of I 1 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Tax ID / SSN: Current Employer: In Position/Title/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r- Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Frenarstvp, descnbe) F Family F Friendship F 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, supplier of goods or services)?(if Yes,descnbe) y— yes '— Ito No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: ClieM Place of Business: Other Location (specify): Date: Paul Moms r r F 12/3/2013 r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: LLC Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business how many empl level of profitability? Indicate type of business, countries of major activities, important business ht Siners.) works for M . M which is the that is used to run Jeffrey Epstein's New York City home. The legal address for his in the USVI but the home is located at 9 East 71 st is the head of the household and any maids chefs, etc report to her. She makes sure that all operations run smoothly. This account is not being created to run the household but for and Karyna's personal funds. Estimated Annual Income 150,000.00 Estimated amount of investable assets.($): <$1 MM (S): Estimated Net Worth(S): <$1 MM Amount of assets planned to invest with PWM(S): 20,000.00 Other Known Financial Institutions: Imps://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053526 Atb) DB-SONY-0016350 lifirfEISMAND9Di&amp;eid=5 12/17/2013 EFTA_00164107 EFTA01255029 KYC Print Page 5 of 1 1 Institution: JPMorgan Country: USA Est. Assets Under Mgt: 60,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the (amity situation of the individual (mental status, other family members, etc.): Married to Karyna Shuliak https://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053527 - lifirfEltieAt0D9Di&amp;eid=5 12/SDNY-0016351 DB17/2013 EFTA_00 1 641 08 EFTA01255030 KYC Print Page 6 of 11 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Karyna Shuliak - Date of Birth: Country of Residence: USA Country of Citizenship: Slovakia Address of primary residence: Profession/Occupation: Student Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: Is the individual a Politically Exposed Person (PEP), (f Yes, describe) r- You F, No To the best of your knowledge, is the individual related to an employee of the DB group7(if Famdy or Fnendshp, dcscnbc) F Family r Friendship F 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, supplier of goods or services)7(if Yesciescnbe) r yes F No If applicable, indicate which bank officers have met the person: Indicate whe e and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Morris r F F 12/3/2013 F r r r r r r 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 source of wealth description as indicated in Section 2) Nature of the Individual's Business: Student Summarize Source of Wealth: r Business Owner F Salary/Eamings F Investment r- Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, count' f ma r vibes, important business partners.) Karyna does not have an income of her own. Her lifestyle is supported by her wife, Estimated Annual Income ($): Estimated amount of investable azets($): <$1 MM Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_Ghl_00053528 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servle frittliDefrpACE)139Di&amp;eid=5... 12/17/2013 DB-SDNY-0016352 EFTA_00164109 EFTA01255031 KYC Print Page 7 of 11 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to SDNY_GM_00053529 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/seryle R. Fi t) DB-SDNY-00 16353 lut s://na4 e e PIDEIT t ITA 0D9Di&ainp;eid=5 12/17/2013 EFTA_00164I I0 EFTA01255032 KYC Print Page 8 of 11 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center F NY I- NY/Offshore I— Offshore 1- Moderate Risk --: iv High Risk (Compliance Signature) DB Employee DB Managed PIC 1— De is Trustee/Co-Trustee 1— Bearer Shares 4. Attachment A. Type of Photo ID Provided F Drivers License F Passport f— National/State ID f— Other Checklist of names (individuals and/or entities) that were submitted for database B. r Yes F No searches is attached C. Please indicate the results of the database searches performed RDC searches complete r Yes ENO negative results found r- yes F NO PCR checks complete F yes f- No negative results found I— yes Frio OFAC checks complete F Yes 1- No negative results found 1-- Yes F NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes i-- No negative results found r Yes F No D&B) Denial Orders checks complete F Yes r No negative results found r Yes r•.,- NO Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found 1— Yes f— No Please summarize any negative results from the database searches indicated above: No Negative Media No Court Cases KARYNA SHUUAK: D. No Negative Media No Court Cases M . Previously KYC approved. See Case #:01141322 for relevant attachments E. To the best of your knowledge, has the client ever been convicted of a criminal offense? r Yes F No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (Lat4m/Int1) or d7e Regulatory Control Group and notify Compliance immediatdy) the client or related party have any financial or other association / interactions G' ' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? r yes F No Does the client or related party have any financial or other association/ interactions H. p Yes F NO within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) F Yes 1.- No F" Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English lutps://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. SDNY_GM_00053530 It(b) I-1 DB-SONY-0016354 plifirf El lf0ACL0D9Di&amp:eid=5 12/17/2013 EFTA_001641 I I EFTA01255033 KYC Print Page 9 of 11 summary of the nature/contents of the non-English Documentation: https://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. SDNY_GM_00053531 Atb) DB-SONY-0016355 lifirfEtf0At0D9Di&amp:eid=5 12/17/2013 EFTA 00164112 EFTA01255034 KYC Print Page 10 of 11 M. Case Comments Created By Date Comments Melisa Venegas 12/13/2013 12:39 AM works for and is the head of Jeffrey Epstein's household, the employees n the house repo to her. is owned by Mr. Epstein, and based on his high rt risk profile, we Iso ave a high risk to this case. We haven't found any negative information or articles Inks to Mr. Epstein. This account is not being created to run the household but for and ryna's personal funds. Janice Franklin 12/13/2013 1:27 PM Please see KYC 1082293 for information regarding Mr. Epstein, a current PEI client. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris ,Signature) , aul Morris 12/10/2013 Office Director/Business Head: Brian M. Biggar (Signature) Brian M. Biggar 12/10/2013 Regional Office Director: (Signature) Aft Business Risk: Melisa Venegas (Signature) Melisa Venegas 12/13/2013 AML Compliance: 3 Franklin o/b/o J. Lightbocty (Signature) 3 Franklin o/b/o J. Lightbody 12/13/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP) - (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SNITH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) hops://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. SDNY_GM_00053532 P t(b) 1—° DB- 016356 -00 16356 lifirrEtetAt0D9Di&amp:eid=5 1 12/7/2013 EFTA 00164113 EFTA01255035 KYC Print Page 11 of 11 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWAV 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 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 of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy 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. Dortocho Bank Arno lcas New York SDNY_Ght00053533 hupslina4.salesforce.com/servle fristriDE13411tAL/D9Datamp;eid=5... 12/17/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016357 EFTA_001641 14 EFTA01255036