KYC Print

KYC Print Page 1 of 17 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01121718 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: I New York Relationship Manager: Paul Morris Relationship to PWM: 17 New PWM Relationship Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: New personal checking and money market for Jeffrey Epstein. This is an update of approved KYC NO1082293 where Jeffrey has already been approved. How Was the Clients) Introduced? How long has the RM personally known the client? r Client Referral I 57 RM Prospect I F Intermediary/FIM I r Other Source (as, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was a client of Paurs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JI3Morgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to llfflorgan Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? r Yes IF No (If yes, describe). List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F Southern Financial, LLC 8/19/2013 2 F Southern Financial, LLC 8/19/2013 Southern Trust Company, Inc. 8/19/2013 4 F Southern Trust Company, Inc. 8/19/2013 I5 F F Jeffrey Epstein 9/11/2013 6 F Jeffrey Epstein 9/11/2013 Who is the primary contact person for the RN? (Note: This person needs to have signatory rights and/or information right for the accounts.): Jeffrey Epstein Preferred method of ontact(indkate phone no., fax no., email address, etc.): 340 775 2525 Status : 6. Approved SDNY GM_00053638 CONFIDENTIAL - PURSUANT TO FED. R. littps://na4.salesforce.com/servlet AtririElpr0pAt0D9Di&eid=5006000... 9/9/2013 DB-SONY-0016462 EFTA_00164219 EFTA01255037 KYC Print Page 2 of 17 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Fnancial, LLC Acct. Number Of available) 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. To hold funds for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): P. Other Institution (Indicate name & location): JPMorgan, NYC 1 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 2 inflows & outflows per month ranging from $1000 to $10,000. Mat is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 150,000 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. • Akway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legabescription Entityof Source of Wealth required parties related to s account AccountPIC Holder OwnerTrust Settlor of / =minder of l'ouridabon slItimate Beneficialor Owner Signatory-imitec nancial Full POA POA IntermediarySharehoider (FIM) Significant K>=25%) Non-P1C entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between 'parties) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 F F Southern Finantial LLC F F F F F F F 3 F F Southern Trust Company, Inc. F F F F F F F 100 Southern Trust is the sole member of Southern Friancial and Jeffrey Epstein s the sole shareholder of Southern Trust; SONY GM_00053639 CONFIDENTIAL - PURSUANT TO FED. R. IMps://na4.salesforce.com/seMet rpriCiEtfrpAt0D9Di&eid=5006000... 979/2013 DB-SONY-0016463 EFTA_00I 64220 EFTA01255038 KYC Print Page 3 of 17 2. Account Ownership Summary Account Name: Southern Financial, LLC Acct. Number (if available): 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)? Checking account to hold hinds for the company. Indicate from where the assets are expected to arrive? F 013 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate 013 location and account details): F Other Insbtubon (Indicate name & location): JPMorgan, NYC 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 10 outflows per month ranging from $1,000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after openng? 100,000 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 tither column. • Ahvay describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Ovnier(s). Legal Entityof Description Source of Weakh required Parties related to kills account AccountPlC Holder OwnerTrust Settler of / Founder of Foundation _Iltimate Beneficialor Owner Signatory Full POA _imitedflnancial POA IntermediaryShareholder (FIM) I(>-25%) Significant Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between oarbes) 1 F F Jeffrey Epstein F F F F F F F Sole shareholder of Southern Trust; 2 F r Southern Financial LLC F r r r F F r 3 F F Southern Trust Company, Inc. F F F F F F F 100 Southern Trust is the sole member of Southern Anemia, and Jeffrey Epstein s the sole shareholder of Southern Trust; SDNY_GM_00053640 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servle R. INN I l'-' DB-SONY-00 16464 litt p ip: EtnntAtoD9Di&eid=5006000... 9/9/2013 EFTA 00164221 EFTA01255039 KYC Print Page 4 of 17 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (if ayallab.eet. 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)? Checking account. To hold funds for company 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 08 location and account details): F Other Insbtubon (Indicate name & location): .WMOrgan, NYC 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 10 inflows and 10 outflows per month ranging from $1,000 to 410,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 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_imitecfRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full DOA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) t(>-25%) required Foundation `‘lon-PIC entity (indicate Other (please describe other roles and/or indicate i pities related to s account ownership %) relationship between ,arbes) 1 F F Jeff Jeffrey Epstein r F F F F F F Sole shareholder of Southern Trust; 2 F F Southern Trust Company, Inc. r f- r F F r- SDNY_GM_00053641 Ims://na4 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/serelet R. Fit-) 0D9Di&eid=5006000... 9/9/2013 PleEtfittA t DB- 016465 -00 16465 EFTA (H) 164222 EFTA01255040 KYC Print Page 5 of 17 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Number (if available). 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 funds for the company. 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): .WMOrgan, NYC 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 2 inflows & outflows per month ranging from 41,000 to 410,000 what is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150,000 Currency USD the account approx. one year after openng? 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 tither 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 Settler of Jltimate Signatory_imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) (>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate ?antes related to is account ownership Vo) relationship between ,arbes) 1 F F Jeff Jeffrey Epstein r r r F F F F Sole shareholder of Southern Trust; 2 F Southern Trust Company, Inc. F r F r r r r litt ntA . SDNY_GM_00053642 Pi ENI toD9Di&eid=5006000.. CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servlet R. Filb) I iirnI DB-SONY 9/9/2013-0016466 EFTA (()164223 EFTA01255041 KYC Print Page 6 of 17 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (if available). 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)? Checking account for Jeffrey Epstein's personal dairy use. Indicate from where the assets are expected to arrive? F 08 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY 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 15 inflows and outflows per month r nging from 5100-510,000. What is the expected volume of assets and currency for 50,000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100,000 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 tither 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 _imitecRnancial Significant Entity of Source Holder OwnerTrust / Beneficiatr Full °OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>-25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate p is itiesrelated to ac count ownership %) relationship between oarbes) 1 F F Jeffrey Epstein F F r r r r r SDNY_GM_00053643 CONFIDENTIAL - PURSUANT TO FED. R. ne) i ._, DB-SDNY-00 16467 Imps://na4.salesforce.com/servle RififfEWRACEDD9Di&eid=5006000... 9/9/2013 EFTA_OOI 64224 EFTA01255042 KYC Print Page 7 of 17 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (if available). 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 Jeffrey Epstein's personal funds. 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 Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY 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 1-2 inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for 100,000 Currency LSD the account approx. 90 days after opening? What is the expected volume of assets and currency for 200,000 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/untie ying Beneficial Owner(s). Legal Description AccountPlC Settfor of _Iltimate Signatory _imitedflnancial Significant Entityof Source Holder OwnerTrust / Beneficiatr Full 0OA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) K>"25%) required Foundation Non-PIC entity (indicate Other (please describe other roles and/or indicate is related to is ac count ownership %) relationship between ,arbes) 1 F F Jeffrey Epstein F F r r r r r SDNY_GM_00053644 litt e e AtRe) EN TIACL0D9Di&eid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/servle R. IiFI l'-' DB-SDNY-0016468 EFTA_00I 64225 EFTA01255043 K NIT Print Page 8 of 17 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth [DOB REDACTED] Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: [SSN REDACTED] Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas, USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Fnendship, describe) 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) r- i Yes 17 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: Client of Business: Place Other Location (specify): Date: Paul Moms r r F 4/3/2013 F 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: 35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investment r; Business Owner F Salary/Eamings 7 Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did sector accumulate wealth? For inheritance, how *d family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, .). Epstein & Co., managing the assets of client 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 Virgin Islands, which merged into Southern Financial LLC. All of his clients were anonymous except for the very wealthy businessman Leslie Werner. His wealth has come from his days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets($): $50 MM • 100 MM ($): Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($): 10,000.00 SDNY_GM_00053645 CONFIDENTIAL - PURSUANT TO FED. s://na4.salesforce.com/serele R. Filt DB-SDNY-00 16469 ho e e PleEtf t iTik 0D9Di&eid=5006000... 9/9/2013 EFTA_00164226 EFTA01255044 KYC Print Page 9 of 17 Other Known Financial Institutions: Institution: 3PMorgan Country: USA F.St. Msets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal status, other family members, etc.): Single SDNY_GM_00053646 CONFIDENTIAL - PURSUANT TO FED. R. Fit) DB-SONY-0016470 Imps://na4.salesforce.com/serelet FIDEN APTL0D9Di&eid=5006000... 9/9/2013 EFTA_001 64227 EFTA01255045 KYC Print Page 10 of 17 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Anancial LLC - 00000483882 Type of Entity: i-- Foundation/Association r- Trust 1'7 Company F Estate F Partnership Purpose of Entity: F Private Investment F Philanthropic/Chantabte F Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: US Virgin Islands Date of incorporation / registration: 2/25/2013 Address (city, street, post code): 6100 Red Hook Quarter 63 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocalal ty,settlor and beneliciaries,etc.: Southern Trust Company Inc is the sole member of Southern Anancial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: 1- Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same pawns). To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes 1— No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This business is funded by Jeffrey Epstein's wealth. This company was formed to old Mr. Epstein's personal wealth and invest in different ventures. This company nests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein Countries where business is transacted: US Virgin Islands Number of employees: 3 3D. Wealth Profile (Only for parties requinng source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet The initial funding in February 2013 was $1,000 from or equivalent summary of assets/liabilities): he sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit pa. ($): 1,500,000.00 Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWM ($): 300,000.00 Other Known Financial Institutions: Institution: I JPMorgan I Cou ry: Country: I USA I Est. Assets Under Mgt: 1,000,000.00 SDNY_GM_00053647 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fi t) DB-SDNY-0016471 litt s://na4 FIBEifillkt 0D9Di&eid=5006000... 9/9/2013 EFTA_00I 64228 EFTA01255046 KYC Print Page II of 17 Est. Assets Under Mgt: I Ins=ton: I Institutlon: ' Country: Country: Est. Assets Under Mgt: I Imps://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. 1Ntr I SDNY_GM_00053648 IBEWITAL 0D9Di&eid=5006000.. 9/9/2013 DB-SONY-00 16472 EFTA_00164229 EFTA01255047 KYC Print Page 12 of 17 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Southern Trust Company, Inc. - 00000483883 Type of Entity: r Foundation/Association r- Trust F Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: US Virgin Islands Date of incorporation / registration: 11/18/2011 Address (city, street, post code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin islands U.S. TIN/EIN: 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, inckide information about revocabil ty,settlor and beneflcianes,etc.: Please indicate how ownership of the legal entity is reflected: F Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons) To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Financial and Biomedical algorithms. Southern Trust s a private consulting company that invests the assets of their clients and gets their revenue from the return of these Investments. Southern Trust invests In different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets Countries where business is transacted: VS Virgin Islands Number of employees: 4 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): 2,000,000.00 Estimated net profit p.a. ($): 1,500,000.00 Estimated investable assets ($): $2 MM - 5 MM Potential Amount to be invested with PWM (S): 300,000.00 Other Known Financial Institutions: Institution: 3PMorgan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: SDNY GM_0005.3649 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/serviet AttliriEtefAt0D9Di&eid=5006000... 979/2013 DB-SDNY-00 16473 EFTA_00 164230 EFTA01255048 KYC Print Page 13 of 17 Institution: I I Country: IEst. Assets Under Mgt: SDNY_GM_00053650 littps://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. Att IDE11911t 0D9Di&eid=5006000... 9/9/2013 D8-SONY-0016474 EFTA_OOI 64231 EFTA01255049 KYC Print Page 14 of 17 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F NY/Offshore F Offshore !Ir k Mader' iv High Risk Jacqueline Lightbody (Compliance Signature) F DO Employee F DB Managed PIC F DB is Trustee/Co-Trustee E Bearer Shares 4. Attachments A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID r- Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes F No searches b attached C. Please indicate the results of the database searches performed RDC searches complete F Yes F No negative results found F Yes F No KR checks complete F Yes E No negative results found F Yes r - NO OFAC checks complete F Yes F No negative results found F yes F NO BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, r yes r. No negative results found F Yes F No D&B) Denial Orders checks complete F yes r No negative results found F yes P- No Martindale-Hubbell searched (Lawyers/Law Firms only) F yes F No negative results found F Yes F No D. Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: RDC Alert *I -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris KR Alert *1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our chent. FINANCIAL INFOMATICS INC: No negative media No court cases 1 Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been chased FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are dosed E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? 57 Yes F No F To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or arty of its subsidiaries or is the customer F Yes F No threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt ((at/WI/Intl) or the Regulatory Control Group and notify Compliance immediately) SDNY_GM_00053651 CONFIDENTIAL - PURSUANT TO FED.l R. File) I i DB-SONY-00 16475 Ims://na4.salesforce.com/serve PlFfEW At0 r0p D9Di&eid=5006000... 9/9/2013 EFTA_00 164232 EFTA01255050 KYC Print Page 15 of 17 or Does the client related party have any financial or other association / Interactions G r Yes F No within countries or regimes sanctioned by the Office of Foreign Asset Control (OFAC)? H Dorm the client or related party have any financial or other association/ interactions ' wan high risk countries? r Yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable ). Undisclosed Principal Form Complete (Intermediaries Only) r yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Document or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: SDNY_GM_00053652 CONFIDENT AL - PURSUANT TO FED.l R. At) l Ii D8-SONY-0016476 Ims://na4.salesforce.com/servet pfrff EttintAtoD9Di&eid=5006000... 9/9/2013 EFTA_00I 64233 EFTA01255051 KYC Print Page 16 of 17 M. Case Comments Created By Date Comments Janice Franklin 9/5/2013 11:56 AM See KYC 1082293 for Senior Business Management's approval to go forward with client adoption ss. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris ;Signature) Paul Morris 9/4/2013 Office Director/Business Head: Brian M. Biggar (Signature) Brian M. Biggar 9/4/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Janice Franklin Jacqueline Lightbody (Signature) Janice Franklin Jacqueline Lightbody 9/5/2013 9/5/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manages: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY GM_00053653 p CONFIDENTIAL - PURSUANT TO FE .salesforce.com/servle D. R. Int s://na4 e istreEN At0 TP D9Di&eid=5006000... 979/2013 DB-SONY-00 16477 EFTA_00164234 EFTA01255052 KYC Print Page 17 of 17 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(1) (CFPs) should establish and maintain business relationships only with persons who sail* our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CEP. 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 of my knowledge and belief the above information is correct and up to date. I confirm that 1 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 is) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York VA SONY_Ght00053654 hit a4. sal esforce. com/servletR(14 lipE9411:AZD9Diaceid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED. R.131R TorP. 6(b) DB-SDNY-0016478 EFTA_00164235 EFTA01255053