EFTA Document EFTA01282264

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01121738 Status : 6. Approved One sheet must be established 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY REtATIONSHIP: Booking Center: N'-t. mi rk Relationship Manager: Pad Morris w .4 New PWM Relationship O Exciting PWM Relationship Relationship to PWM: II existing, please indicate since when the relationshi exists, provide reason for new rook and attach old proffle: New personal chaffer:9 and money market for Jeffrey Epstein. This S an update of approved KYC $01082293 where Jeffrey has already been approved. • Client Referral El RM Prospect O Intermediary/71M O Other Source (as, exc.) How Was the Chang') Introduced, How long has the RM personalty known the clients Meese provide details (e.g. ante of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was a client of Paul's at ./P Morg n. Paul and Jeffrey Epstein had a mutual frlendffoleague who Introduced them while Paul was at WMorgan. Over the course f a few meetings Paul was able to get Jeffrey to bring some of his funds over to JOMorgan Does Deutsche Bank pay a retrocession or similar • Yes 110 No conipensatto toe third party for the introduction of this relationslic, (71 Yes, descnbe): list all existing and new accounts invoked in this relationship Legal Entity Account(s) Cunt Name / Number Opening Date (ntended/adual) I O Southern Finandal, LLC 8/19/2013 2 El Southern Financial, LLC 8/19/2013 3 RI Southern Trust Company, Inc. 8/19/2013 4 12 Southern Trust Company, Inc. ti19(2013 5 I21 Jeffrey Epstein 9/11/2013 6 5 Jeffrey 'PStenl 9/11/2013 Who is he primary contact person or the Rme (Note: This person needs to have signatory rights and/or Information right for the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): 390 775 2525 Sadonsh - list all accounts included in the relationshi SDNY_GM_00037667 https://dbforcepb.my.salesforCCINEADailIJIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DE-SDNY-0000491 EFTA_00 148276 EFTA01282264 KW' Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Southern Financial, !IC Acct. Number Of available) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, longterm investment, payment/expense account)/ Money Market. To hold funds for the company. Indicate from where the assets are expected to ante? El DB Group: Same Booking Center (Indicate account number): El DB Group: Other Booking Center (Indicate DB location and account details): Fr .4 Other Ina/ration (Indicate name & location): JPMorgan, NYC El 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 $10,030. What is the expected vokime of assets and currency for the account approx. 90 days alter opening, I I Currency I USD What is the expected volume of assets and currency for the account approx. one year alter opening? 1150,000 I Cana." ' USD DoesAvil the client have Assets Under Management (MM) within DB under Eur. 3M? Dik•S 0 tdo Please list all parties related to the account. For each party: • Check t a source of wealth escription Is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f non of the check boxes pply, describe the party's relation t the accot.it in the `Other column. • /Wray descnbe the relation hip between t e parties n the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). C inancial coal :abb.)! Description Source of Wealth retuned Parties related to this Account AccountplC Holder OwnerTrust Senior of / Founder of Foundation Monate Bend iciabr >erne, Signatormantect Full POA 'NM Intermettlan/Sharehoklerlepresentatbe (FIN) Significant > -25%) Non-PIC entity indicate ownership ,0) egal Srantor/Settbr Founding Other please describe Aber roles and/cc ndicate relationship between Unties) Donor 3 O 0 se" Epstein O O O O O O O CI O 0 Sok shareholder of Southern Trust; 2 El 0 Southern Financial LIC NI in [ -1 ri rl (7) El 11 ITI 3 5gl Southern Trust Company, Inc. • O CI O O O O 100 O O O Southern Trust is the sole member of Southern and Jeffrey Epstein is he sole shareholder of Southern Trust; SDNY_GM_00037664 hups://dbforcepb.my.salesforcaaNtallacMUN0000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000492 EFTA_00148277 EFTA01282265 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Southern Financial, tic Am. Number (f warlable) Account Manager Paul Moths What is the purpose of the account (e.g. pertfolio management advisory account, custody services, long.tern Investment, payment/emense account)' Checking account to hold funds for the corrpany. Indicate from mime the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate OB location and account details): El Other InstAution (Indicate name & locationk lfliorgan, NYC O Physkal Decosits (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)y: Roughly 10 Slows and 10 °Wm..' 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' I I Currency I USD What is the expected vc4urne of assets and currency for the account approx. one year after opening? 1 100,000 I Currency I USD Does/will the client have Assets Under Management (AuM) wthin 011 under Fur. 3bo 0 Yes gl No Please list all parties related to the account For each party: • Check I a source of wealth description is required for the party. • Check the appropriate box to desert* the relationship lithe party to this account (> 1 can be selected). • If none of the check bows apply, describe the patty's Sefton t the account in the 'Other' token. • Always describe the relationship between the patties in the last column. • Please drill down to the ultimate/underlying Benetkial Owner(s). -egaliDescriptbn Entityol Source of Wealth required Parties related to this account Accounb?IC DymerTrust/ Settler of Founder of Foundation Atimate 3eneficia Owner gnatorytimtedrinancial r Ful InterinediarySharehokierRepresentative (FIN) Significant ,>n25%) NoniPIC entty ,indicate ownership %) egal GrantonSettlotounding Other please irscribe other roles and/or ndkate ciationship ietween levities owe Holder POA 1 O N E pstee Jeffrey i, • • O N O • • • • Sole shareholde of Southern Trust; 2 12 WI Southern Financial IC pi El Ei3 O O si O O O O 3 Ira O Southern Trust Company Inc. ri '—' . O O O O O 100 O O O Southern Trust Is the sole "veneer of Southem Financial and leffrey Epstein h the sole shareholder of Southern Trust: SDNY_GM_00037669 https://dbforcepb.my.salesforcCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000493 EFTA_00 148278 EFTA01282266 KYC Print Page 4 of 14 2. Account Ownership Summary Account Nan*: Southern Trust Company, Inc. Acct. Number rdavaladet. Account Manager Paul Morris what is the purpose of the account (e.g. portfolio management, advisory account, custody serykes, long-term investment, payment/expense account)' Checking account. To hold funds for company Indicate from where the assets are expected to arrhte? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 12 Other Institution (Indicate name & bcationk 1Pliorgan, NYC O Physkal 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 pe month)?: Roughly 10 aillows and 10 outflows per month ranging from $1600 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening', I I Currency I USD What 6 the expected volume of assets and currency for the account approx. one year after opening, 1100,000 I Currency I USD Don/will the client have Assets Under Management (AuM) witNn DO under Eur. 3M? n Yes . No Please list all parties related to the account For each party: • Check I a source of wealth descrIptkin is required for the party. • Check the appropriate box to desatbe the relationship tithe party to this account (> 1 can be selected). • If none of the check bons apply, describe the party's relation t the account in the 'Other' cokxm. • Always describe the relationship between the parties In the last cokann. • Please dill down to the ultimate/underlying Beneficial Owner(s). -egallDescriptian Entityof Parties related to his account AccounDPIC DwnerTrust Settler of / Founder of Foundation -Iltimate 3enericialor Owner SignatonninsteiFinancial RA POA GnernedarySharehoklerRepresentatse (FIN) Significant ,>=25%) Non-PIC entity ,indicate ownership %) .egal rrantortSt•ttiorrounding Other please describe other roles snd/or ndxate dationshlp between >aches) Source of Wealth requited Donor Holder POA 1 III El Jeffrey Epste6 i, • • O O O O O • • Sole shareholder of Southern Trust; 2 El 0 Southern rust T_ompany, ,nt. roi O O • O O O O • O SDNY_GM_00037670 https://dbforcepb.my.salesforeCLINEIDEgrNinliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000494 EFTA_00 148279 EFTA01282267 KYC Print Page 5 of 14 2. Account Ownership Summary Account Name: Southern Trust Company, Inc. Acct. Hunter rdavaledei. Account Manager. Paul Mon is What is the purpose of the account (eg. potato management, advisory account, custody services, long-term Investment, payment/expense account)? Money Market account. To hold funds for the co pang. Indicate from vane the assets are expected to arrive? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): 2 Other Institution (Indicate name & location )(Morgan, NYC O Physical Deposits (specify cash, securities, cheques, ...): What is the tweeted size and frequency of regular idioms and outflows for the account (Indicate estimated number and volume pe month)?: Roughly 2 inflows & 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, I I Currency I USD What s the expected volume of assets and currency for the account approx. one year after opening, 1150,000 I Currency I USD Does/vi the client have Ames Under Management (AuM) vAllin 06 under Eur. Ws • yes . . No Please Ilk all hordes related to the account For each party: • Check I a source of wealth desorption is required for the party. • Check the appropriate box to describe the relationship tithe party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation t the account in the 'Other column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egallDesattbn Entityof Source of Wealth required Parties related to his account AccounOPIC DwnerTrust Settler of / Founder of Foundation Jltimate ISignatorysinitectinancial 3eneficiabr Owner Ful POA 4termediarySharetiokterlepretentetive (FIM) Significant ,>•25%) Non.PIC entity ,indicate ownership %) _egal Grantor/Settlorrounding Otter please ieurte other roles and/or ndicate dationship oetween wiles) Donor Holder POA I O 0 Jeff Epsten rey m • • O 2] O O O • • Sole shareholder of Southern Trust; 2 23 21 Southern Irust _ompany, AC i❑r-A t , O O • O O O O • O SDNY_GM_00037671 https://dbforcepb.my.salesforeCLINErilDEgrialliAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000495 EFTA_00 148280 EFTA01282268 KYC Print Page 6 of 14 2. Account Ownership Summary Account Name: )eltrey Epstein Acct. Number (ifavailaWe): Account Manager Paul Morris What is the purpose of the accoum (e.g. portfolio management, advisory account, custody services, long term investment, payment/expense account)' Checking account for Jeffrey Epstein's personal daily use. Indicate from where the assets are expected to anise? O De Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (indicate DB location and account details): El Other Institution (Indicate name & location): Walorgan Chase. New York, NY O physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated Slows and outflows per month ranging from $100.510,000. number and volume per month)+: Roughly 15 What is the expected vekene of assets and currency for the account approx. 90 days after opening? 150,000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1100,000 'Currency I USD Does/call the client have Assets Under Management (AuM) whiln 011 under fur. 3M? • Yes 0 No Please list all parties related to the account for each party: • Check I a source of wealth description 6 required for the party. • Check the appropriate box to describe the relationship of the party to tins account (> 1 can be selected). • If none of the check boos apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last colonn. • Please drill down to the ultimatefunderlyhm Beneficial Owner(s). AgallDesciptian [mayor Parties related to .his account 'IC "Xynearust Settler of / Founder of Foundation iltimate Seneficialx Owner tignatory‘imitecifiriancial RA POA intermediary (Fla) Significant Shareho >=25%) ,51ort-PIC pray ,indkate ownership Rog egal eereentative *please describe other roles and/or ndicate elationship >etween Tarbes) Source of Wealth required Account ioldr. ROA `.kanter/SetUoicoundinOther Donor 1 O 0 kffrey Epstein a O O O O O O O O O SDNY_GM_00037672 https://dbforcepb.my.salesforCaNErilDnEgrNIAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED_ R_ CRIM. P. 6(e) DB-SDNY-0000496 EFTA_00148281 EFTA01282269 KYC Print Page 7 of 14 2. Account Ownership Summary Account Name: Jeffrey Epstein Acct. Number (Favaabley. 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 Epstern's personal funds. Indicate from where the assets are expected to arrive? O DC Group: Same Booking Center (indkate account number): O DO Group: Other Booking Center (Indicate DB location and account details): El Other Institution (Indicate name & location): JPFlorgan Chase. New York, NY O Physkal Deposits (specify cash, securities, cheques, ...): What is the epected size and frequency of regular inflows and outflows for the account (Indicate estimated Slows and outflows per month ranging from $1,000 to $20,000 number and volume per month)?: Roughly 1.2 What is the expected rearm of assets and currency for the account approx. 90 days after opening? I 100,000 Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 200,000 I Currency USD Does/w/ the awe have Assets Under Management (Aunt) within 043 under Eur. 3M? • Yes 0 No Please flat all nerd's related to the account For each party: • Check I 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 bons apply, describe the party's relation to the account in the 'Other <alum. • Ahrays describe the relationship between the parties In the last teflon. • Please drill down to the ultimate/underlying Beneficial Owner(s). -egaliDescriptbn [mayor Source of Wealth requited Parties related to .his acco Account ?IC mriceinist Senior of / Founder of Foundation JRJrnate 3eneficiabx Owner SignatotwirnibediFinauxial Full POA Intermediary (FIN) Significant Shortly >=25%) Non-PIC entity indicate ovaiershlp 36) eget careen `.kantor/SetUorfoundinOther 'please describe other roles ondior ndicate elationshp between Tanks) lob/... ?OA Donor O 0 Jeffrey astern 0 O O K O O O O SDNY_GM_00037673 https://dbforcepb.my.salesforeCLINErilDaatiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000497 EFTA_00 148282 EFTA01282270 K4/'( PT nt Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (tor .ill [tat t-.) Individuars Name: Jeffrey Epstein - 00000483289 Date of Binh: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Utte Saint James Saint Thorns 00802 US Virgin Islands Has client resided outside of M5/her country of ;enormity In 5 years or more' El yes No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Title/Rank: President Address of employer: 6100 Red hook Quarter 83 St. Thomas, USVI 00802 Does the person work as senior executive of a DP recognized regulated entity in the finance' ridustry7 or an entity listed on a Dave-cognised exchange' (Not appeal,* for operating entities CCTT • Yes [Ono is the indvidual a Politically Exposed Person (PEP)7(if Yes, dcsaibe) Oyes RI* To the best of your knowledge, Is the individual related to an employee of the Dt3 group'fr Family or Friendship, desaibe) O Famly O Friendship 21None To the best of your knowledge, is the indMdual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or senices)7(ric Yes,desaibe) Elves zra No LI applicable, indicate wfirch bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(%) Bank Office: Client Private Dominic: Client Place of Business: Other location (specify): Date: Paul Morris O I: 2 4/3/2013 ID O N O O 0 ID Wealth Details for this Individual are not filled h, because they are the same as for the following person: 39. Wealth Details (Only for parties requiring source of wealth description as Indicated In Section 2) Nature of the Indleidues Business: Private Investments Primary Country of source of wealtbrsource of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: ICI Business O Other: Owner • Salary/Earnings PiInvestment II Inheritance/Gifts Further Describe Source of Wea th /Detail the history of wealth for each of the sources: (e.g. For Dugs, bow did senior accumulate wealth' For inheritance, how did (amity 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 a an options trader at Bear Stearns and became a partner) n 1980. In 1982, Epstein founded his own Joanna' management firm, J. Epstein & Co., managing the assets of theists with more than a beim in net worth. In 1996, I pstein 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 Allan( lal U.C. Al of his clients were anonymous except for the very wealthy businessman taste Werner. HP wealth has con* from his days at Bear Stearns and his financial management firms Estimated Annual Income(1): 10,000,000.00 Estimated amount of investable assets()): 350 MM - 100 MM I stimated Net Wath($): $100 MM - KC MM Mount of assets planned to Invest with PV/M(1): 10,000.00 Other Known Financial Institutions: Institution Mangan ICountry: I USA I Est. Assets Under Mgt: 20,000,000.00 SDNY_GM_00037674 https://dbforcepb.my.salesforeCLINEIDEgrlardiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000498 EFTA (H) 148283 EFTA01282271 KYC Print Page 9 of 14 Institution: Institution: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family rnernbets, etc.): Single One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Somme 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: Southern Einancial LEC - 00030483882 Type of rutty: 0 Foundation/Association O This) 21Co mpan y O Estate O Partnership Purpose of Entity: Private Investment O PhilanthropkiChantable Commerce' O Type of Entity Other (specify): Purpose of Entity Other (specify): Country of Incorporation/registration. IS virgin Islands Date of incorporation / registration: 2/7517013 Volcker Status: Volcker Flag: Address (city, greet, post code): WOO Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: provide a description of the entity's organtratlonal structure, Its ownenflp structure and As Top Management. For trustfffoundations, include information abo, I i revocablllty,settlor and beneficiariesvetc.: Southern 1 rust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein Is the sole shareholder of Southern Dust Company Inc Please intkate how ownership of the legal entity is reflected: O 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 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, suppber of goods or services)': Yes 0 No LI Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: This buskiess Is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epsteins personal wealth and invest in different ventures. This company invests in real estate, equities, cormioditles, etc and gets Its revenue from the gains it makes in these Investments. It 6 a company formed to ingest the assets of Pk. Epsten Countries where business Is transacted: US Virgin Islands Number of employees: 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary industry of source of WealtIVSource of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of asseLsMabilities): The Pitial funding in February 2013 was $1000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross recelptS pa.(S): 2,000,000.00 Estimated net profit pa. (5): 1,500,000.00 Estimated investable assets('): <$1 NM Potential Amount to be invested spth PWM (S): 300,000.00 Other Known Financel Institutions: Institution: )PMorgan Country: USA Est. Assets Under Mgt: 1,000,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037675 Ilt t ps://dbforcepb.my.salesforcalNallaEgrNIIIAL000000D9DiSice... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000499 EFTA_00148284 EFTA01282272 KYC Print Page 10 of 14 Institution: I Country: 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: Southern Trust Company, Inc. - 00000483883 type of Entity O Foundation/Association O Trust @Company O Estate Purpose of Entity: 2Private Investment O Philanthiopk/Chantable O Commercial ll Partnership Type of Entity Other (specify): Purpose of Entity Other (specify): County of incorporatim/registration: US Tight Islands Date of incorporation / registration: 11/18/2011 Volcker Status: Volcker Hag: Address (city, street, part code): 6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. T1WEIN: 66-0779861 Provide a description of the era y's organizational structwe, Its ownership structure and its Top Management. For Wits/ oundatbns, include kilometer about revocability,settlor and beneficiariesetc.: Please indicate how ownership of the legal entity Is reflected: O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (rf mg 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 El No 0 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their dents 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 Counties where business is transacted: US Virgin Islands Number of employees: 4 I Est. Assets Undo. Mgt I 3D. Wealth Profile (Only (or parties requiring source of wealth description as Indicated in Section 2) Primary Country of source of wealthrsource of Funds' Primary industry of source of Wealth/Source of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetstiabilities): Consult and invest cent funds and gain revenue based on fees and returns Estimated gross recetts pa.(5): 2,000,000.00 Estimated net trete p.a. (5): 1,500,000.00 Estimated investable assets (5): $2 MM - 5 MM Potential Amount to be Invested Me PWM (5): 300,000.00 Other Known Financial Institutions: institution: IN4argan Country: USA Est. Assets Under Mgt: 2,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037676 https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000500 EFTA_001 48285 EFTA01282273 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatArn/Inel PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP qira Rating Comments: Booking Center 12I NY NY/Offshore El offshore VI Moderate isk CA CLI High Risk Jacqueline Lightbody (Complianc Signature) 0 08 Employee 0 DB Managed PIC 0 DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attadunenb A. Type of Photo ID Provided 0 Driver, License 0 Passport 0 National/State ID 0 Other R. Checklist of names (Individuals and/or entitles) that were submitted for database searches is attached 0 Yes Otto C. Please indkate the results of the database searches performed RDC searches complete ®yes 0 No negative results found Oyes 0110 PCR checks complete t•A yes 0 No negative results found 74 Yes 0 No OFAC checks complete 0 Yes • No negative results found ales ®No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, D&B) Oyes ONO negative results found ales 0 No Denial Orders checks complete trA yes 0 No negative results found Oyes 2 No Marty dale-Hubbell searched (Lawyers/Law Hems only) 0 Yes fil No negative results found MI yes • No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: RDC Alert # I - Cleared & APPROVED by Chip Packard, AM. Compliance, and Pat Harris PCR Alert * 1/2 - Not out dent Al Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case - Not our dere. FINANCIAL INFOMATICS INC: No negative media No court cases I. Epstein & Co. Al Negative Media is our Sent He has been clears of posing a reputational risk as sham by the ANL Clearance attached Court Cases have been closed FINANCIAL TRUST &CO RDC/PCR alert is associated with Southern Financial, the company t merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 0 yes 0 No F. To the best of your knowledge, has the customer ever been invotred in any past litigation against Deutsche Bar* AG or any of Its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its 'obsidians? (If Yes provide ski aia bdOW and can @ally Mgt Ores R1kb (IstAnYlneVor the Regulatory Cot Group and needy Compliance irnmediately) G. Does the client or related party have any ftnancle or other association / interactions mein countries o yes @No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. have financial interactions high Does the dent or related party any or other association/ within risk . yes ONo countries? I. Corporate Documentation Attached (Legal Entities Only) /2) Yes 0 No 0 Not Applkable SDNY_GM_00037677 https://dbforcepb.my.salesforcCratNErilDrairdiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000501 EFTA (()148286 EFTA01282274 KYC Print Page 12 of 14 I. Undisclosed Pnncpal Form Corrplete (Intermediaries Only) El yes O No r4 Not Applicable K. II Leds/Neds Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the natureicconterts of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Ores EAtio Is the account structure tewsually complex? O Yes ®No Is there any indication the client set up a non operating company expos* for the purpose of transfer nng shares to third parties? rn Lift @No Is there any indication this could be a prohibked business relationship? II yea ONO Are the bearer shares identified subject to acceptable controls? ayes &I No SDNY_GM_00037678 t ps://dbforcepb.my.salesforcaraNEJIDEschiltiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0000502 EFTA_00148287 EFTA01282275 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Janice Franklin 951113 11:56 API See KYC 1082293 for Senior Business Management's approval to go forward with client adoption process. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Signature) Paul Morns 9/4/2013 Office Director/Business Head: Brian M. Biggar Signature) Brian M. Biggar 9/4/2013 Regan! Mae Director *mount) NIL Business ma (Signature) MIL Compliance: Janke Franklin Jacqueline Ughtbody (S4nature) Janice Franklin Jacqueline ughtbaly 9/5.12013 9/5/2013 LATAM/INTIMNATIONAL APPROVALS Client Facing Prolevdonal (CEP): (Signature) Account Manage'. (Signature) Global Market Team Head G/IIII),Sub-Market Team Head (SM1H) (Signature) ANL Business Risk: (Signature) AM( Compkv a .• (9190/99re) 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 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 ofCFP'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! have followed all the procedures relating to account opening as described in the FIRM Ameneas Procedures and the PIM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers Wealth Advisors, Product Officers, Brokers, Client Managers, etc. SDNY_GM_00037679 https://dbforcepb.my.salesforcaaNtalacriNaliAL000000D9DiSte... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0000503 EF1'A_00148288 EFTA01282276 KYC Print Page 14 of 14 Deutsche Bank Americas New York in I SDNY_GM_00037680 https://dbforcepb.my.salesforcepNErilDrairdiAL000000D9Di&e... 7/18/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000504 EFTA_00 148289 EFTA01282277