EFTA Document EFTA01283955

KYC Print Page I of 16 DB PWM GLOBAL KYC/NCA: PART A KYC Case A : 01195134 Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship L. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Monti O New OWN Relationship 0 Existing PWM Relabonshp Relatonship to PWM: If existing, please indicate since when the relationship exists provide reason for new profile and attach old profile: Update c( approved KYC 01121881. Update is ONLY to add Darren Indyke as an authorized signer. Dairen has teen approved In KYC 41133377 O Client Referral IR RM Prospect ICI Intermediaryg/M I • Other Source (CI8, etc.) How Was the Client(s) Introduced' How long has the RN personally known the client' Please provide details (e.g. name of referral source, ow many years RM personally has know, cent. 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 (rend/colleague who introduced them while Paul was at 10Morgan. Over the course d a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar O Ms I O No compensation to a third party for the introduction of this relationship' af Yes, rksoitei. Ust all existing and new accounts involved in this relationship Legal Entity Accounts) Account Name / Number Opening Date (Intended/actual) 1 e lepers Inc 9/18/2013 2 e Deeper Inc 9/18/2013 Who Is the plenary contact person for the RM? (Note: This person needs to have signatory rights arid* Sonnabon right for the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): SONY_GM_00039868 https://dbforcepb.my.salesforCCINBIDEgriNiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002692 EFTA_00150477 EFTA01283955 KYC Print Page 2 of 16 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Items Inc Acct. Number (if sradobley. Account Manager. Paul Monis What is the purpose d the account (e.g. portfolio management advisory account custody services, iong-term investment, payment/expense account)' Checking account for leepers Inc daily Is:lucky needs. Indicate from where the assets are expected to arrive" O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DB location and account detais): El Other Indflution (Indkate name & location): WMorgan Chase. New York, NY O Physkal Deposks (specify cash, securties, cheques. ...): V/hat Is the expected size and frequency of regular Inflows and outflows for the account (Indicate estimated number and volume per month)'. Roughly 5-10 Wirers and outflows Ns 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 USE) What Is the expected volume d assets and currency for the account approx. one year after opening' I 51).°°° 'Currency I uSD Dites/VAII the client have Assets Under Management (AuM) within 013 under Eur. 314' U Yes E No Please Ike aN 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 relationshi of the party to this account (> I can be selected). • If none of the check taxes apply, describe the party relation to the account in the "Other column. • Always descnbe the relabornhp between he parties n the last column. • Please dril down to the ultimate/underlying Beneficial Owner(s . _egal5escriptkn Entityof Source / Wealth required Parties related to this account AccountPlC Holder Crinerfrust beta:if of / %under of Foundation Jitirnate Seneficiaax >emu Signatoryntedielnarxtal Full POA ?OA Intermediary (FIN) Significant Shareholderkepresentabve (>=25%) Ncn-PIC entity (Skate ownership lb) _egal Srantor/Setdor Founding0ther Donor (please describe other rotes and/Or ndicate elationship between mites) 1 E1 E1 ken's' Inc El • O O O O O O • • 2 0 e Jeffrey Epsrzin n " 0 0 I El 0 0 I 0 I 3 • O BelHa" ler O • O • ® O O 0 0 O 4 O O Jeanne K Brennan n " ill • • gl O O O O • S O O Darren Indyke O O O O El O O O O • SONY_GM_000391369 ht t ps://dbforcepb.my.salesforCaNtEllOalniliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002693 EF1'A_00150478 EFTA01283956 KYC Print Page 3 of 16 2. Account Ownership Summary Account Name: letters Inc Acct. Number (1.w.v.COW. 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 account to hold keepers Ines cash. Indkate from where the asses are expected to arrive' O DB Group: Same Booking Center (Indicate account number): O 06 Group: Other Booking Center (indkate DB location and account debts): 2 Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY O Physical Deposes (specify cash, securties, cheques, ...): What Is the expected size and frequency of regular Inflows and oulfbws fee the account (.nthcate estimated number and volume per month)': Roughly 1-2 Slows and outflows per month ranging from 91,000.910,000 What is the expected volume ct assets and currency for the account approx. 90 days after opening' I I Currency 1 USD What Is the expected volume ce assets and currency for the account approx. one year after opening? 1150,000 I Currency I USD Doeshel the client have Assets Under Management (AuM) within Cl3 under Eur. 3M? ID Yes N No 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 or the party to this account (> I can be selected). • !nen of the check boxes apply, describe the party relation to the account in the "Other column. • Always describe the relationship between he parties 'n the last column. • Please dril down to the ultimate/uncknying BenefKia Owner(s). .Entity _egal5escnptkn of Source of Wealth equfred Parties related to this account AccountPIC -Iolder ,wnergrust Settior of / Founder of Foundation ilbmate Beneficialor ›aner Sagnatory_ennecIFinancal Full POA ?OA ntemiediary FIM) Significant Shareholdereepresentathee (> =25%) Non-PIC entity (ndicate ownership %) -eget :irantor/Settkefounding Donor Odle. (please describe other roles and/or ndkate clatter's/lip between nines) e Mrs, Inc a O O O O O O • • • 2 O 2 Jeffr ey Epstein in " m ■ O O e OO O O • 3 O O Hany Boer O • O • 2 D 0 CI O • 4 O O lea rine Brosnan ,- , n O O O EA 0 0 O D O 5 O O Da"n Inchrke O K O D O 2 O O O O • SDNY_GM_00039870 t ps://dbforcepb.my.salesforCCINEJIDLNIdiAlL000000D9DiSice... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002694 EF1'A_00150479 EFTA01283957 KYC Print Page 4 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indhnduars !tame: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 county of Residence: USVI Country of Ctoenship: USA Address of primary residence: tete Saint James Saint Thomas 00802 US Virgin Islands Has dent resoled oulskk of his/her country of nationality for 5 years or more' Dyes ®No PicifessioniOccupation: Self EmpoNed Tax ID / 55N: 090-44-3348 Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Does the person work as senior executive of a DB-recognized regulated entity in the financial ndustre or an entry listed on a CEI-recognised exchange' plot appkabk for operating entitles ri __ cc t--i ICS l'7-1 No Is the individual a Politically Exposed Person (PEP)'(if Yes, describe) El Yes a No To the best of your knowledge, is the individual related to an employee of the DB group'(if FJITI4' or Fnendshp, desothe) 0Family 0Friendship 5 None To the best of your knowledge, is the individual party to a nco•banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or servkes)'Pf YeArfescribe) O Yes J No If applicable, indicate which bank officeis have met the ',non: Indicate where and when the dent rneebng(s) took place: Bank Officer Names) Bank Office: Ghent Private Domicile: Client Plate of Business: Other Location (specify): Date: Paul Morris E) a 8/7/2013 • ri :.....: O O D 0 III 0 Wealth Details for this indwklual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private Inv ts Primary Country of source of wealth/souice of Funds' Primary industry of source of Wealth/Source of Funds' Summartze Source of Weakly r._., Ki Business Owner 0 Salary/Earnings Rilmestment 0 Inherftance/Gfts 00ther. Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate weami' For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitatdty? Indicate type of business, countries of major 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., managng the assets of clients with more than a billion in net worth. In 19%, Epstein changed the name of his firm to The Financial Trust Company and based t on the bland of St. Thomas in trie US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wanes. Ms wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable asseb(S): $50 MN • 100 MM Estimated Net Wortli(S): $100 MM - 500 MM Amount of assets planned to Invest with PWM(S): Other Known Financial Instkvitions: Institution: WMorgan Chase Country: USA Est Assets Under Mgt: 20,000,000.00 SDNY_GM_00039871 https://dbforcepb.my.salesforeCCINErilCaltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002695 EFTA_00150480 EFTA01283958 KYC Print Page 5 of 16 Institution' Counby. Est Assets Under Mgt: Country Est Assets Under Mgt. Please mclicate the family situabon of the indivKlual (marital status. oth r (amity members, etc.): Single SONY_GM_00039872 Imps://dbforcepb.my.salesforeCCINEJIDEschiltiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002696 EFTA_00150481 EFTA01283959 KYC Print Page 6 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indivkluars Name: Harry Beier - 00000487202 Date of Bath: 5/9/1956 County of Residence: USA Country of Clatenshlp: USA Address el primary residence: 12 Golar Drive Homey NY 10952 USA Has dent resided outside of his/her country of nationality for 5 years or more> Dyes g No Profession/Occupation: Accountant Tax ID / SSN: 081-52-0727 Current Employer: HBRK Associates, Inc PodtladTPM/Rank: Address d empbwr. Does the person work as senior executive of a DO-recognized regulated entity In the financial ndustry' or an entity kind on De-recognised exchange? (Not applicable for operating entitle; ri "YeS ONO Is the individual a Poetically Exposed Person (PEP)'(if Yes, describe) Owls SA No To the best of your knowledge, is the individual related to an employee d the DB grouP7(1 renufr or Friendship, descnbe) DFamlly O Friendship R 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 servIces)?(0 Yesxtescnbe) O Yes lia No If applicable, indicate which bank officers have met the person: Indicate where and when the client meetirxXs) took place: Bank Officer Names) Bank Office: Cent Private Domidk: Client Placed Business: Other Location (specify): Date: Paul Mous O 10/21/2013 7.1 • O O O El O O O Weakh Details for this individual are not filled in, because they are the same as for the fonowing person: 38. Wealth Details (Only for parties requiring source of vrealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Sauce of Funds' Surnmartte Source of Weakly O Business Owner O Salary/Earnings I:Investment O btheritance/Gifts 00ther: Further Describe Source of Wealth /Detail the Way of wealth or each of the sources: (e.g. For trusts, how did seitor accumulate wealth' For inheritance, how did ferrety accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major adrift's, important business partners.) Estimated Annual Income(5): Estimated amount d investable assets(5): Estimated Net Worth(S): Amount of assets planned to invest with PWM(e): Other Knoun Financial Institutions: Insttobon: Country: Est. Asset. Under Mgt: Institution: County: Est Assets Under Mgt Institution: County. Est Assets Under Mgt. SDNY_GM_00039873 Imps://dbforcepb.my.salesforcCuNtaCtEgilTdiA19000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002697 EFTA 00150482 EFTA01283960 KYC Print Page 7 of 16 Please indicate the family setuabon of the individual (marital status, other family members, etc.): SDNY_GM_00039874 t ps://dbforcepb.my.salesforcCaNtaDEsailiAL000000D9Dieice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002698 EF1'A_00150483 EFTA01283961 KYC Print Page 8 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan - 00000487647 Date of Birth- 9/2/1960 Country of Residence: USvl Country of Crtaenship USVI Address el primary residence: *6-L10 Est. Nazareth St. Thomas 00032 Virgin Islands, US Has dent resided outside of his/her country of nationality for 5 years or more' O yes WI No Profession/Occupation: Finance Tax ID / 55N: 150-46-4746 Current Employer: Southern Financial, LLC Position/Tide/Rank Address of enelortf: Does the person monk as senior executive of a DO-recognized regulated entity In the financial ndustry' or an entty listed on a 043-recognised exchange' (Not applicable fee operating entitles n Yes 2 NO Is the individual a Politically Exposed Person (PEP)'(f Yes, describe) ElYes Ea No To the best of your knowledge, is the individual related to an employee of the DB group'0/ Part or friendship, DFamlly O Friendship rd None To the best of your knowledge, is the individual party to a nal-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or servIces)761 Yes,descnbe I O Yes ZI No If applicable, indicate which bank officers have met the person: Indicate %Mere and when the c rent rreebng(s) took place: Bank Officer Name(s) Bank Offke: Client Private Domicile: Client Place of puniness: Other Location (speedy). Date: O • • O O O El O D O Wealth Detail for this individual are not filled in, because they are the same as for the following person': 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary indusby of source of Wealth/Source of Funds' Summarize Source of Wealth: O Business Owner O Salary/Eamings O Investment OInheritance/Gifts 00thier: Further Describe Source of Wealth /Detail the bitty of wealth or each of the scums: (e.g. For trusts, how did setdor accumulate wealth" For inheritance, how did farmer accumulate wealth?For business owners, how long in baseless, how many employees, level of profitability? Indicate type of business, countries of major activities, important busness partners.) Estimated Annual Income(S): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: County: Est. Assets Under Mgt: Institution: County: Est. Assets Under Mgt: Institution: Country. Est Assets Under Mgt: SDNY_GM_00039875 littps://dbforcepb.my.salesforcCaNtalDailniliAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002699 EFTA_00150484 EFTA01283962 KYC Print Page 9 of 16 Please indicate the family setuabon of the individual (marital status, other family members, etc.): SONY_GM_00039876 Imps://dbforcepb.my.salesforcaINEJIDEphilidiA1000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002700 EF1'A_00150485 EFTA01283963 KYC Print Page 10 of 16 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Indlviduars Name: Darren Indyke - 00000486405 Date of Birth: 2/19/196.5 Country of Residence. USA Country of Citizenship: USA Address et primary residence: 2 Kean Court Ltringston NJ 07039 USA Has dent resided oulskk of his/her country of nationality for 5 years or more II yes RI No Profession/Occupation: Lawyer Tax ID / SSN: 098.548596 Current Employer: Southern Financial LLC POSItIonflide/Rank Address of emPloYer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senior executive d a DB-recognized regulated entity in the financial ndustre an enbty listed on De-recognised exchange' plot applicable for operating entbes n "Ye 0 l" K or Is the individual a Poetically Exposed Person (PEP)'(if Fes, describe) ElYeS Ea No To the best of your knovAedge, is the individual related to an employee of the DB group(a Family or Friedel* dna:be) DFamily 0 Friendship re 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 serYkes)' i res,descree) O Yes RI No If applicable, indicate which bank officers have met the person: Indicate Mere and %Men the c ant rreetmg(s) took place: Bank Officer Name(s) Bank Office: Citnt Private panto*: Client Place of Business: Other Location (speedy): Date: Ei O n O O IT. 0 0 0 Wealth Details for this individual are not filled in, because they are the same as for the foliowing person' 38. Wealth Details (Only for parties requiring source of weath description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of WealtIVSource of Funds' Summarize Source of Wealth: 0Business Owner 0 Salary/Eamings I:Investment 0Inheritance/Gits 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how did fan* accumulate wealth?For business owners, how long in baseless, how many employees, level of profltatdity? Indicate type of business, countries of mayor activities, important business partners.) Estimated Annual Income(S): Estimated amount d investable assels(S): Estimated Net Worth($): Amount d assets planned to rwest with PWM(S): Other Known Financial Institutions: Institution: Counby: Est. Assets Under Mgt: Institution: Counby: Est Assets Under Mgt: Institution: Counby: Est Assets Under Mgt SONY_GM_00039877 https://dbforcepb.my.salesforCCaNEJIDEschilidiA14000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002701 EF1'A_00150486 EFTA01283964 KYC Print Page 11 of 16 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For al Legal Etrobes) Legal Entry Name: Items, Inc - 00000486423 Type of Entry: OFoundation/Association O Trust El Company O Estate O PartnenhO Purpose of Enbty: Private Investment Li Philanthropic/Charitable El Commercial Type d Entity Other (spec fy): Purpose of Enbty Other (specify)', Country of incorporabon/registration: United States Virgin Island Date of n Incorporatio registration: j 8/18/2003 Volcker Status: Volcker Rag: Address (city, street, post code): 6100 Red Hook Quarter 93 St, Thomas 00802 USVI US. TIN/EIN: 66-0629193 Provide a description of the entity's organizational structure, Its ownership structure and Its Top Management. For trusts/foundations, include informatko about revocability,settior and beneficiaries,etc.: Jeffrey Epstein is the sole shareholder of levers Inc Mast indicate how ownership d 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 (if not the same persons) To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche Bank (e.g. external legal counsel, clknt referral source, supplier of goods or services)>: Yes O No Ei.) Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: learn Inc is a private company that holds investments of is owner, .1effiey Epstein. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties reguirng source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds' Primary Industry of source of Wealth/Source d Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assetsftiabadies): Japers Inc was started to hold the personal Investments d Jeffrey Epsteh. The company began with 1,000 shares d common stock at no par value. Its evenue comes from the gains d the Investments it holds. Estimated gross receipts p.a.(S): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated Investable assets ($): 120 MM • 50 MM Potential Amount to be Invested web PWM (S): 200,000.00 Other Known Financial Institutions: Institution: JP Morgan Chase Country USA Est Assets Under r'lgt 28,000,000.00 Institution: County: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SONY_GM_00039878 Imps://dbforcepb.my.salesforcCaNtallacALTIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002702 EFTA_00150487 EFTA01283965 KYC Print Page 12 of 16 SDNY_GM_00039879 littps://dbforcepb.my.salesforcCLINEJIDErbildiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002703 EFTA_00150488 EFTA01283966 KYC Print Page 13 of 16 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booldng Center El NY NY/Offshore E Offshore Risk °M°6" ate ©High Risk]Gwen Hill (Compliance Signature) O DB Managed PIC O 08 Is Trustee/Co-Trustee O Bearer Shares • DB Employee 4. Attachments A. Type of Photo ID Provided Defiers License O Passport ONational/State ID O0ther B. Checklist of names (individuals and/or entitles) that were submitted for database searches is attached rl Yes O No C. Please Indicate the results of the database searches performed RDC searches complete Eves I: No negative results counts Dyes El No PCR checks complete 2 yes C No negative results found ates No OFAC checks complete 5 Yes C No negative results found Oyes @No BIS searches complete (Leds/Nerls, FaCtca, Reuters, Dow Jones, DAB) g Yes O No negative results found Oyes @No Denial Orders checks complete E Yes C No negative results found Oyes @No Martindale-Hubbell searched (Lawyers/Lew Brim only) Oro Eno negative results found Oyes • No D. Please surnmartre any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377 HARRY BELLER: MK approved in case #01133624 JEANNE BRENNAN: No Negative Media No Court Cases JEFFREY EPSTEIN: Jeffrey was approved In KYC 101062293 His PCR/ROC alerts and clearances and al documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media Al court cases are not our client. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our dent Is based in the US Virgin Islands E. To the best of your knowledge, has the client ever been convicted of a criminal offense' Oyes El No F. To the best of your knowledge, has the customer ever been involved in any past Itigabon against Deutsche Bank AG or any of Ps subsidiaries a is the customer threatening Ideation against O Yes Fr No Deutsche Bank AG or any of its subsidiaries, (II Yes, pernvile details baby and contact Quakty Mgt. (LatAntfintl)or the Regulatory Control Group and nobly Compliance imtnedoately) G. Does the client or related patty have any financial or other association / Interactions within El counties a regimes sanctioned by the Office of Foreign Assets Control (OFAC)' K ves 5 No H. Does the client or related party have any financial or other association/ Interactions within high risk D yes 2 No countries* I. Corporate Documentation attached (Legal Entitles Only) 2 Yes O No ONot Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No Stick Applicable K If Lodz/Nods Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documented:a: L Special Risk Factors SONY_GM_00039880 https://dbforcepb.my.salesforcC6C1NtErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002704 EFTA_00150489 EFTA01283967 KYC Print Page 14 of 16 Ooes the account have NW'S to Special Risk Countries/ Oyes EL No Is the account structure unusually complex? NI Yes EL No Is there any Indication the client set up a non operating company expressly for the purpose d transferring shares to third parties' r-i LI g Yes No Is there any Indication this could be a prohibited business relationship' OYU E No Are the bearer shares identfied subject to acceptable controls' Elves 2 No SDNY_GM_00039881 ht t ps://dbforcepb.my.salesforcOaNEIIIILKLIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002705 EF1'A_00150490 EFTA01283968 KYC Print Page 15 of 16 M. Case Comments Created By Date Comments Janice Franklin 3/26/114 2:25 PH Ns Update KYC did not have an effect on clients risk rating therefore no new risk calculator was prepared. clxurnent repository for previously prepared tisk calculator under client's gas=. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) ?au! Mixrrs 2/24/2014 Office Director/Business Head: Brian NE Biggar \Signature) Brian NI Biggar 2/24/2014 Regional Office Director. (Signature) MIL Business Risk: (Signature) MIL Compliance: Janice Franklin Gwen Hill (Signature) Janice Franklin Gwen RI 3;26/2014 3/26/2014 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager (Signature) Global Market Team Head (GNITH)(Sub-Market Team Head .(S14714): (Signature) NIL Business Risk: (Signature) MIL Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals) (1) (CFP's) should establish and maintain business relationships only with persons who swish, our high standards ofsuitabilior, background and character. Due diligence obtained on the client must be appropriately documented by the CFA it is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa 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 SDNY_GM_00039882 Imps://dbforcepb.my.salesforcCLINEJIDrNidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002706 EFTA_00150491 EFTA01283969 KYC Print Page 16 of 16 (I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Dathho Book MIS= New Yoh SONY_GM_00039883 https://dbforcepb.my.salesforCCINtErlIDEgriailliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002707 EFTA_00150492 EFTA01283970