EFTA Document EFTA01283971

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : 01195147 Status . 6. Approved One sheet must be established per relatioosfllp • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOLMIERN FINANCIAL RELATIONSHIP:000004832SO Booking Center: Nov York Relationship Manager: Paul Morris • New PWM Relationship O Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relations p exists, provide reason for new profile and attach old profit: Update of approved KYC 1147850 to add Darren Indyke as an authorized signer. Darren has been approved in KYC #1133377 O Client Referral En RM Prospect O intermediary/PIM • Other Source (CIe, etc.) How Was the Client(s) Introduced, How long has the PM personally known the client" please provide debts (e.g. name of referral source, how many years Rm personally as known client, etc.): Jeffrey Epstein is a current dient 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 a mutual ftiend/colleague who htroduted them whit Paul was at JPPlorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Don Deutsche Bank pay a retrocession a similar O Yes I O No compensation to a third party for the introduction of this relationship' (ft Yes, desenbe) List all Astra and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 2 Mort. Inc 11/12/2013 2 FA Mort, Inc -- Money Market 11/12/2013 Who is the primary contact person for the RH' (Note: This person needs to have signatory rights and/or information right for the accounts.): Harry Beller Preferred method of contact (i ndicate phone no, fax no., e-mail address, etc.): (212) 971-1308 SONY_GM_OOO39884 https://dbforcepb.my.salesforCCINErilDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002708 EF1'A_00150493 EFTA01283971 KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Menorah p Summary Account Marne: Mort Inc Acct. Number (if svatA4) Account Manager: Paul Morris What a the purpose of the account (e.g. portfolio management, advisory account custody sautes, long-term ilveSthient, PaYmelit/exPelbe account)' Checking account to hold assets for the company. Indicate from where the assets are expected to arrtre' 0 DB Group: Same Sooting Center (indicate account number): 0 DB Group: Other Booking Center (indicate CS locabon and account details): 2 Other InstlWtlon (Indicate name & locabon): fl agon. New York • Physical Deposits (specify cash, securities, cheques, ...): What b the expected stn and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 10 inflows and oulfbvn per month ranging from $1,000 to $10,000 What b the expected volume of assets and currency for the account approx. 90 days after opening' I 'Currency I USD What s the expected volume of assets and currency for the account approx. one year after opening' 150000 'Currency I USD Doeshvil the client have Assets Under Management (Aunt) Within De under Err. 3M' Oyes [0 No Please list all parties related to the attolint. For each party: • Check d a source of wealth description i required for the party. • Check the appropriate box to describe th relationship of the party to this account (> lean be .,eler.tcd). • If none of the check boxes apply, describe the party's relation to the account in the 'Other" colurm. • Always describe the relationship betwee the pantie in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). _eget Enbtrof .3escriptim Source of Wealth required Parties related to this account AccounWIC Header ChmerTrust/ Settor of Founder of Foundation Jitimate 75ignatcry 3eneficLibr 'me Full 'OA imitecinnancial POA intermediarysharehoiderkeoresematIve (FIN) Significant (>=25%) Non-PIC entity (Indicate ownership %) -egal .3rantor/SetlforfoundincPther Donor (please describe other roles and/or ndicate relationship between parties) I 0 0 BelR3rIV ler I 0 • • • • • • • • 2 2 2 °41 In El 00 0 0 00 0 0 0 3 0 2 Jeffrey Epstein • 0 • [2] 2) • • • • • 4 0 0 Da Indyken rre m 0 0 • El 0 0 0 0 0 SDNY_GM_00039885 https://dbforeepb.my.salesforeCCINErilEagliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002709 EFTA_00 I 50494 EFTA01283972 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Mort, Inc — Money Market Acct. Number (davelahle) Account Manager: Paul Monis What is the purpose of the account (e.g. porffollo management, advisory account, custody services, longterm Investment, payment/expense account)' Money Market account to hold assets for the company and to earn interest Indicate from where the assets are expected to arrive' O DB Group: Same Booking Center (indicate account number): . DB Group: Other Booldng Center (Indicate 06 location and account debits): 74 Other Institution (Indicate name & location): 3PMagan, New York O Physical Deposits (specify cash, securities, cheques, ...): What s the expected sae and frequency of regular inflows and outfitters for the account (indicate estimated number and volume per month)': Roughly 1-3 inflows and outflows per month ranging from $1000 to $10,000 What 6 the expected volume of assets and currency for the account approx. 90 days after openng7 I 'Currency I USD What S the expected volume of assets and currency for the account approx. one year after opening' 5°°°0 I 'Currency I USD Does/wM the client have Assets Under Management (Aunt) %Whin DB under Eur. 3M' O yes O No Please Nst all pandas related to the account For each party: • Check if a source of wealth description i required for the party. • Check the appropriate box to deuribe th relationsh p of the party to this account (> loan be selected). • If none of the check boxe apply, describe the party's relation to the account In the *Other" column. • Alvays describe the relationship betvvee the parbe In the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). .egal Entlycf Description Source of Wealth squired Parties -elated to this account AccounWIC Holder OwnerTrust Settle of / Founder of soundabon Jltlmate Beneficlabr Dome rignatory Ful POA JmIteciFinancial 70A IntennedlaneShareholderlepresentative (FIFO Significant (>=25%) Non-PIC entity (indicate ownership %) _eget Santor/Settforfoundi • Donor • . - please describe other roles and/or ndicate -elabonship Setween ladies) 1 O 0 Mort, Inc 'a • O • O O • O • IN 2 D O " O Beller OO • El O O O • O 3 O O Jeffrey Epstein r " O K O O O O O O O O 4 O CD Darren Indyke m a" K O O O El O O O • • SONY_GM_00039886 https://dbforeepb.my.salesforeCCINErilardiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002710 EFTA_00 150495 EFTA01283973 KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for an parbes) Individual's Name: Jeffrey Epstein - 00000483289 Date d Birth: 1/20/1953 County of Residence: USVI Country of Citizenship: USA Address of primary residence: LAte Saint James Saint Thomas 00802 US Virgil Islands Has client resided outside of Ins/her country of nabonality fa S years or more? O Yes g No Prilessien/Occupatiat Self Empolyed MK ID / SSN: 090-44-3348 Current Employer Southern Financial LLC Position/Mk/Rank: President Address of employer: Does the person work as senior execubVe of a DB-recounted regulated entity in the financial ndustrif or an entity listed on DB-recognised exchange? (Not applicable for operating entities O Yes ®No Is the individual a Politically Exposed Person (PEP)?(/ Ye; desoibe) Ora ®tic To the best of your knowledge, Is the individual related to an employee of the DB group(d Faintly or Mends/zip, describe) Opyrendsho Ritor,e • Fargo 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 d goods or serinces)W Yes,descnbe) El Yes tic If appkabk, indicate which bank officers have met the person: Indicate where and when the lent meetng (s took place: Bank Officer flames) Bank Office: Client Private kik: Client Mace of Business: Other Location (spixty): Date: Paul Mails O 10/22/2013 • tfa O O O O El • • Wealth Details for this Individual are net fined in, because they are the same as for the following person: 35. Wealth Malls (Only for parbes requiring sauce of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Weakh/Source of Funds' Summarize Source of Wealth: g Business Owner OSalary/Earnings g Investment 0 Inheritance/Gifts pother: Further Describe Source of Wealth /Detad the history d weatli for each of the sources: (e.g. For trusts, hoer did settkr accumulate wealth? For inheritance, how did family accumulate wealth'For business owners, how long in business, how many employees, level of profitability" Indicate type of business, countries of major activities, important business partners.) Epstein began his fnancial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982. Epstein founded his own fnancial management firm, J. Epstein & Co., managing the assets of clients wail more than a billion in net wen h. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the bland of St. Thomas in the US Virgin Islands. Al of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His weati has come from his days at Bear Stearns and his financial management firms Estimated Annual Income($): 10,000,000.00 Estinated amount of investable assets(S): $50 141 - 100 MM Estimated Net Worth($): $100 MM - 500 Mk Amount of assets planned to invest with PO M($): Other Known Financial Institutions: SDNY_GM_00039887 https://dbforeepb.my.salesforeCLINErilEtaliliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002711 EFTA_00 150496 EFTA01283974 KYC Print Page 5 of 14 Insteubor Country: Est Assets Under Mgt: Instrtutxri: Country: Est Assets Under Mgt: Instrtuticti: Country: Please Indkate the family situation of the Individual (marital status, ether fan* members, etc.): Est Assets Under Mgt: J SDNY_GM_00039888 Imps://dbforcepb.my.salesforcCLINEJIDairdLAIL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002712 EFTA_00150497 EFTA01283975 KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beller - 00000497202 Date of Bit: 519/1956 Country of Residence: USA Country of Citizenship: USA Address of primary rekklenCe: 12 &tar Drive Monsey NY 10952 USA Has client resided outside of his/her country of nationality fcr 5 years or more. [D yes RI No Professlon/Occupation: Accountant Tax ID/ SSN: 081-S2-0727 Current Employer: HBRK Associates, Inc Position/Me/Rank Address 41 employer: Does the person work as senior executive et a DB-recognized regulated entity in the financial Mosby' or an entity listed on DB-recognised exchange 7 (clot applicable for operating entitles Dyes EZ No Is the individual a Politically Exposed Person (PEP)7(# yes, &sots) Oyes ®No To the best of your knowledge, is the kelMdual related to an employee of the 00 groupf(f Family of Friendship, descnbe) OFamly ElFriendship 5 None To the best of your knowledge, is the individual party to a non-banking relabenshlp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier d goods or senixes),(6 Yes,describe) Ores Irf No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer 'la me(s) Bank Office: Client Prrvate Domicile: Client Place 0 Business: Other Location (specify): Date: Paul Morris O itrai2013 • 71 [1 ri • ri a • O Wealth Details for this individual are not filled In, because they are the same as for the fon:wing person: 30. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature el the IndividualS Business: Primary Country of source of wealth/source of Funds' Primary Industry of source of Wealth/Source of Funds' Summarize Source of Wealth: Omer O Salary/Earnings • Business • Investment OInisentance/Gtits • Other: Further Describe Source of Wealth /Delis the history of wrath for each of the sources: (e.g. For trust how did settler accumulate wealth? For inheritance, how did family accumulate we Itit'For business owners, how long In business, how many employees, level of profitability' Indicate type of business, countries of major actMties, Important business partners) Estimated Annual Income($): Estimated amount of investable assets(9) Estimated Net Worth($): Amount of assets planned to invest with PWM(S): Other Known nancial Institutions: Institution: Country. Est Assets Under Mgt: Institution: Country. Est Assets Under Mgt: SDNY_GM_00039889 https://dbforcepb.my.salesforCCINBILardiAlL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002713 EFTA_00150498 EFTA01283976 KYC Print Page 7 of 14 Dishlotto: Country: Est Asset Under Mot: Please ',dice the family situabon of the individual (marital status, other famty members, etc.): SDNY_GM_00039890 https://dbforcepb.my.salesforCCINEJIDEsILIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002714 EFTA_00150499 EFTA01283977 KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3k Individual Details (for an parties) Individual's Name: Darren 1ndyke - 00000486405 Date of Birth. 2/19/1965 Country of Residence: USA Country of Citizenship: USA Address of primary residence. 2 Kean Court Livingston Ni 07039 USA Has client resided outside of his/her country of nabonality fix. 5 years or more Oyes ONo RrofesoortiOccupabon: Lawyer Tax ID/ SSN: 096.5443596 Current Employer: Southern Financial LLC Position/Me/Rank . Address of employer: 575 Lexington Ave, 4th A New York NY USA 10022 Does the person work as senior executke of a DB-recognised regulated entity in the financial ndustry' or an enbty listed on DB-recognised exchange' (Not applicable for operating entities Ores ®No Is the individual a Politically Exposed Person (PEP),(it Yes, describe) OTOS Eno To the best of your knowledge, Is the kickvklual related to an employee of the 06 count(d Family of friendship, desentte) O Fan* ElFrtendshlp rA None To the best of your knowledge, is the norridual party to a non-banking relancosho with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?ff Yes/describe) O Yes No If applicable, Indicate which bank officers have met the person: Indicate where and when the client meet:bu(s took place: Bank Officer flames) Bank Office: Client Private Domicile. Client Place of Business: Other Location (specify): Date: O i_i • El El r, ri :._, S CI El Wealth Details for this Individual are not tilled In, because they are the same as for the folkyning person: 35. Wealth Details (Only for parties requinng source of wealth description as 'indicated in Section 2) Nature d the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summadze Source of Wealth: Owner O Salary/Earnings ['Other: • Business • Investment O Inhergence/Gifts Further Describe Source of Wealth /Detail the history ce wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For Mergence, how did family accumulate we IthiFcr business owners, how long In business, how many employees, level of profitability? Indicate type of business, counties of major activitks, important business partners.) Estimated Annual 1ncome($): Estimated amount of investable assets($): Estimated Net Worth(S): Amount of assets planned to Invest with PWH(;): Other Known nand.' Institutions: Insbtuticri: Country: Est. Assets Under Mgt: Instrbsticri: Country: Est Assets Under Mgt: SDNY_GM_00039891 hups://dbforcepb.my.salesforcCaNtErlIDEschilidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002715 EF1'A_00150500 EFTA01283978 KYC Print Page 9 of 14 Instclution Country: Est Asset Under tlgt: Please inchcat the family situation of the individual (martal status, other family members, etc.): 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 Mort Inc . 00000437266 Type of Entity: Li Foundabon/Asscoabon O Trust R Company El Estate O Partnership Purpose of Entity: bli Pr tvate Investment Ell PhilanthropkiCharltable 0 Commercial Type of Entity Other (specIfy): Purpose of Entity Other (specify): Country ef incorporatIon/registratkin: u.SV Date of I incorporation / registration: 4;12/2011 volckn Status: Volcker Rag: Address (city, street, post code): 6100 Red Hook Quarter, 83 St. Thomas 00802 USVI US. TIN/EIN: 66-0765963 Provide a description of the entity's organizational structure, th ownership structure and its Top Management. For trusts/foundations, include information about revocablIty,settior and beneficiaries,etc : Corporation With 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please Indicate how ownership of the legal entity is reflected: 0 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 et your knowledge, Is the entity party to a nombanking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)': Yes O No Ed Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Investment holding company. A prtvate company that b used to hold investements that the /sole owner, Jeffrey, would like to keep separate from other Investments Countries where busness is transacted: USVI Number of employees 2 3D. Wealth Profile (Only for parties 'clueing source of wealth description as indicated in Section 2) Primary Country of source of weal:II/source of Funds' Pnmary industry of source et Wealth/Source of Funds' Provide Evidence Capital contra:m[4m of Corporate Assets (e.g. balance sheet from or equivalent summary of assets/liabilities): of 51000 Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net profit p.a. ($): Estimated Investable asses (5): <$1 MM Potential Amount to be invested with PWM (S): 100.000.00 Other Known Financial Institutions: InstRutko 1Pflorgan Country: USA Est. Assets Under Mgt: 100,000.00 Institut:km: Country: Est. Assets Under Mgt: SDNY_GM_00039892 ht t ps://dbforcepb.my.salesforcaaNalaFgrialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002716 EF1'A_00150501 EFTA01283979 KYC Print Page 10 of 14 IInstitutim I Canby: eit Assets tinder r49t SDNY_GM_00039893 https://dbforcepb.my.salesforCCINErilli.aidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002717 EFTA_00150502 EFTA01283980 KYC Print Page I I of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUDERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center NY/ 0 Offshore E Offshore Risk D Wderate R ligh Riski3acueline Lightiody Si NY (Compliance Signature) 0 De Employee 0 CS Managed PIC Trustee/Co-Trustee 0 Bearer Shares • DB is 4. Attachments A. Type of Photo ID Provided 0 Drivers License E7 Passport 0 National/State ID 0 Other B. Cheddist for database is of names (individuals and/or entities) that were submitted searches 10 Yes • No attached C. Please indicate the results of the database searches performed RDC searches complete RI Yes 0 No negative results found 2 yes • No PCR checks complete 2 Yes 0 No negative results found El yes • No OFAC checks complete ®Yes 0 No negative results found 0 Yes 0No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DAB) I21 Yes • No negative results found • Yes No Denial Orders checks complete El Yes 0 No negative results found 0 Yes 0 No Martindale-Hubbell searched (LawyersAaw Firms only) 0 Yes El No negative results found Oyes • No D' Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377 JEFFREY EPSTEIN: Kit Approved and al pertaining documents in case #:1121718 and 01082293 HARRY BELLER: KYC approved in case 1:01133377 and 01133624 MCAT INC: All negative media does not pertain to our client. All court cases do not pertain to our client E. To the best of your knovdedge, has the client ever been convicted of a criminal offense? 2 Yes • No F. To the best of your knowledge, has the customer ever been 'mind Many past litigation against Deutsche Bank AG or any of Ps subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of Its subsidiaries? (If Yes, growth, *tads baby and contad Quaaty 0 Yes RI No Mgt. (LatAm/Int7) ache Regulatwy Control Group am/ nobly Compaanc• immethitery) G. Does the client or related party have any financial or other association / Interactions within counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes J No H. Does the client or rated party have any financial or other association/ interactons within high •—• risk countries? U Yes RI No I. Corporate Documentation Attached (Legal enunes Only) 0 Yes • No • Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes • No 4 Not Apptcabk K. If Lexis/Nexis 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 Documentation: L. Special fthk Factors Does the account have Nexus to Special Risk Counties? 0 Yes 12 No Is the account structure unusually complex? SDNY_GM_00039894 https://dbforcepb.my.salesforcCLINErilDnEgelardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002718 EFTA_00150503 EFTA01283981 KYC Print Page 12 of 14 0 yes No Is there any indication the docent set up a non operating company expressly for the purpose et transfernng shares to third parbes? 0 yes No Is there any indication this could be a prohibited business relationship? O Yes RiNo Are the bearer shares Identified subject to acceptable controls, O Yes RINo SONY_GM_00039895 https://dbforcepb.my.salesforeCCINErilDEgrNinliA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002719 EFTA 00150504 EFTA01283982 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments iiegisine LIghtbody 3/14/114 3:12 PM 1 page of DB Certificate of LLC Resolubon vath the 2nd that did not hit all signers, is acceptable. The only evision was the 2nd page with the correct signers that is attached separately. ONSHORE APPROVALS Client Fecal() Professional (CFP): Paul Morns ,Signature) ',lot Moms 2;2412014 Office Director/Business Head: Brian M. Biggar (Signature) Brian M Biggar 212412014 Regional Office Director: (Signature) AML Business Risk: (Sgnalvre) AK Compliance: Gwen Hill o/b/o Janice Franklin Jacqueline Lightborly (Signature) Gwen NI o/b/o Janice Franklin Jacquelne Lirbody 3/14/2014 3/14/2014 LATAM/INTERNAT1ONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Mead rS i4TH)/Sub-Market Team Head MTH): (Signature) AML Business Risk: (Signature) AML Conwllance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWAD worldwide is committed to professionally serve the interests of its clients. To do so. Client Facing Professionals I( I) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability. background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that! have no suspicions relating to the money laundering or unethical activities on the part of the clients) 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_00039896 https://dbforcepb.my.salesforcaaNEIDEgrit\lidiAL000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002720 EF1'A_00150505 EFTA01283983 KYC Print Page 14 of 14 (1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors, Product Officers. Brokers, Client Managers. etc. Deutsche Bank Americas New York rA SDNY_GM_000391197 https://dbforcepb.my.salesforCCINEJIDULTdiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002721 EFTA_00150506 EFTA01283984