EFTA Document EFTA01283998

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case e Status : 6. Approved One sheet must be established Der relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483293 Booking Center: New York Relationship Manager: Paul Morris • New Mil Relationship Eli Existing PWM Relationship Retabonship to PWM: If existing, lease indicate since when the relations p exits, provide reason for new profile and attach • pdate of KYC add Darren Indyke as an authorized Signer. Darren has been KYC approved in ca O Client Referral 0 RM Prospect O intermediary/PIM O Other Source (Cit etc.) How Was the Client(s) Introduced' Mow long has the RM 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 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 a mutual friend/colleague who Introduced them while Paul was at JPflorgan. Over the course of 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 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 e NES, LLC 10/28/2013 2 FA NES, L C -- Money Market 10/28/2013 Who Is the primary contact person for the RH' (Note: This person needs to have signatory rights and/or informabon right for the accounts.): Harry Belkr Preferred method of contact (indicate phone no., fax no., eniail address, etc.): SONY_GM_00039911 hups://dbforcepb.my.salesforCCINBIDEptiLIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002735 EF1'A_00150520 EFTA01283998 KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: NES, LLC Acct Number (if avast*) Account Manager: Paul Morris What's the Purpose of the account (e.g. portfolio management, advisory account. ustody services, long-term investment, PaYment/exPense account), Checking account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes Indicate from where the assets are expected to antre, O 08 Group: Same Booking Center (indicate account number): El 08 Group: Other Booking Center (indicate 08 location and account details): 2 Other Institution (Indicate name & location): JPFlagan. New York • Physical Deposits (specify cash, securities, cheques, ...): What is the expected sloe and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)s: Roughly 10 Inflows and oulfbvn per month ranging from $1000 to $20000 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 asses and currency for the account approx. one year after openings 1100000 I Currency I USD Does/wil the client have Assets Under Management (AuM) within D8 under Eta. 3M, O Yes EM No Please last all parties related to the account. For each party: • Check if a source of wealth descnotion I required for the party. • Check the appropriate box to describe th relationship of the party to this account (> 1 can be,cleated). • If none of the check boxes apply, describe the parties relation to the account in the 'Other' column. • Always describe the relationship betwee the pantie in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). _opal Enter/ )escriptim Source of Wealth required Parties related to this account AccounSsIC Holder OnnerTrust Settor of / Founder of Foundation Jftimate 75ignatcry beneficiabr Owner Full , OA imiteciAnancial PO* InterniediaryShareholderkepresentative (FIM) Significant (>=25%) Non-PIC entity (Indicate ownership %) -eget Srantor/SettorfoundingOther Donor (please describe other roles and/or ndicate relationship between parties) 1 2 123 NcES' LL 5 O • • • • • O • • 2 O O arry BHeller n i--, O O O 2 O O O O O 3 O 2 Jeffrey Epstein is ". O m K 2 21 • it • • • 4 O O Da Indyken rre m O O • l21 O O O O O SDNY_GM_00039912 https://dbforcepb.my.salesforeCLINEIDEgrNiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002736 EFTA_OOI 50521 EFTA01283999 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: NES, LLC — Money Market Acct Number (if avanYable) Account Manager: Paul Horns 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 the funds necessary to cover the costs associated well running one of Jeffrey Epstein's homes and earn interest 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 details): 0 Other Institsition (Indicate name & location): JPMorgan. New York O Physical Deposits (specify cash, securities, cheques, ...): What s the expected s¢e and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10000 What 5 the expected volume of assets and currency for the account approx. 90 days after opening' I I Currency I USD What Is the expected volume of asses and currency for the account approx. one year after 1100000 I opening? Currency I USD Does/will the client have Assets Under Management (AuM) swthin DB under Eur. 3M' O Yes Fano Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check Me appropriate box to describe the relationship of the party to dm account (> I can be selected). • f none of the check boxes apply, describe the party's relation to the account In the *Other column. • Always describe the relationship between the partle in the last column. • Please doll down to the ultimate/ Merl), ng Beneficial Owner( ). -egt:Zescripben Sn Source of Weath required Parties related Fo this *count AccountPIC Holder Owner gettior of rust / Founder of Foundation Jkilllatet Beneftla Jyrner I Full gnatery-IStedFlnanclal r POA ?OA Intennedla (PIM) gnIkant ehol r derlepresentativeSrantor/Settiorroundi (>=25%) Non-PIC enbty (indicate ownership 16) _eget • Donor • . - please Jescribe other roles and/or ndicate -elatIonship Setween Aube) 1 tra. ra NES LLC • 5 O O 11.1 O O O O • • 2 O O Hairs' Beier O OO O En O O O O O 3 • El kr" Cdsein O • O O 0 O O • O O 4 O O Damn Indyke O O O O 0 O O O O O SDNY_GM_00039913 Imps://dbforcepb.my.salesforcalNErillagrit\IIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002737 EFTA_00150522 EFTA01284000 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 all pubes) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 County of Residence: USVI Country of Citzenslup: USA Address of primary residence: late Saint James Saint Thomas 00802 US Virgil Wands Has client resided outside of his/her country of nationality fa S years or mire? Chesil!' No Profession/Occupation: Self Empolyed Tax ID / SSW: 090-41-3348 Current Employer Southern Financial LC Positonrntie/Rank President Address of employer: Does the person work as senior execubVe of a DB-recognized regulated entity in the financial ndustir or an entry tested on DEr-recognised exchange? (Not applicable for operating ninnies Oyes ®No Is the ndrvidual a Politically Exposed Person (PEP),(it Yes desoibe) D'res ®No To the best of your knowledge, is the Individual related to an employee of the DO group(f Faintly or Them/ship, descnbe) ['Friendship II parnay ?2 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 ce goods or servicesflif Yes,descnbe) O Yes FA No If applicable, indicate which bank officers have met the person: Indicate where and Mien the lent meetang(s took place: Bank Officer Name(s) Bank Office: Client Private )oinkik: Client Place of Business: Other Location (spixty): Date: Paul Mails O 10/21/2013 • ?a O El O O O • • Wealth Details for this individual are not fined in, because they are the same as for the following person: 38. Wealth Malls (Only for parties requiring source 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 Wealth/Source of Funds' Summarize Source of Wealth: Z Business Owner OSalary/Earnings ®Investment OInheritance/Gifts ['Other: Further Describe Source of Wealth /Detad the history d wealth for each of the sources: (e.g. For trusts, how did settkr accumulate wealth? For inheritance, how did family accumulate wealtlitFor 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 fnancial management firm, J. Epstein & Co., managing 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 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. Hs wealth has come from his days at Bear Stearns and his financial management firms Estimated annual Incone(d): 10,000,000.00 Estimated amount of investable assets(S): $100 MM - 500 MM Estimated Net Worth(6): $100 MM - 500 MM Amount of assets planned to invest with PWM($): Mier Known Financial Institutions: SDNY_GM_00039914 https://dbforcepb.my.salesforeCCINEIDEgrardIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002738 EFTA 00150523 EFTA01284001 KYC Print Page 5 of 14 Inslotubar JPMorgan Country: USA Est Asset Under Mgt 40,000,000.00 Int:Auto:4E Deutsche Bank Country: USA Est. Asset Under Mgt 154,000,000.00 lostRuben: Country: Est Asset Under Mgt: Please indkate the family stuation cf the Individual (martal status, other fame/ members, etc.): SDNY_GM_00039915 https://dbforcepb.my.salesforcCLINEIDEgclailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002739 EFTA_00 150524 EFTA01284002 KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Individual's Name: Harry Beller - 00000487202 Date of Beth: 5(9/19% Country of Residence: USA Country of Citizenship: USA Address of primary residence: 12 GuarDrive !testy NY 10952 USA Has client resided outside of his/her country of nabonalty fa S years or more O Yes iii No Profession/Occupalkm: Accountant Tax ID / SSN: 081-52-0727 Current Employer: PERK Associates, Inc Positenrntle/Rank: Address of employer: Does the person work as sentr executive of a DB-recognized regulated entity in the financial Mushy' or an entity listed on a DE-recognised exchange' (Not applicable for operating entitles Oyes ®pis Is the individual a Politically Exposed Person (PEP)'(/' Yes describe) OYU ®No To the best of your knovAedge, Family or Friendship, desenbe) Is the individual related to an employee of the DO group(/' OFamay OFriendship r4 None To the best of your knowledge, is the individual party to a nen-banking retabonshp with Deutsche Bank (e g., external legal counsel, client referral source, supplier of goods or services),(1 Yes, descrtv ) (]Yes garto If applcable, indicate which bank officers have met the person: Indicate where and yam the client meeting(s took place: Bank Officer 'la me(s) Bank Office: Client Private Dcaikik: Client Place of Business: Other Location (specify): Date: Paul Morris 9 10/21/2013 • 71 [1 O • Cl; Cl n • Wealth Details for this indiv dual are not filled in, because they are the same as for the folkmmg person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature d the Individuals Business: Primary Country of sauce of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarbze Source of Wealth: Cl Business Cvmer Li Salary/Earnings E Invesbnent El Inheritance/Gifts nOther: Further Describe Source of Wealth /Debi the history d math for each of the sources: (e.g. For trusts, how did settler accumulate wealth' For inheritance, how did family accumulate we Ith?For business owners, hew long In business, how many employees, level of profitability' Indicate type of business, counties of major actiWies, Important business partners.) Estimated Annual Income($): Estimated amount of investable assets($). Estimated Net Worth($): Amount of assets planned to invest with PWM(S): Other Known nancial Institutions: Instituben: !Country Est Assets Under Mgt: Instrbstien: Country: Est Assets Under Mgt: SDNY_GM_00039916 https://dbforcepb.my.salesforcartaNtErilDngALTIIAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002740 EF'FA_00150525 EFTA01284003 KYC Print Page 7 of 14 Instrtubon Country Est Assets Under Mgt: Please inclicat the family stuabon of the individual (manta] status, other famiy members, etc.): SDNY_GM_00039917 Imps://dbforcepb.my.salesforcCaNEJIDEriardiA1000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002741 EFFA_00150526 EFTA01284004 KYC Print Page 8 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: Darren Indyke - 00000486405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Citizenship: USA Address of residence: 2 Kean Court Livingston N) 07039 USA Has client resided outside of his/her country of nationality fa S years a more Ekes O No Profession/Occupalkin: Lawyer Tax ID / SSN: 096.5443596 Current Employer Southern Financial LLC PosItonMUe/Rant Address of employer: AS Lexington Ave New York NY USA 10021 Does the person work as senior executive of a DB-recOgnked regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange? (Not applicable for operathig entities Oyes No Is the individual a Politically Exposed Person (PEP)7(d Ye; dewily) Dyes 0N0 To the best of your knowledge, Family of Friendship, descnbe) Is the Individual related to an employee of the DB group' (af OFR,* OFrtendshlp rd None To the best of your knowledge, is the individual party to a non-banking relabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or servxes) s (i Yes, descnbe ) Ores FA No If applcable, indicate vhich bank officers have met the person: Indicate where and ‘‘hen the client meeting (s) took place: Bank Officer ?la me(s) Bank Office: Client Prrvate Domicile . Client Place of Business: Other Location (specify): Date: O r t__I • [1 O r--, r -1 :.__; D '---' El Wealth Details for this individual are not filled in, because they are the same as for the folk:Nang person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individuals Business: Pnmary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Owner OSalary/Earnings 00ther • Busyness • Investment OInherltance/Gifb. Further Describe Source of Wealth /Debra the history d wealth for each of the sources: (e.g. Fee trusts, how did settler accumulate wealth, For inheritance, how did family accumulate we Ith?For business owners, hate long in business, how many employees, level of profitability? Indiate type of business, countries of major activities, importint business partners.) Estimated Annual Incorne($): Estimated amount of Investable assets($): Estimated Net Worth($): Amount of assets planned to Invest with PWM($): Cther Known ;uncial Institutions: Insbtubco: Country: Est Assets Under Mgt: Insbbatieri: Country: Est Assets Under Mgt: SDNY_GM_00039918 https://dbforcepb.my.salesforCCINEIlLardiA110000000D9Di8ce... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002742 EFFA_00150527 EFTA01284005 KYC Print Page 9 of 14 Institution: Country: Est. Assets Under Mgt: Please indite 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 Summary 3C. Legal Entity Details (For all Legal Entitles) Legal Entity Name: NES, LLC • 00000487265 Type of Entity: SFoundabco/Associabm IN Trust 2Company O Estate O Partnership Purpose of Empty: J Private Invest nent O Phaanthropic/Charltathe 0 Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of Incorporation/registration: USA Date of incorporation / registrabcn: 8/13/1998 Vokker Status: Volcker Hag: Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN: 13-4146141 Provide a descriptko of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundabons, include information about NYCcabitY.setrJor and beneficiaries,etc.: Single member LLC. Jeffrey Epstein is the sole member 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 he same persons) To the best of your knovAedge, is the entity party to a nowbanking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or senkes)'r: Yes • No Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstem's homes Counties where business s transacted: USA, USVi Number of employees: 1 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 Wealth/Source of Funds' Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Al funds come from Jeffrey Epstein, who has been KYCd previously Estimated gross receipts p.a.(5): Estimated net profit p.a. (5): Estimated investable assets (5): <$1 MM Potential Amount to be invested with PWM (5): 200.000.00 Other Known Financial Institutions: Institutko Wilorgan !Country: USA Est. Assets Under Mgt 200,000.00 Institution: Country: Est. Assets Under Mgt SDNY_GM_00039919 https://dbforcepb.my.salesforeCLINErilardiA000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002743 EFTA 00150528 EFTA01284006 KYC Print Page 10 of 14 Canty: EA. Assets Under Mgt SONY_GM_00039920 Imps://dbforcepb.my.salesforcCCINEADWidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002744 EFTA_00150529 EFTA01284007 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUDERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center R us N0Y/Offshore E Offshore Risk0 Moderate n1 million fuskilacqudine Uri,* (Compliance Signature) 0 DB Employee 0 ce Managed PIC Trustee/Co-Trustee 0 Bearer Shares • DB is 4. Attadiments A. Type of Photo ID Provided 2 Drivers License E7 Passport 0 National/State ID 0 Other B. Checklist for database is of names (inclivaals and/or entities) that were submitted searches El Yes • No attached C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes 0 No negative results found 2 Yes • No PCR checks complete 2 Yes 0 No negative results found 0 Yes J No OFAC checks complete 2 Yes 0 No negative results found 0 Yes 0 No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, Cell) Ryes • No negative results found • yes .74 No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No Martindale-Hubbell searched (LawyersAaw Firms orgy) 0 Yes El No negative results found Oyes • No D' Please summarize any negative results from the database searches indicated above: DARREN INDYKE: Previously KYC approved in case #1133377 JEFFREY EPSTEIN: Previously KYCd and approved In: 01082293 and 01121718 HARRY BELLER: Previously KYCd and approved: 01133624 NES, I1C: Negative media does not pertain to our dent Our client is an LLC that is only used to pay for the costs associated with running a prate bane No court cases E. To the best of your knowledge, 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 Swerved In any past litigabon against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or army of Its subsidiaries' a' Yes, provkle Ma* below and contad Quaity 0 Yes e No Mgt (Latin inn) ache Rflulawy Control Group and notify Compaanc• immealattly) G. Does the client or related party have any financial or other association / Interactions within 5 countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes No H. Does the client or rated party have any financial or other association/ nteracbcris within high r❑ U i Yes e No risk countries? I. Corporate Documentation Attached (Legal Doses Only) 2 Yes • No • Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) 0 yes • No 74 Not Applcabk K. If Lexis/Nexis Search Results, Corporate Documents or Other supporting Documentations not in English, please provide an English summary of the nature/contents of the non-Engise Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Counties' 0Yes 0 No Is the account structure unusually complex? SDNY_GM_0003992 https://dbforcepb.my.salesforcCLINtErilDnEgelardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002745 EFTA_00I 50530 EFTA01284008 KYC Print Page 12 of 14 ❑Yes id No Is there any indicabon the (hint set up a non operating company expressly for the purpose of transfemng shares to third parties' Dyes @No Is there any indicaton this could be a prohibited business relabonshipl Are the bearer shares Identified subject to acceptable contras' ❑Yes ICJ No O Yes No SONY_GM_00039922 ht t ps://dbforcepb.my.salesforca:tNEJIDErlailiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002746 EF1'A_00150531 EFTA01284009 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments uterine Lightbedy 3/1y1143:20 PM 1 page of DB Certificate of LLC Resolubon with 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 Facin Professional (CFA): Paul Morris (Signature) Paul Moms 2/24/2014 Office Director/Business Head: Brian M. Biggar (Signature) Brian M Biggar 2/24/2014 Regional Office Director: (Signature) MIL Business Risk: (Sgnature) MIL Compliance: Gwen Hill o/b/o Janice Franklin Jacqueline Lightborly (Signature) Gwen MI o/b/o Janice Franklin Jacqueine Liptbody 3/14/2014 3/14/2014 LATAIVINTERMATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GHTHWSub-Maiket Team Head tSMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) 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 Professionals )( 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 CFA. 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 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_00039923 https://dbforcepb.my.salesforcaaNEJIDgrit\lidiAL000000D9DiSice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002747 EFTA 00150532 EFTA01284010 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 SONY_GM_00039924 https://dbforcepb.my.salesforCQUErilDaliTuJiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002748 EFTA_00150533 EFTA01284011