EFTA Document EFTA01299187

KYC nt Page 1 of 15 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP: Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: r New PWM Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: update of approved KYC 01121881. Update is ONLY to add aditran I authorized signer. Harry Beller has already been KYC approved in case #01133624. Please rush as this is a simple update How was the atengs) Introduced? Row long has the RM personally known etc.): the client? I- Client Referral Fi RM Prospect r Intermediary/ElM 1- Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years PM personally has known client, 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 Paul's at )P Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. 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 compensation to a third party for the introduction of this relationship? r Yes F No (If Yes, descnbe): List all existing and new accounts involved In this relationship legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F Jeepers Inc 9/18/2013 2 F lepers Inc 9/18/2013 who i the primary contact perso for the RM? (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., email address, etc.): Status 6. Approved SDNY_GM_00064895 e e 10 CONFIDENTIAL- PURSUANT TO FED. s://na4.salesforce.com/servle P R. Fi t) I 1- DB-SONY-0027720 htt irifEt snitAt0D9Di&eid=50060... /30/2013 EFTA_00 175395 EFTA01299187 KYC Print Page 2 of 15 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeepers Inc Acct. Number (I f available): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for Jeepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): g; Other Institution (Indicate name & location): 3Ptiorgan Chase. New York, NY I 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 5-10 inflows and outflows per month ranging from 51,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 50,000 Currency USD Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). legal Entityof Description Source of Weakh required Partiesrelated to i account AccountfIC Holder OwnerTrust Settler of / Founder of •:ouriliation JIhmate Beneficialor Owner Signatory..imitecl5nanoal Full FOA POA IntermediaryShareholder ;FIN) 4%) rties Significant K>=25%) Non-P1C entity (indicate ownership Other (please describe other roles and/or indicate relationship between )arties) 1 F F Jeepers, Inc F F F F F F F 2 F F Jeffrey Epstein F F F F F F F 3 F F Harry Beller F F F F F F F 4 F F Jeanne Brennan F F F F F F F SDNY_GM_00064896 CONFIDENTIAL - PURSUANT TO FED. R. It) 1 I''' DB-SDNY-0027721 https://na4.salesforce.com/servlet pliFIEWRACEDD9Di&eid=50060... 10/30/2013 EFTA_00 175396 EFTA01299188 KYC Print Page 3 of 15 2. Account Ownership Summary Account Name: Jeepers Inc Acct Number (if avallabreet. 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 Jeepers Inc's cash. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): 1•7 Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY 7 Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000-$10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after openng? 150,000 Currency USD Please list all parties related to the account For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the -other column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Entity Description of Source of Weakh required p i ities related to s account AccountPIC Holder OwnerTrust Settior of / Founder of Foundation _Itimate Beneficial Owner Signatory_imitedflnancial or Full POA °OA IntermediaryShareholder (FIM) Significant 0.-25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between oarbes) 1 F F Jeepers, Inc F F F F r r r 2 r F Jeffrey Epstein F F F F F r r 3 F F Harry Beller F F F F F F F 4 F F Jeanne Brennan F F F F F F F SONY GM_00064897 Imps://na4.salesforce.com/sen/let AttleEteAt0D9Di&eid=50066.. . 10/30/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0027722 EFTA_00I 75397 EFTA01299189 KYC Print Page 4 of 15 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein -- Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family a- &err/ship, descnbe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) f— yes F No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Client Place Domicile: of Business: Other Location (specify): Date: Paul Moms 7 F F 8/7/2013 — F F n 7 Wealth Details for this individual are not filled in, bec use 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 Individual's Business: Private investments Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor 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, counties of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner n 1980. In 1982, Epstein founded his own financial management firm, ). Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income ($): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: SDNY_GM_00064898 CONFIDENTIAL - PURSUANT TO FED. R. At ) DB-SDNY-0027723 hops://na4.salesforce.com/serelet POE419'ft OD9Di&eid=50060... 10/30/2013 EFTA_00 175398 EFTA01299190 KYC Print Page 5 of 15 Institution: 31:Norgan Chase Country: USA Est. Assets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal Status, other family members, etc.): Single SDNY_GM_00064899 littps://na4.salesforce.com/servle ntliDEN/TpACE/D9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027724 EFTA_00175399 EFTA01299191 KYC Print Page 6 of IS 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 - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Posibon/Trde/Rank: Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fneniship, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r- yes t- i t.' No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Chent Private Domicile: Bus Place of Businew: Other Location (specify): Date: Paul Mont fv r r 10/21/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did settlor 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.) Estimated Annual Income (5): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I 1Country: I I Est. Assets Under Mgt: SONY GM_00064900 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servle nriffiEteAtompi&eid=50066.. . 10/30/2013 DB-SONY-0027725 EFTA_O0I754O0 EFTA01299192 KYC Print Page 7 of 15 Institution: Institution: Country: Country: ' Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SONY GM_00064901 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servle AtriDENTipActoD,Di&eid=50066.. . 10/30/2013 DB-SONY-0027726 EFTA_00 175401 EFTA01299193 KYC Print Page 8 of IS 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 - Date of Birth: Country of Residence: USVI Country of Citizenship: USVI Address of primary residence: Profession/Occupation: Finance Tax ID / SSN: Current Employer: Southern Financial, LLC Position/Tide/Rank: Address of employer: 6100 Red Hook Quarter, B3 St, Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(If Family or Fnendship, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r• yes F, No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Client Place Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, how did settlor 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.) Estimated Annual Income (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY_GM_00064902 CONFIDENTIAL - PURSUANT TO FED. R. e) I '—' DB-SDNY-0027727 https://na4.salesforce.com/seMet AtPfirifElefAt0D9Di&eid=50060.. . 10/30/2013 EFTA_00 175402 EFTA01299194 KYC Print Page 9 of 15 Institution: Institution: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00064903 httpsl/na4.salesforce.com/servle ntliD ACE83 e\RT 9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027728 EFTA_00175403 EFTA01299195 KYC Print Page 10 of 15 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Enuues) Legal Entity Name: Jeepers, Inc -- Type of Entity: 7 Foundation/Association r Trust F . Company I— Estate I— Partnership Purpose of Entity: F Private Investment r Philanthropic/Charilabie r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: United States Wight Island Date of incorporation / registration: 8/18/2003 Address (city, street, post Cade): 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include Information about revocatil ty,settlor and benelicianes,etc.: Jeffrey Epstein is the sole hareholder of Jeepers Inc Please indicate how ownership of the legal entity is reflected: r Special attention: Bearer Shares • Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or not the same persons): To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Jeepers Inc is a pnvate company that holds investments of its owner, Jeffrey Epstein. Countries where business is transacted: USA, USN Number of employees: 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence Jeepers Inc was par value. Its of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities): of Jeffrey Epstein. The company began with 1,000 shares of common stock at no investments it holds. started to hold the personal investments revenue comes from the gains of the Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM - 50 MM Potential Amount to be invested with PWM ($): 200,000.00 Other Known Financial Institutions: Institution: JP Morgan Cnase Country: USA Est. Assets Under Mgt: 28,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY GM_00064904 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servlet itirjEtr kv i .. pt ,Di&eid=50066. 10/30/2013 DB-SONY-0027729 EFTA_OOI 75404 EFTA01299196 KYC Print Page 11 of 15 • SDNY_GM_00064905 hups://na4.salesforce.comiservlet CONFIDENTIAL - PURSUANT TO FED_ R phtt pEyEryntltD9Diaceid=50060... 10/30/2013 DB-SDNY-0027730 EFTA_00175405 EFTA01299197 KYC Print Page 12 of 15 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center 17 NY r - NY/Offshore r Offshore F Moderate Risk r; High Risk Michael Vila (Compliance Signature) F DO Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or entities) that were submitted for database B. F Yes F No searches is attached C. Please indicate the results of the database searches performed RDC searches complete F Yes F N., negative results found r Yes F No KR checks complete F Yes F we negative results found F Yes F NO OFAC checks complete F Yes F No negative results found F Yes F NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) 9.-- iv Yes r- No negative results found F Yes F No Denial Orders checks complete F Yes r No negative results found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes F No Please summarize any ne tive resuks from the database searches indicated above: HARRY BELLER: KYC approved in case JEANNE BRENNAN: No Negative Media No Court Cases D. JEFFREY EPSTEIN: Jeffrey was approved in KYC His PCR/ROC alerts and clearances and all documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media All court cases are not our client. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our client is based in the LtS Virgin Islands E. To the best of your knowledge, has the client ever been convicted of a cnminal offense? 57 Yes F No To the best of your knowledge, has the customer ever been involved in any past litigation against Deutsche Bank AG or any of its subsidiaries or is the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (tatAm/Intl) or the Regulatory Control Group and notify Compbance immediately) G Does the client or related party have any financial or other association / interactions r- yes F No ' within countries or regimes sanctioned by the Office of Foreign Assets Control (MC)? ' H' the client arelated party have any financial or other association/ Interactions r yes F No - within high risk countries? SDNY_GM_00064906 CONFIDENTIAL - PURSUANT TO FED. R. M) I I"' DB-SONY-0027731 hups://na4.salesforce.com/servlet Plif4 EteAt0D9Di&ei d=50060... 10/30/2013 EFTA_00 175406 EFTA01299198 KYC Print Page 13 of 15 I. Corporate Documentation Attached (Legal Entities Only) F Yes r No r Not Applicable 3. Uncasclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable 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: SDNY_GM_00064907 hups://na4.salesforce.com/servle frittliDEITRACLD9Diateid=50060... 10/30/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0027732 EFTA_00175407 EFTA01299199 KYC Print Page 14 of 15 M. Cam Commenb Created By Date Comments Jacqueline Lightbody 10/29/2013 1:38 PM There is no change in the risk rating for this update. Therefore, a new risk calculator not required. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris "Signature) >au! Moms Office Director/Business Head: Brian M. Biggar "Signature) 3rian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Michael Vila (Signature) Jacqueline Lightbody Michael Vila 10/29/2013 10/29/2013 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head GMTM)/Sub-Market Team Head SMTH): (Signature) AML Business Risk: AML Compliance: (Signature) SDNY_GM_00084908 hups://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED_ R. Fitt pEyErepftto9Disceid=50060... 10/30/2013 DB-SDNY-0027733 EFTA_00175408 EFTA01299200 KYC Print Page 15 of 15 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards qf suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CEP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best 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 I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (i) Client Facing Professionals (CFP :5) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York VA SDNY_GM_00013490'a hupslina4.salesforce.comiservlet CONFIDENTIAL - PURSUANT TO FED_ R. pEyEIVFMCE:09Diaceid=50060... 10/30/2013 DB-SDNY-0027734 EFTA_00175409 EFTA01299201