EFTA Document EFTA01362390

KYC Mint Page 16 of 19 DB PWM GLOBAL KYC/NCA: US/ LatAm /1 nt'l PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 0 Fir —1 NY/Offshore ❑Offshore O Moderate Risk rst tyi High msk Yoonsun Chung (Compliance Sgnature) O DB Employee O DB Managed PC E 0 B is Trustee/Co-Trustee .._lBearer Snares 4. Attachments A Tyoe of Photo ID Provided g Drivers License g Passpon O National/State 10 O Other Checklist of names (Individuals and/or entities) that were submitted for database B W Yes O No searches is attached C Please indicate the results of the database searches performed PDC searches complete ni Yes ❑No negative results found O Yes FA No PCR checks complete 52 yes O No negative results found O yes 52 No OFAC checks com plete ©Yes O No negative results found O Yes ir5 No BIS searches complete (LexiarNexis, Factiva, Reuters, Dow 52 Yes O No negative results found O Yes 22 Jones, D&B) No Denial Orders checks complete g Yes O No negative results found O Yes n No Martindale-Hubbell searched (Lawyers/Law Firms only) OYes btNo negative results found O Yes El No Please summarize any negative results from the database searches indicated above GRATITUDE AMERICA No negative media No court cases DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media is not about him individualty but about the others mentioned. No court cases D. JEFFREY EPSTEIN: Previoutty approved KYC #:01002293 8 01121718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been dosed Neptune LLC: The court case in the research is a false positive and does not refer to the entity that is part of this KYC. The entity in the court ca,- refers to a NYC entity owned by Salvatore Judice. where as the entity in this KYC is a USIA entity solely owned by Mr. Epstein. Neptune LLC owned by Jeffrey Epstein donated to Gary King's campaign for $5,200 in 2006. Mr. Epstein is already noted as a PEP To the best of your knowledge, has the client ever been convicted of a criminal 66 Yes E. offense? O 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 Yea D Yes g No provide details below and contact Quality Mgt. (LatAm/Intl) or the Regulatory Control Group and notify Compllance immediately) G. O Yes ../ '..io Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid IN30000000D9Di&e... 7/30/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051780 CONFIDENTIAL SDNY_ GM_00197954 EFTA01362390