EFTA Document EFTA01428442

KYC Print DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01082293 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein was a client of Paul's at JP 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 JPMorgan Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 2 3 4 Account Name / Number Southern Financial, LLC Southern Financial, LLC Southern Trust Company, Inc. Southern Trust Company, Inc. Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Jeffrey Epstein Preferred method of EFTA01428442 contact(indicate phone no., fax no., e-mail address, etc.): Opening Date (intended/actual) 8/19/2013 8/19/2013 8/19/2013 8/19/2013 No EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Paul Morris New PWM Relationship Existing PWM Relationship Booking Center: New York Status : 6. Approved 340 775 2525 https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvemJMcjR- wemULFIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428443 KYC Print One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, LLC 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. To hold funds for the company. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan, NYC 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 2 inflows & outflows per month ranging from $1000 to $10,000. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 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. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 Jeffrey Epstein Southern Financial EFTA01428444 LLC Southern Trust is the sole 3 Southern Trust Company, Inc. 100 member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) 50,000 150,000 Yes No Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=2596)NonPIC entity EFTA01428445 (indicate ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern Trust; https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNverOMcjR- wem1JLED(WmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428446 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Southern Financial, LLC 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 to hold funds for the company. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan, NYC 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 10 inflows and 10 outflows per 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? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 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. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 Jeffrey Epstein Southern Financial LLC EFTA01428447 Southern Trust is the sole 3 Southern Trust Company, Inc. 100 member of Southern Financial and Jeffrey Epstein is the sole shareholder of Southern Trust; Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) 50,000 100,000 Yes No Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=2596)NonPIC entity (indicate EFTA01428448 ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern Trust; https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNverOMcjR- wem1JLED(WmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428449 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. 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. To hold funds for company Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan, NYC 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 10 inflows and 10 outflows per 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? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 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. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 Jeffrey Epstein Southern Trust Company, EFTA01428450 Inc. Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) 50,000 100,000 Yes No Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern EFTA01428451 Trust; https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZ1cwaXNvemMcjR- wem1JLF1XWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428452 KYC Print 2. Account Ownership Summary Account Name: Account Manager: Southern Trust Company, Inc. 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 funds for the company. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan, NYC 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 2 inflows & outflows per 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? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 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. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 2 Jeffrey Epstein Southern Trust Company, EFTA01428453 Inc. Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) 50,000 150,000 Yes No Currency Currency USD USD Acct. Number (if available): Significant Shareholder (>=25%)NonPIC entity (indicate ownership %) Legal Representative Grantor/SettlorFounding Donor Other (please describe other roles and/or indicate relationship between parties) Sole shareholder of Southern EFTA01428454 Trust; https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZ1cwaXNvemMcjR- wem1JLF1XWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428455 KYC Print One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey Epstein - 00000483289 USVI Litte Saint James Saint Thomas 00802 US Virgin Islands Self Empolyed Southern Financial LLC 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) 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,describe ) Yes Yes Family Yes No No Friendship No None Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: 1/20/1953 USA Yes No 090-44-3348 President EFTA01428456 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: Paul Morris Client Private Domicile: Client Place of Business: Other Location (specify): Date: 4/3/2013 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. 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 industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Private investments Business Owner Salary/Earnings Investment Inheritance/Gifts 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, 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 financial management firm, 3. 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 his days at Bear Stearns and his financial management firms Estimated Annual Income($): Estimated Net Worth($): 10,000,000.00 $100 MM - 500 MM Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM EFTA01428457 10,000.00 https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZ1cwaXNvemMcjR- wem1JLF1XWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428458 KYC Print Institution: Institution: Institution: JPMorgan Country: Country: Country: Please indicate the family situation of the individual (marital status, other family members, etc.): Single 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): US Virgin Islands Southern Financial LLC - 00000483882 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc 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): Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of EFTA01428459 Southern Trust Company Inc 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)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: Yes No This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein US Virgin Islands 3 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): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvemJMcjR- wem1JLEIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] 2,000,000.00 1,500,000.00 <$1 MM 300,000.00 2/25/2013 Private Investment Philanthropic/Charitable Commercial USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 20,000,000.00 EFTA01428460 KYC Print 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): US Virgin Islands Southern Financial LLC - 00000483882 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0799192 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc Please indicate how ownership of the legal entity is reflected: Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc 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): Southern Trust Company Inc is the sole member of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc 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)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: EFTA01428461 Yes No This business is funded by Jeffrey Epstein's wealth. This company was formed to hold Mr. Epstein's personal wealth and invest in different ventures. This company invests in real estate, equities, commodities, etc and gets its revenue from the gains it makes in these investments. It is a company formed to invest the assets of Mr. Epstein US Virgin Islands 3 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): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole managing member (Jeffrey Epstein). Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: JPMorgan Institution: Institution: 2,000,000.00 1,500,000.00 <$1 MM 300,000.00 2/25/2013 Private Investment Philanthropic/Charitable Commercial Country: Country: Country: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvemJMcjR- wemULFIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 1,000,000.00 EFTA01428462 KYC Print 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: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): US Virgin Islands Southern Trust Company, Inc. - 00000483883 Foundation/Association Partnership Trust Company Estate Purpose of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: Volcker Flag: 6100 Red Hook Quarter B3 St Thomas 00802 US Virgin Islands U.S. TIN/EIN: 66-0779861 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein is sole managing member 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): Jeffrey Epstein is sole managing member 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)?: Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: Yes No Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return EFTA01428463 of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets US Virgin Islands 4 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): Consult and invest client funds and gain revenue based on fees and returns Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: JPMorgan Institution: Institution: 2,000,000.00 1,500,000.00 $2 MM - 5 MM 300,000.00 11/18/2011 Private Investment Philanthropic/Charitable Commercial Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 2,000,000.00 https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvealMcjR- wemULFIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428464 KYC Print DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Risk Rating Comments: Booking Center EPSTEIN, JEFFREY RELATIONSHIP NY NY/Offshore DB Employee DB Managed PIC Offshore Moderate Risk High Risk (Compliance Signature) DB is Trustee/Co-Trustee 4. Attachments A. Type of Photo ID Provided Drivers License Passport B. Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) Yes National/State ID No Other Bearer Shares Yes Yes Yes Yes Yes Yes No No No No No No negative results found Yes negative results found negative results found negative results found EFTA01428465 negative results found negative results found Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert #1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media D Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? F 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 threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G. 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 (OFAC)? H. Does the client or related party have any financial or other association/ interactions within high risk countries? Yes Yes No No Yes Yes Yes Yes EFTA01428466 Yes No No No No No No Yes Yes No No https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYficwaXNverrOMcjR- wem1JLF1XWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428467 KYC Print I. Corporate Documentation Attached (Legal Entities Only) 3. Undisclosed Principal Form Complete (Intermediaries Only) Yes Yes No No Not Applicable 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: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? Is the account structure unusually complex? Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? Is there any indication this could be a prohibited business relationship? Are the bearer shares identified subject to acceptable controls? Yes Yes Yes Yes Yes No No No No No https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvem3McjR- weml3LFIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428468 KYC Print M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Office Director/Business Head: Regional Office Director: AML Business Risk: Armen Brash (Signature) Armen Brash 8/20/2013 Paul Morris Brian M. Biggar (Signature) Paul Morris (Signature) Brian M. Biggar (Signature) 7/17/2013 7/18/2013 AML Compliance: Janice Franklin (Signature) Janice Franklin 8/21/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/SubMarket Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (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 Professionalsl(1) (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 EFTA01428469 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 (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZlcwaXNvealMcjR- wemULFIXWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] EFTA01428470 KYC Print Managers, etc. Deutsche Bank Americas New York https://- dbforcepb.my.salesforce.com/...RveE5qb3lNeTR5TXpWYSxhWjAlcjBYZ1cwaXNvemNicjR- wem1JLF1XWmtNROpo&autoMapValues=1[7/10/2019 11:18:17 AM] on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428471 on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428472 on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428473 on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428474 on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428475 on on on on on on on on on on on on on on on on on on on on on on on on on on on on on EFTA01428476