EFTA Document EFTA01431184

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01121946 One sheet must be established per relationship list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Paul Morris H I I I New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: II I Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? IIII I I RM Prospect IIII Intermediary/FIM IIIII Other Source (CIB, etc.) Please provide details (e g. name of referral source, how many years RM personally has 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 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 Deutsche Bank Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? I II I Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 EFTA01431184 2 MO Account Name / Number The Haze Trust The Haze Trust Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Opening Date (intended/actual) 9/18/2013 9/18/2013 Jeffrey Epstein Preferred method of contact(indicate phone no fax no., e-mail address, etc.): Hill I No NI I Existing Booking Center: New York Status : 6. Approved PWM Relationship https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431185 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: The Haze Trust 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 The Haze Trust's daily liquidity needs. 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): JP Morgan Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): 1 1 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 $1,000- $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? 25000 50000 Currency Currency 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). I 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 EFTA01431186 Description of Source of Wealth required Parties related to this account 1 10 l Hill 2 I I I i 3 1 1 1 The Haze Trust I Darren Indyke I I I HU Jeffrey Epstein 1 111 I I I III III Il II III I I III II IIIM I II M Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full P0A Limited P0A Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD II I l I EFTA01431187 USD Acct. Number (if available): Other (please describe other roles and/or indicate relationship between parties) Trustee:; https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431188 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Account Manager: The Haze Trust 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 for The Haze Trust to hold its cash. 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 Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): I 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 to $20,000 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? 50,000 150,000 Currency Currency Please list all parties related to the account. For each party: I I 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). I 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. I Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description EFTA01431189 of Source of Wealth required Parties related to this account 1 2 3 The Haze Darren Jeff re MINI II MOH I II MINI II Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD USD IV H I 0 II I Trust I II Mill DUD Indyke NH II I II 1pHsituiim plill lip Im plH I O M DM DIMDI II I HO MI HO HI il I I II I EFTA01431190 Acct. Number (if available): Other (please describe other roles and/or indicate relationship between parties) Trustee:; https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431191 KYC Print Page 4 of 12 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 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 ) If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Paul Morris IIYes Family Yes HI II No albI Friendship II I I[ No Indicate where and when the client meeting(s) took place: KOffice: IOU IOU Client Private EFTA01431192 icile: Client Place uT f iness: 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: Summarize Source of Wealth: *i re investments Other Location (specify): Date: 8/7/2013 HUH None Tax ID / SSN: Position/Title/Rank: 090-44-3348 President Date of Birth: Country of Citizenship: 1/20/1953 USA Business Owner Salary/Earnings Investment Inheritance/Gifts 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 EFTA01431193 options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. 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 (5): 10,000,000.00 Estimated Net Worth($): $100 MM - 500 MM Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM 200,000.00 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431194 KYC Print Page 5 of 12 Institution: JPMorgan Chase Country: Institution: Institution: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Single 23,000,000.00 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431195 KYC Print Page 6 of 12 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: Darren Indyke - 00000486405 USA 2 Kean Court Livingston NJ 07039 USA Accountant Southern Financial LLC 6100 Red Hook Quarter B3 St Thomas USVI 00802 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 ) If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Paul Morris IIYes Family Yes HI II No albI Friendship II I I[ No Indicate where and when the client meeting(s) took place: KOffice: IaIU I IaIU I Client Private EFTA01431196 icile: Client Place uT f iness: 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: Summarize Source of Wealth: Other Location (specify): Date: 9/6/2013 HUH' None Tax ID / SSN: Position/Title/Rank: 098-54-8596 Date of Birth: Country of Citizenship: 2/19/1965 Business Owner Salary/Earnings Investment Inheritance/Gifts 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.) Estimated Annual Income ($): EFTA01431197 Estimated Net Worth($): Other Known Financial Institutions: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431198 KYC Print Page 7 of 12 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.): https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431199 KYC Print Page 8 of 12 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: The Haze Trust - 00000486428 MHO I Foundation/Association I Estate Partnership Type of Entity Other specify): Country of Incorporation/registration: Address (city, street, post code): United States Virgin Islands Pur ose V of Entity: I M iii I Company Purpose of Entity Other (specify): Date of incorporation / registration: 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 2/9/1999 Private Investment Philanthropic/Charitable Commercial 13-7185414 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.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee MOH I Special attention: Bearer Shares - Indicate where shares are custodied: EFTA01431200 Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Jeffrey Epstein: Grantor Darren Indyke: Trustee 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 MI III I No Mal Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI 2 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investements and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: JPMorgan Chase Institution: 300,000.00 200,000.00 $20 MM - 50 MM 200,000.00 The trust was initially funded with $100. The trust makes and holds investements and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: 23,000,000.00 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431201 KYC Print Page 9 of 12 Institution: Country: Est. Assets Under Mgt: https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431202 KYC Print Page 10 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Booking Center EPSTEIN, JEFFREY RELATIONSHIP I NY DB Employee NY/Offshore DB Managed PIC Offshore Moderate H I High Risk Janice Franklin (Compliance Signature) IIIIDB is Trustee/Co-Trustee 4 Attachments A Type of Photo ID Provided 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) Drivers License Passport National/State ID Other H II No Yes No Yes No II II IInegative results found IInegative results found EFTA01431203 II Yes Noll II Yes Noll II Yes Noll I Yes negative negative negative results found results found results found negative results found Please summarize any negative results from above: Please see KYC 01082293 for Jeffrey Epstein approvals D. Darren Indyke: No Negative Media No Court Cases The Haze Trust E. To the best of has the the database searches indicated approval and for all Compliance client ever been convicted of a criminal offense? No Yes 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? I Corporate Documentation Attached (Legal Entities Only) .7 Undisclosed Principal Form Complete (Intermediaries Only) JEFFREY EPSTEIN I Yes Na Il Hi III V Yes II Il I Yes N011131 MO I I Yes NAIIIIMM EFTA01431204 Ye Yes Yes I Yes No MIMIC Yes No II II IIBearer Shares I N. I II III No ui No Yes No Not Applicable I Yes No Not Applicable I III II I URI' 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: https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431205 KYC Print Page 11 of 12 M. Case Comments Created By Amanda Kirby Date 9/9/2013 5:13 PM Comments Please see KYC 01082293 for Jeffrey Epstein KYC approval and all due diligence, attachments and source of wealth ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Office Director/Business Head: Regional Office Director: AML Business Risk: (Signature) Mary Keaveney (Signature) Paul Morris (Signature) Mary Keaveney (Signature) 9/5/2013 9/5/2013 AML Compliance: Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) 9/10/2013 9/10/2013 AML Compliance: (Signature) https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431206 KYC Print Page 12 of 12 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 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 Managers, etc. Deutsche Bank Americas New York https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/19/2013 EFTA01431207