EFTA Document EFTA01480830

Tickets Ghent Name ECI LOB 102745698 Account. NEPTUNE LLC Account Idle 0391309309 Account Type PB Initiated Dale 01/03.201210:50 AM Initiator ELIZABETH M CAMPBELL Initiating Team PB FRONT OFFICE Verify & Confirm for NEPTUNE LLC Final Risk Rating High Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk Indicators No Comments Summary of Risk Attributes Risk Updated History Creation Date Entered by Updated Risk Previous Risk Comment GCS Grid Search Type Security Service Details Further Review Required Company Information Information not confirmed for Neptune LLC; details included in the attachment (TAX ID and Address) Yes Corporate Records Information confirmed; details included in tho attachment. No Other Database Searches (RGCSAIStractiva) No records were found. No internal Database Search (CSSS:FPS) Internal database search revealed price GUI research for Jeffrey E Epstein and the following derogatory information was reported Several newspaper articles were found that detail the indictment of Jeffrey Epstein in Florida on felony charges of soliciting underage prostitutes. Jeffrey Epstein seined 13 months In Jail. Numerous articles detail various law enfoicemenl agencoes investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage Dirks Jeffrey Epstein is required to register as a sox offender. Jeffrey Epstein has settled a dozen civil lawsuits out of court from his victims regarding solicitation for an undisclosed amount. Yes State Court Searches No records were found. No Federal Court Searches No records were found. No Personal Particulars No additional research necessary. No PuNicalions Publications revealed nothing derogatory. No Regulatory Sanctions No records were found. No OFACControl List Search No records were found. No Negative or Inconsistent Information Yes GCS Red Dot Has this been identified as Red Dot KYC? N alive Information Found No No Banker Attestation Details As the client sponsor. I understand that I am primarily Ye responsible for protecting the firm's reputation from Inappropriate business relationships, as well as from fraud and money laundering. By approving this KYC, I am sponsoring this client as to their character and reputation and from a legal/regulatory standpoint. Please state your rationale for conducting business with this exisiing client of the Private Bank. client Please respond to any issue(s) identified in the GUI grid that either needs further review. or red dot which is not already covered In a Business Case within this KYC Comments regularly reviewed by management and risk committee. Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00003058 SDNY_GM_00272256 EFTA01480830