EFTA Document EFTA01480843

Tickeat Client Name ECI LOB 102745898 Account, NEPTUNE LLC Account Title 0391309309 Account Type PB Initiated Date 0110312012 10S0 AM Initiator ELIZABETH M CAMPBELL Initiating Team PS 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 the attachment No Other Database Searches (RDCIAIIS/Factiva) No records were found. No Internal Database Search (OSSS/FPS) Internal database search revealed prior GS& 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 served 13 months in jail. Numerous articles detail various law enforcement agencies investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage girls. Jeffrey Epstein ...... required to register as a sex 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 wore found. No Personal Particulars No additional research necessary. No Publications . Publications revealed nothing derogatory. No Regulatory Sanctions No records were found. No OFAC/Control 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 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 l • aUre • ulato stand .olnt. Please state your rationale for conducting business with this client Please respond to any issue(s) identified in the GUI grid that either needs further review, or red dot wtiich is not afread covered In a Business Case within this KYC Comments Yes exisang client of the Private Bank. regularly reviewed by management and risk committee. Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00003074 SDNY_GM_00272272 EFTA01480843