EFTA Document EFTA01282070

KYC l'rint Pagel of 10 DB PWM GLOBAL KYG/NCA: PART A KYC Case = : One sheet must be established pr relationship - list all accounts Included In the retationsin 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center. New York Relationship Manager: Pate Mans • New PWM Relationship ID Existing PWM Relationship Relationship to PWM: If costing, please indicate wee when the relationship mists, provide reason for new profde and attach old profile: 2 Client Referral O RH Prospect • Intermediary/PIM O Other Source (GB, etc.) How Was the Cilent(s) Introduced? How long has the RII personally known the diet? Please provide details (e.g. name of referral source, how many years current client of the Bank. Wants to open a new account. Irdroductko Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague Over the course of a fen meetings Paul was able to get Jeffrey to Rel personally has known diet, etc): Jeffrey Epstein s a details of Paul and Jeffrer Jeffrey Epstein was a client of who introduced them while Paul was at JP/organ. treig some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or singer O Yes 1 2 No compensation to a third party for the introduction of this relationship? Of Yes, &sate). List al existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intendcd/actual) 1 9 2orro Development Corp 4/28(2014 2 I' LI 2orro Development Com -- Money Market 4/28/2014 Who is the primary contact person for the RN? (Note: This person needs to have signatory rights andfor anfonnabon right foe the accounts.): r.,_„„en thdyke a " Preferred method of contact (indicate phone no., fax no., ems address, etc.): Status : 6. Approved SDNY_GM_00037349 CONFIDENTIAL- PURSUANT TO FED. R. IA I ONFIDENTIAL DB-SONY-0000173 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147961 EFTA01282070 KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Z0IT0 Development Corp Pat. Winter (if available): Account Manager: Pal Morris What is the purpose of the account (e.g. portfolio managemen , advisory account, custody services, long-term invmment, payment/expense account)? Chedring account for the thy-to-day expenses associated with turning the ranch re Nevi Mexico that 20110 owns Indicate from where the assets ate expected to amve? 0 DB Group: Same Booking Center (indicate account number): From Jeffrey Epstein's account' O DB Group: Other Booking Center (indicate DB location and account details): O Other Institution - (Iridcate name & location): O Physcal Deposits (specify cash, securities, cheques.....: What is the expected see and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-30 inflows and outflows per month ranging from $1000 to $10,000 What is the expected vokune of assets and currency for the accepts% approx. 90 days after opening? 1 100000 I Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 150000 I Currency I USD Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3(4? • yes O No Please list all parties related to the account. For each party: • Check if a source or wealth desenpuon is required for the party. • Check the appropriate box to describe the relationship of the party o 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 relationshp between the parties in the last column. • Please MI down to the ultimate/underlying Benefidal Owner(s). _egal Entity 7esaiption af Source of Wealth equired Parties related to /his account panes) Account Holier PlC Owner 'enior of Trust/ Founder of Foundation _Serrate `Sigratory_mitedPinancial Benet calor Diner Full POA ?OA ntermediary•Shareholder (FIM) &militant (>=25%) Non-PIC entity (indicate ynnership %) Legal Representative Grantor/SetdoriFoundina.3ther Donor (please describe other roles and/or indicate relationship between I 12 O Z0IT0 Development Corp. Lj O O O O O • O O 2 • • Darren indyke O O • O I21 • • • O O O O Epsten kik" O O • 10 O O O • O O SDNY_GM_00037350 CONFIDENTIAL - PURSUANT TO FED. R. t I ON FIDENTIAL DB-SONY-0000174 https://dbforcepb.my.salesforce.com/servlet/servlet.lntegration?lid=01N30000000D9Di&e... 7/11/2019 EFTA _00147962 EFTA01282071 KYC Print Page 3 of 10 2. Account Ownership Summary Acoount Name: atm Development Corp — Money Market Acct. Number (if agsgabki Aco3unt Manager: Paul Morris What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term Immanent, payrnent/emense account)? Money Market account forapensin associated with winning the ranch in New Mexico that ZOITO owns. This account we hold extra funds and earn Interest Indicate from where the assets we expected to amve? 0 DB Group: Same Booking Center (Indicate account number): Jeffrey Epstein's account O DB Group: Other Booking Center (Indicate DB location and account details): O Other Institution - (Indicate name & location): O Physical Deposits (specify cash, secunties, cheques....): What Is the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per Mort h)?: Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10,000 What Is the expected volume of assets and currency fa the account approx. 90 days after 1 100000 opening? I Currency I USD What is the expected vokune of assets and currency for the account approx. one year after 1 150000 opening? I Currency I USD DOES/Wall the orient have Assets Under Management (AuM) within DS under Eur. 3M? • Yon 2 No Please list all parties related to the account. For each party: • Check if a space of wealth desorption s required for the party. • Check the appropriate box to describe the relationship of the party to this account (> I can be selected). • f none of the check boxes apply, dose be the parWs relation to the account In the 'Other column. • Ahvay describe the relationshp between the parties in the last column. • Please WI down to the ultimate/underlying Berefical Owner(s). _egai Entity Desorption of Source of Wealth educed Parties related to phis account Account Haler PlC Owner Senior of Trust / Founder of Foundation innate Beneficator Owner Signatory Full POA _Imited POA Financial Intermedlaythareholder (FIM) Significant (>=25%) Non-PIC entity ;indicate ownership %) Legal Representative Grantor/SetdatoundingOther Donor O (please describe other roles and/or indicate relationship between parties) I I El loco Development Corp. a O O O o o o O L 2 O O Darren Indyke • O O O 21 O O O O LI O 5 jeffi" Epstein O O O O 0 O O • O O SONY_GM_00037351 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000175 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147963 EFTA01282072 KY(' Print Page 4 of 10 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh 1p Summ 3A. Individual Details (for all parties) IncliAlualt Name: Jeffrey Lpsten - Dated Birth: 1/20/1953 Country d Residence: USV1 Country of Otizenship: USA Address of primary residence: Utte Saint James Saint Thomas 00802 US Virgin Wands Has client resided outside of his/her cony of nationality for 5 years or more? O yes 0 No Profession/Occupation: Set Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC PostonatieRank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USV1 00802 Does the person work as senior °recur:lye d a DB-recognized regulated entity In the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities n yes O No '—' Is the indvidual a Politically Exposed Person (PEP)kif yes, cleSCribel O Yes O No To the best of your knowledge, is the Individual related to an employee of the DB groupyil Family or friendsh(o, *at* ) O Friendship 0 None • Family To the best of your knowledge, is the indMdual party to a nal-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, wciplier of goods or servion)? (if Yactesmbe) No . Yes 2 if applicable, indicate whith bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Office: Client Private Dormdle: Client Placed Business: Other Location (seedy): Date: Paul Mans O O 2 3/4/2014 O O • O O O • Wealth Details for this individual are not filled in, because they are the same as for the foaming person: 38. Wealth Details (Orgy for parties recs.wing source of wealth dompton as .neficated in Sector. 2) Natured the Individual's Business: Private Investments Primary Country of soiree of wealth/source of Funds? Primary industry of source of ViealtIVSource of Funds? Summarize Source of Wealth: Business Owner OSalanyEarnings Investrnent . Inherence/Geis . Other: Further Describe Source of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did senior 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 acavibes, 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, J. Epstein & Ca, managing the assets of clients with more than a baron in net worts 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. Al of his clients were anonymous except for the very wealthy businessman Lambe Wexner. His wealth has carne from Ns days at Bear Stearns and his financial management firms Estimated Annual Incane($): 10,000,000.00 Estimated amount of investatre assets($): $50 MM - HO MM Estimated Net Worth(S): $100 MM - 500 MM Amount of asses premed to invest with PWM(6): Utter Known Financial Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00037352 DB-SONY-0000176 7/11/2019 EFTA_00147964 EFTA01282073 KYC Print Page 5 of 10 hr.otuticn: I I Country: Please incicate the family situation of the individual (manta' status, other family members, etc.): I Est. ASSets Under Mgt: SDNY_GM_00037353 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000177 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147965 EFTA01282074 KY(' Print Page 6 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=0IN30000000D9Di&e... One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownersh lu Summ 3A. Individual Details (for all parties) Individual's Name: Darren Indyke • Dated Birth: Country of Residence: USA Country of Otizenship: USA Address of primary residence: Has client rmided outside of his/her country of nationality for S years a more? O Yes W No Profession/Occupation: Lawyer Tax ID/ SSN: Current Employer: Southern Financial LLC Positionfhtle/Rank: Address of employer: 575 Lexington Ave, 4th Fl Uvingston NY USA 10022 Does the person work as senior emotive of a DB-recognized regulated entry n the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable fa operating entities O Yes W No Is the ineWidual a Politically Exposed Person (PEP)?(f Yes, legate) O Yes WI No To the best of your knowledge, Is the Individual related to an employee of the DB group?(AY Family or fdendsl(o, desaibe) O Family O Friendship El None To the best of your knowledge, Is the Individual party to a nen-banking relationship wrth Deutsche Bank (e.g., edema' legs counsel, client referral source, worrier of goods a servicim)? (if Yadescribe) • Yes Er, No if applicable, indicate whith bank officers have met the person: Indicate where and when the dent meeting(s) took place: Bank Officer Name(s) Bank Office: CileM Private Dorntilt Client Placed Business: Other Location (seedy): Date: Paul Mart O O 2 9/17/2014 O O • O O O for this individual are not filled in, because they are the same as for the fcalowing peson: El Wealth Details 38. Wealth Details (Only for parties requiring soiree of wealth dim:notion as indicated in Section 2) Nature of the Individual's Gumless: Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/ealtIVSource of Funds? Summarize Source of Wealth: O Business Owner OSalary/Earnings O Other: IN Investment O Inbentance/Gfis Further Describe Soiree of Wealth /Detail the Nstory of wealth for each of the sources: (e.g. For trusts, how did settior accumulate maze'? For Inheritance, haw did family acomiubte wealth?For business owners, how long in business, how many employees, level of Profitability? Indicate type of Mildness, countries of major activities, important business partners.) Estimated Annual Incene($): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount ct assets planned to Invest Wel PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please Indicate the family situation of the individual (mental status, othe family mutters, etc.): SDNY_GM_00037354 DB-SONY-0000178 7/11/2019 EFTA_00147966 EFTA01282075 K C Print Page 7 of 10 CONFIDENTIAL- PURSUANT TO FED. R. Ce I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For all Legal &tubes) Legal Entity Name: Zorto Development Corp. - 000a Type of Entity: O Foundation/Assccation • Trust 121Company • Estate Purpose of Entity: 2 Private Investment • Partnership PNIaMlvcplc/Ctaritable O Commerdal Type of Enbty Other (specify): Ptrpose of Enbty Other (specify): Country of incaporatichfregistrweon: USA Date of inaltlaelstbn / nagtstratico: 3/17/1903 Vokker Status: Vokker Flag: Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 USN U.S. TIN/EIN: 85-040-9324 Provide a desaiption of the entity's organaatioral sobaure, its ownership structure and Its Top Management. Fa trusts/foundatans, Include information about revocability,settiot and benefldanesetc: Zorro is able to issue 3000 shares Currently there are ally 100 shares Issued. MI owned by Jeffrey Epstein Please indcate how °mato of the legal entity is reflected: Zorro is able to Issue 3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey Epstein El Spedal attention: Bearer Shares - Indicate where shares ate custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (dent the same persons) Zorro is able to issue 3000 shares. Currently there are only 100 shares issued. MI owned by Jeffrey Epstein To the best of your knowledge, is the entity party to a non-banHng rebticnship with Deutsdie Bank (e.g. external egad counsel, dent referral source, supplier of goods et services)?: Yes O No2 Describe Nature of Entity's Primary Business and Investment Activities Nature of the Osness: Zorro Development is a real estate holding compaw. It 'soca-many famed to rim and merate all activities associated with a property that Jeffrey Epstein owns in New Mato Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Orgy for parties requiring source of wealth description as indicated in Section 2) Primary Country of soiree of wealth/source of Funds? Primary Industry of source of V/eattli/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Whites): Ina company Is funded by Jeffrey Eosteits personal wealth Estimated gross receipts pa($): Estimated net profit p.a. (5): Estimated investable assets ($): $1 MM - 2 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: Country: EsL Assets Under Mgt: Institution: Country: ESL Assets Under Mgt: Institution: _ Country: Est. Assets Under Mgt: SDNY_GM_00037355 DB-SONY-0000179 7/11/2019 EFI'A_00 147967 EFTA01282076 KYC Print Page 8 of 10 CONFIDENTIAL - PURSUANT TO FED. R. CC I ONFIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name SOUTHERN FINANOAL RELATIONSHIP Risk Rating Comments: Booking Center O NY/Offshore O Moderate (Risk earra High Risk Gwen Hill NY • Offshore (Complance Signature) O DB Employee O DB Managed PIC O DB e Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided @Drivers Ucense O Passport O National/State ID O Other B. Chethlet of names (individuals and/or entities) that were sub fitted for database searches is attached 2 Yes O No C. Please indlote the teat of the database searches performed RDC searches complete @Yes • No negative results found O Yes Sr No PCR checks complete E Yes O No negative results found Oyes e No Cf AC checks complete RI Yes O No negative results found O Yes RI No BIS searches complete (Lees/Nods, Factiva, Reuters, Dow Jones, D&B) @Yes O No negative results found O Yes FA No Denial Orders checks complete @Yes O No negative results found O Yes No Martindale-Hormel searched (Lawyers/Law Firms only) O Yes No negative results found Oyes O No D. Please sunananzeative results from the database searches indicated above: DARREN INDYKE: KYC approved in and again when added as POA ri KYC- JEFFREY EPSTEIN: KYC approved in ZORRO DEVELOPMENT CORP: No Negative Media No Coat Cases E. To the best of your knowledge, has the client ever been convicted of a canker offense? Yes O No F. To the best of your knowledge, has the customer ever been involved in any past litigation aganst Deutsche Bank AG or any of its subsidiaries or is the customer tiveatening litigation against Deutsche o yes 2 No Bank AG a any of IN subsilaries? (If Yes, provide details below and context Qvaty Mgt (lataillnet) or the Regulatoty Coact Group al notify Compliance immazatew a Does the client or related pasty have any financial or other association / nteractions within counties a rts 2 No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? II' Does the client or related party have any (Vandal or other association) interactions within Ngh risk O yes 2 No countries? I. Corporate Documentation Attached (Legal Entities Only) @Yes O No O Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No Not Applicable K. If Lens/Nods Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the native/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Speoal Risk Countries? O Yes No Is the scone structure unusual*/ complex? O Yes RIND Is there any indication the client set up a non operating company expressly O Yes 2 No for the purpose of wansfernng shares to third 'mites? Is there any lildiCal011 this could be a prohibited business relationship? O Yes J No SDNY_GM_00037356 DB-SONY-0000180 7/11/2019 EFTA_00147968 EFTA01282077 KYC Print Page 9 of 10 Are the bearer shares Identified subject to acceptable cornets? 0 Yes No SONY_GM_00037357 CONFIDENTIAL- PURSUANT TO FED. R. IC I ON FIDENTIAL DB-SONY-00001S1 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 7/11/2019 EFTA_00147969 EFTA01282078 KYC Print Page 10 of 10 CONFIDENTIAL- PURSUANT TO FED. R. IA I ON FIDENTIAL https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... M. Case Comments '10 records to display. ONSHORE APPROVALS Cent Fa:ing Professional (CFP): Paul Morns (Signature) Pail Morris 4/23/2014 Office Director/Business Head: Kimberly Hat (*native) lOmberly Hart 4/23/2014 Regional Office Director: (*nature) AML Business Risk: (Signature) AIL Compliance: Janice Franklin Gwen Hill (Signature) lance Franklin Gwen Hill 4/2512014 4/2512014 LATAM/INTERNATIONAL APPROVALS Cent Facing Professional (CFP): (*nature) Account Manager: (Signature) Global Market Team Head (cernivsub. Market Team Head (514TH): (Signature) AML Business Risk: (Signature) AML Compliance: (SiOnablre) 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 Professionals1(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 PIVM 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 SDNY_GM_00037358 DB-SONY-0000152 7/11/2019 EFTA_00147970 EFTA01282079