EFTA Document EFTA01283822

KYC Print Page I 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 relationshi 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP.00000483290 Booking Center: New York Relationship Manager: Paul Morris g New AVM Relationship O Existing PWM Relationship Relationship to PWM: U existing, please indicate since when the relationsh p exists, provide reason for new profile and attach old profile: • Chent Referral g RM Prospect O Intermedory/FIM O Other Source tat etc.) How Was the Client(s) Introduced, How long has the RM personally known the client, please provide detas (e.g. name of referral source, how many years RM personally as known client, etc.): Jeffrey Epstein is a current dent of the Bank Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who ntroduted them wide Paul was at JPhlorgan. 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 O Yes I g No compensation to a third party for the introduction of this relationship, (If Yes, desenbe) list al existing and new accounts invotved in this relationship Legal Entity Account(s) Account Name / Winter Opening Date (ntended/actual) 1 2 The Haze Trust 9/18/2013 2 FA The Haze Trust 9/18/2013 Who Is the primary contact person for the Rhl, (Note: This person needs to have signatory rights and/or information eight for the accounts.): Jeffrey Epstein Preferred method of contact (indicate phone no„ fax no., e-mail address, etc.): Status : 6. Approved SONY_GM_00039713 https://dbforcepb.my.salesforCCINBIDEsALIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002537 EF1'A_00150322 EFTA01283822 KYC Print Page 2 of 12 One sheet mud be established for each account to be opened 2. Account Ownership Summary Account NAM: The Hue Trust Acct. Number Of avalthisi Account Manager: Pail Morris What's the purpose of the account (e.g. portfolio management, advisory account. custody services, long-term investment, payment/expense account)' Checking account for The Hare Muses daily liquidity needs. Indicate from where the assets are expected to arse'' 0 08 Group: Same Booking Center (indicate account number): 0 08 Group: Other Booking Center (indicate 08 location and account details): 21 Other Institution (Indicate name & location): )P Morgan Chase. New York, NY • Physical Deposits (specify cash, secunbes, cheques, ...): What b the expected dm and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)s: Roughly 5-10 Inflows and oulfbws per month ranging from $1,000-$10,000 What b the expected volume of assets and currency for the account approx. 90 days after °tenni? 125000 'Currency I US° What s the expected volume of assets and currency for the account approx. one year after openings 150000 'Currency I USD Doeshvil the client have Assets Under Management (AuM) MOM D8 under Eur. 3Ms Illi Yes RI No Please art all parties related to the attount. For each party: • Check d a souse of wealth descnplion is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> lean be Led). • If none of the check boxes apply, describe the parties relation to the account in the 'Other' colurm. • Always describe the relationship between the pantie in the last column. • Please arm down to the ultimate/underlying Beneficial Owner( ). _opal Enter/ )escriptim Source of Wealth required Parties related to this account AccounWIC Holder ChwerTrust Settor of / Founder of Foundation Jltirnate 3eneficlabr ,wner Signatory Full sOA imitecinnancial PO* IntermediaryShareholder (FIN) Significant (>=25%) Non-PIC entity (Indicate ownership %) -egal lepresentatve 3rantor/SettorfoundingOther Donor (please describe other roles and/or ndicate relationship Selimen ;edits) 1 et 2 The Haze Trust 2 O • 0 0 • • a si ei 2 0 0 Darren indyte ri I-I 0 0 0 a 0 0 0 0 0 Trustee:, 3 0 El Jeffrey Epstein n " 0 2 0 0 0 0 0 • 0 SDNY_GM_00039714 https://dbforcepb.my.salesforcCLINErilDEATAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002538 EFTA_00I 50323 EFTA01283823 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: The Maze Trust Acct Number (I avadab/e). Account Manager: 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, • 08 Group: Same Booking Center (indicate account number): O DB Group: Other Booldng Center (Indicate 08 location and account debits): RI Other Instesstion (Indicate name & location): 3PMorgan Chase. New York, NY O Physical Deposits (specify cash, securities, cheques, ...): What s the expected sae and frequency of regular inflows and outfitters 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' 1 50• 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' 1 150,000 'Currency I USD Does/wil the client have Assets Under Management (AuM) %Whin DB under Eur. 3M' O Yes M No Please Nst 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 relationsh p of the party to this account (> dean be selected). • f none of the check boxe apply, describe the party's relation to the account In the 'Other colurrn. • Alvays describe the relationship between the sank in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). _eget 'Description Entitycf Source of Weakh required Parties -elated to this account AccounWIC Holder OmierTeust/ Settior of Founder of Foundation Jltimate Beneficialor Owner rignatory Ful POA JmitedFinancial ?OA IntennedlaryShareholderRepresentathe (FIM) Significant (>=25%) Non-PIC entity (indicate ownership 96) ..egal Srantor/Settbefoundi • Donor • r - please describe other roles and/or ndicate -elabonship between lanes) 1 et El The Haze Trust rd • • • O • • O O • 2 O O Darre e n Ike in " O O • WI O O O O O Trustee:; 3 0 e Jeffrey Epstein . ' K 0 0 • 0 • 0 0 • • SDNY_GM_00039715 https://dbforeepb.my.salesforeCCINEIDEgrlardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002539 EFTA_00 I 50324 EFTA01283824 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) Ina.*loaf's Name: Jeffrey Epstein - 00000483289 Date of Bit 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Line Saint James Saint Thomas 00802 US Virgri Islands Has client resided outside of hisMer country of nabonality for S years Of more? 0 Vs g No ProfesocinfOccupatico: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC PositimMtle/RanIc President Address of employer 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as senior executNe et a DB-recorded regulated entity in the financial ndustry7 or an entity listed on a 06-recognised exchange' (Not applicable for operating entities Oyes ®No Is the individual a Politically Exposed Person (PEP)4(6 Yea desaibe) OYeS ®No To the best of your knowledge, famety or Friendship, descnbe) Is the individual related to an employee of the 06 group7(t/ OFilmily ElFrtendship r4 None To the best of your knowledge, is the individual party to a non-banking relabonship with Deutsche Bank (e g., external legal counsel, client referral source, supplier of goods or services),(6 Yes,descrtie) (..yes rid If applicable, indicate vihich bank officers have met the person: Indicate where and ishen the client meeting(s) took place: Bank Officer flame(s) Bank Office: Client Private Domicile. Client Place of Business: Other Location (specify): Date: Paul Morris 0 12] 8/7/2013 • 0 0 n r, . 0 ri 0 Wealth Details for this individual are not filled In, because they are the same as for the folkming person: 3B. Wealth Details (Only for parties requiring source of wealth description as indkated in Section 2) Nature of the Individuals Business: Pnvate Investments Pnmary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Fund Summarize Source of Wealth: g Business Amer O Salary/Earnings g Investment O Inheritance/GNU 00ther: Further Describe Source of Wealth /Detad the history of iweaah for each of the sources: (e.g. For bush, how did settler accumulate wealth? For inhereance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability> Indicate type of business, countries of minor 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 Estancia' management firm, ./. Epstein & Co., managing the assets of clients wets mote than a billion in net worth. In 1996, fester 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 h6 c tents were anonymous except for the very wealthy businessman Leslie Wexner. It s weath has come from his days at Bear Stearns and hts financial management firms Estimated Annual 1nceme($): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Worth($): $100 MM - SOO MM Amount of assets planned to invest with PWM(8): 200,000.00 Ceher Known Financial Institutions: SDNY_GM_00039716 https://dbforcepb.my.salesforCCaNEJIDArdiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002540 EF1'A_00150325 EFTA01283825 KYC Print Page 5 of 12 lestRuben: JPMorgan Chase Country: USA Est Assets Under Mgt 23,030,000.00 Instituticn: Country: Est Assets Under Mgt InStaubC41: Country: Est Assets Under Mgt: Please Imitate the family stuatlon of the Individual (marital status, ether family mentors, etc.): Single SONY_GM_00039717 ht t ps://dbforcepb.my.salesforCCINEJIDWidLAIL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002541 EF1'A_00150326 EFTA01283826 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3k Individual Details (for all parties) Indatkbars Name: Darren Indyke - 00000486405 Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Has client resided outside of his/her country of nabonallty fa S years or more O Vs gi No ProfesskinfOccupaeon: Accountant Tax ID / SSN: Current Employer: Southern Financial U.0 PositionMtle/Rank: Address of employer: 6100 Red Ho& Quarter 83 St Thomas USVI 00802 Does the person work as senior executive of a DB-recognised regulated entity in the financial ndusor or an entity listed on DB-recognised exchange? (Not applkable for operating entities O Yes ®No Is the individual a Politically Exposed Person (PEP),(it Ye; describe) Cheri ®No To the best of your knowledge, Family or Friendship, descnbe) is the Individual related to an employee of the DOgroup?(ric O Fah* OFriendsho r4 None To the best of your knowledge, is the individual party to a non-banking relabenshg with Deutsche Bank (e.g., external legal counsel, client referral source, supplier dgoods a servkes),(6 Yes,cescnbe) Yes No if applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s took place: Bank Officer ?lames() Bank Office: Client Prtvate Detnkile: Client Place of /Business: Other Location (specify): Date: Paul Morris O 9/6/2013 • 7/ LI O • ri :.__; O ri • Wealth Details for this individual are not hIRd in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as iidicated in Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: • Business Omer O Salary/Earnings • Investment OInheritance/Gifts • Other: Further Describe Source of Wealth /Debra the history d wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate we IlhsFor business owners, hate long In business, how many employees, level of profitability> Indiate type d business, counties of major activities, Important business partners.) Estimated Annual Income(S): Estimated amount of investable assels($): Estimated Net WorM(1): Amount of assets planned to Invest ydth FWI4(;): Other Known nancial Institutions: Instatiticri: Country: Est. Assets Under Mgt: Insblution: Country: Est Assets Under Mgt: SDNY_GM_00039718 https://dbforcepb.my.salesforaaNtaCrbadiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002542 EFTA_00150327 EFTA01283827 KYC Print Page 7 of 12 Insitation: Country Est, Assets Under MLA: Please hellcat the family sibation et lhe individual (marital status, other famty members, etc.): 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 The Haze Trust - 00000486428 typed Entity: O Poundabon/Associabon M Trust O Company ['Estate O Partnership Pumose 0 Ent itY: Eli Private Investment O philanthropic/charitable 0 Commercial Type of Entity Other (specify): PuippSe of Entity Other (spat(); Country of Incorporabon/registratko: United States vagin Islands Date of Incorporation / registration: 2/9/1999 Vokka Status: Volcker Rag: Address (city, street, post code): 6100 Red Hook quarter 83 St, Thomas 00802 USVI U.S. TIN/EIN: 13-7185414 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundabons, include information about revecabitY,settior and beneficiaries,etc.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Please Indicate how cremership of the legal entey Is reflected: Jeffrey Epstein: Granter Darren Indyke: Trustee O Special attention: Bearer Shares - Indicate where shares are custodled: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (lino! the UT. pelatO. 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 0 No Describe Nature of Entfty's Primary Business and Investment Activities Nature d the business: The trust was nitialty funded with $100. The trust makes and holds investments and the gains it makes from those lim.stmenta h lb source of revenue. The trust, n barn, puts these pins back into the trust and reinvests. Countries where business Is transacted: USA, USVI Number of employees: 2 3D. Wealth Profile (Only for parries 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 The trust vas initaly funded with $100 from Jeffrey Epstein source of revenue. The trust, in turn, pub these gains back equivalent summary of assets/liabilities): The trust makes and holds investements and the gains it makes from those investments is its nto the trust and reinvests. Estimated gross receipts p.a.($): 300,000.00 Estimated net profit p.a. (S): 200,000.00 Estimated investable assets ($): $20 MM - 50 MM Potential Amount to be invested with PWN ($): 200,000.00 Other Known Financial Institutions: Institution: I.trtlagan Chase I Country: I USA lEst. Assets Under Hut: 123,000,000.00 SDNY_GM_00039719 https://dbforcepb.my.salesforCCaNEJIDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002543 EF1'A_00150328 EFTA01283828 KYC Print Page 8 of 12 Instatekt: County: Est Assets Under Mgt: EngPluto: toughy Est. ASSetS Under Mgt: SONY_GM_00039720 lit t ps://dbforcepb.my.salesforcCLINEJIDEerbildiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002544 EF1'A_00150329 EFTA01283829 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center Elio NY/Offshore E offthece Risk0 Moderate fll c.i High Risk Janice Franklin (Compliance *nature) 0 De Employee 0 CS Managed PIC Trustee/Co-Trustee 0 Bearer Shares • O13 is 4. Attachments A. Type of Photo ID Provided 0 Drivers License E7 Passport 0 National/State ID 0 Other B. Checklist for database is of names (individuals and/or entities) that were submitted searches 0 Yes • No attached C. Please Indicate the results of the database searches performed RDC searches complete 2 Yes 0 No negative results found Oyes rd No PCR checks complete 2 Yes 0 No negative results found 2 Yes • No OFAC checks complete 2 Yes 0 No negative results found 0 Yes 0No BIS searches complete (Leds/tieds, Facttva, Reuters, Dow Jones, DAB) 121 Yes • No negative results found • Yes FA No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 2 No Martindak-Hubbell searched (LawyersAaw Firms only) 0 Yes El No negative results found Oyes • No D. Please summarize any negative results from the database searches "ideated above: JEFFREY EPSTEIN: Please see KYC 01082293 for Jeffrey Epstein approval and for al Compliance approvals Darren Indyke: No Negative Media No Court Cases The Haze Trust E. To the best of your knowledge, has the client ever been convicted of a criminal offense? Eyes U No F. To the best of your knordedge, has the customer ever been evolved in any past itigaban against Deutsche Bank AG or any of Its subsidiaries or is the customer threatening litigation against Its Yes, details 0 Yes FA No Deutsche Bank AG or any of subsidiaries'' (If provide &env end contact Quekty 140. (LatAnyInt7) or dm Regulatory Contm I Group and notify Compliance immedistely) G. Does the client or rated party have any financial or other association / nteractians within countries or regimes sanctioned by the Office of Foreign Assets Control (CFAC)> 0 Yes 2 No H. Does the client or rated party have any friantial or other association/ eiteracbons within high 0 Yes RN° risk countries? I. Corporate Documentation Attached (Legal Entities Only) 2 Yes • No • Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No 2 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in Englsh, 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 Countrks? 0 Yes I? No Is the account structure unusually complex? 0 Yes roc No Is there any Indication the client set up a non operating company ewes* foe the purpose d transferring shares to third panes? 0 Yes Ell No SDNY_GM_OOO39721 https://dbforcepb.my.salesforcesCINErilDnEATAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002545 EFTA_00150330 EFTA01283830 KYC Print Page 10 of 12 Is there any indicabon this could be a prohibited business relabonship> yes No Are the bearer shares Identified subject to acceptable ccotrob, ❑yes No SONY_GM_00039722 t ps://dbforcepb.my.salesforCONErtachialiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002546 EFTA_00150331 EFTA01283831 KYC Print Page 11 of 12 M. Case Comments Created By Date Comments Amanda Kirby 9/9/113 513 1 Please see KYC 01082293 for Jeffrey Epsten KYC approval and all due diligence, attachments and source of veaith ONSHORE APPROVALS Client Facing Professional (CFP): Paul Horns (Signature) Paul Moms 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Platy Keaveney 9,5.'2013 Regional Office Director: (Signature) AML Business Risk: (Signature) NIL Compliance: Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 9/10/2013 9/10/2013 IATININTERMATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GHTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compiance: (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 Professionals I( I) (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! 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 SONY_GM_00039723 https://dbforcepb.my.salesforaaNErilargrit\lidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002547 EFTA 00150332 EFTA01283832 KYC Print Page 12 of 12 (1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors, Product Officers. Brokers, Client Managers, etc. Deutsche Bank Americas New York SONY_GM_00039724 https://dbforcepb.my.salesforCQUErlIDatiTuJiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002548 EFTA_00150333 EFTA01283833