EFTA Document EFTA01283897

KYC Print Page I of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case a : Status : 6. Approved One sheet must be established per relationship - list all accounts Included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATICNSHIP Booking Center: New York Relationship Manager: Paul Mont O New OWN Relationship El Ensbng PWM Relationship Relationship to PV/M: If existing, pl I e since when the relationship exists provide reason for new profile and attach old profile: Update of approved KYC Update Is ONLY to add aditional authorized signer. Harry Beier has already been KYC approved In case Please rush as this tie simple update . Client Referral 2 RM Prospect O Intermediary/FIN O Other Source (CIB, etc.) How Was the Client(s) Introduced? How long has the RM personally known the client' Please provide details (e.g. name of referral source, ow many years RM personally has know dent. etc.): Jeffrey Epstein is a current client d 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 mutual fnend/colleague who introduced them while Paul was at JONorgan. 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 12 No compensation to a third party for the introduction of this relationship' (if yes, &escor) List all existing and new accounts involved ri this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 9 Jeepers Inc 9/18/2013 2 2 Jeeper Inc 9/16/2013 Who Is the primary contact person for the RN' (Note: This person needs to have signatory rights and/or kiforrnaticn right for the accounts.): Jeffrey Epstein Preferred method of contact (ndicate phone no., fax no., e-mail address, etc.): SDNY_GM_00039799 https://dbforcepb.my.salesforCCINBIDaiLIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002623 EF1'A_00150408 EFTA01283897 KYC Print Page 2 of 14 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: leepers Inc Acct. Number (if wadable): Account Manager Paul Moms What is the purpose of the account (e.g. pordobo management, advisory account, custody services, long-term investment, payment/expense account), Checking account for leepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive', O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate DB location and account detalis): R Other Institution (Indicate name & locator* WMorgan Chase. New York, NY O Physical Deposals (Weary cash, securities, cheques. ...): What Is the expected size and frequency of regular Inflows and outfbws for the account (indicate estimated number and volume per month)? Roughly 5-10 Inflows and outlaws per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the accent approx. 90 days after opening, I I Currency I USD What is the expected volume d assets and currency fa the account approx. one year after opening, I 5°P® 'Currency I uSD Does/VAN the client have Assets Under Management (Aunt) within CO3 under Eur. ? U Yes E No Please list all parties related to the account. For each party: • Check if a source d wealth desorption is required for the party. • Check the appropriate box to describe the relationshi of the party to this account (> I can be selected). • If none of the check boxes apply, describe the patty relation to the account In the "Other column. • Always describe the relationship between the parties n the last column. • Please die down to the ultimate/underlying Beneficial Ovmer(s . _egal Entitynt notion Source / Wealth required Parties related to this account AccounWPlC Holder OwnerTrust of / Founder of Foundation Jibmate Beneioalor >ernes Sgnatory_I Full POA ?OA naixtal intermediary (FIN) Significant Shareholdeflepresentatve (>=25%) Non-PIC entity (bdkate ownership 16) {gal Sian /SettkeFounding Donor Odle (please describe other roles and/or ndicate elationship *Olsten >attics) I 'ewe' Inc El • O O O O O O • O 2 0 2 Jeffrey Epsizin r, I—I 0 0 Il sr a 0 0 I 0 I 3 O O HanY Beier O • O • sa O o o 0 • 4 O O Jeanne Brennan • • O O 121 O • O O O SDNY_GM_00039800 Ilttps://dbforcepb.my.salesforcOraNtaliaFerbadiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002624 EFTA_00150409 EFTA01283898 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (I avaiatiel Account Manager: Paul Mors What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)/ Money Market account to hold leepers Ines cash. Indicate from where the assets are expected to arrive? 0 DB Group: Same Booking Center (innate account number): 0 DB Group: Other Booking Center (Indicate DB locate, and account deals): Fe .4 other Institution (Imitate name a location): 1PMorgan Chase. New York, NY 0 Physical Depots (specify cash, secureles, cheques, ...): What is the expected it and frequency of regular Inflows and outflows for the account (irairate estimated number and volume per month)," Roughly 1-2 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, I 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1150,000 I Currency I USD DoesfvIN the client have Assets Under Management (AuM) within CS under Eur. 3M, II Yes 7) No Please list aN parties related to the account. For each party: • Check Ile source of wealth descriptkm is required for the Party. • Check the appropriate box to describe the relationshi of the party to this account (> 1 can be selected). • f non of the check bares apply, describe the party 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). .intity _egalbescnpbon of Source of Wealth required Parties related to this account AccounWPlC colder Ormertrust/ Senor of rounder of Foundation inmate generic/aloe Owner Signatorysneedhnanaal Full POA PO* Intermediary (FIN) Significant ShareholdergePiesentathe (>=25%) Non-PIC entity (ndkate ownership %) /gal Stantor/Settlatounding Donor Oth et (please describe other roles and/or ndkate elatimship between sorties) i 9 9 per/' the 2 0 0 0 • 0 0 0 0 • 2 0 IZA Jeffrey Epstein ri I" 0 0 0 a 0 0 0 0 0 3 0 0 rr( B Kaeller • •❑ 0 IIII 5 • • 0 0 MI 4 0 0 Jeanne K Brennan r-i " • • 0 9 0 0 • 0 0 SDNY_GM_OOO398O1 https://dbforcepb.my.salesforetaNErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002625 EFTA_001504I0 EFTA01283899 KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's !tame: Jeffrey Epstein - Date of Birth: country of Residence: USVI Country of Citizenship: USA Address of primary residence: Lite Saint James Saint Thomas 00802 US Virgin Islands Has dent resided outside of his/her county of nationality for 5 years or more> MI yes 12] No Pidession,Occupation: Self Empolyed Tax ID / 5511: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Does the person work as senior executive el a De-recognized regulated entity in the financial ndustry' or an entity listed on a D8-recognised exchange? (Not appkabk for operating entities ri __ pm i--i Yes Is the individual a Politically Exposed Person (PEP)/(if Yes, describe) Ehes E?) No To the best of your knowledge, is the individual related to an employee of the DB group'(‘ Farn4, or rnencWup, desathe) [3 Family 0 Friendship 5 None To the best of your knowledge, is tie individual party to a narbanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or servkes)>(if YeArfescribe) O Yes J No If applicable, indicate which bank officers have met the Perkin: Indicate where and when the client meebng(s) took place: Bank Officer Names) Bank Office: Client Pilate Domicile: Client Placed Business: Other Location (specify): Date: Paul Morris El 0 8/7/2013 • Li O O O O • 0Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as Indicated in Section 2) Nature of the Individual's Business: Private investments Nimbly Country of source of wealth/source of Funds' Primary industry of source of Wealth/Soutce of Funds' Summarize Source of Wealth: Z Business Owner O Salarygamings RI Investment O Inherftance/Glfts 00ther. Further Describe Source of liVealth /Detail the history of wealth or each of the sowers: (e.g. For trusts, how did setter accumulate wean' For inheritance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilky? Indicate type of business, countries of mayor activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a parberi n 1980. In 1982, Epstein founded his own finandal management firm, J. Epstein & Co., managing the assets d clients with more than a billion in net worth. In 19%, 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. /Os wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assets(S): S50 WI • 100 Mk Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to Slyest with FWM(S): Other Known Financial Institutions: Instibition: JPMorgan Chase Country: USA Est. Assets Under Mgt: 20000,000.00 SIDNY_GM_00039802 https://dbforcepb.my.salesforeCCINErilDaatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002626 EFTA_00I504I EFTA01283900 KYC Print Page 5 of 14 Institution' Country: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Mease indicate the family situabon of the mein/I.:Nal (marital status, other (amity members, etc.): Single SDNY_GM_00039803 t ps://dbforcepb.my.salesforcOrtaNEJIDEArdiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002627 EFTA_00150412 EFTA01283901 KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Harry Beier - Date of Birth: County of Residence: USA County et Cttrenship: USA Address et primary residence: Has dent resided outside of his/her country of nationality for 5 years or more> MI yes W No PicifessioniOccupation: Accountant Tax ID / 5511: Current Employer: HBRK Associates, Inc Position/Tele/Rank: Address of ernPloYet: 575 Lexington Avenue, 4th Roor Money NY USA 10022 Does the person work as senior executive el a De-recognized regulated entity In the financial ndustry' or an entity listed on a CEI-recognised exchange? (Not appkabk for operating entities ri __ t—iles L7-1I4° Is the individual a Pobbcally Exposed Person (PEP)'(if Yes, desenbe) Oyes FA No To the best of your knowledge, is the individual related to an employee of the D8 groupW raIII4' or &rends/up, denote) 0Family 0 Friendship rf None 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, suppler of goods or serykes)'(tf Yescfescribe) O Yes J No If applicable, indicate which bank officers have met the Perkin: Indicate where and when the client meebng(s) took place: Bank Officer Names)(s) Bank Office: Ghent Hyatt Domicile: Client Flare Business: of Other Location (specify): Date: Paul Morris RI O 10/21/2013 • L..: O O D 0 • 0Wealth Details for this indMdual are not filled in, because they are the same n for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary indusby of source of Wealth/Source of Funds' Summarize Source of Weary 0 Business Owner 0 Salary/Eamings 0 Investment 0 Inherttance/Gifts 00ther: Further Describe Source of Wealth /Detail the het:cry of swath or each of the sowers: (e.g. For trusts, how did setbor accumulate weami' For Inhentance, how did family accumulate weath?For business owners, how long in business, how many employees, level of profitabilty? Indicate type of business, countries of mayor activities, important business partners.) Estimated Annual Income(S): Estimated amount d Investable asset(s): Estimated Net Worth($): Amount d assets planned to Swat with PWM(5): Other Knower Financial Institutions: Institution: Country: Est Asset Under Mgt: Institution: Country: Est Asset Under Mgt: Institution: Country: Est. Assets Under Mgt: SONY_GM_OOO398O4 https://dbforcepb.my.salesforcaINErilEatiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002628 EFTA_00150413 EFTA01283902 KYC Print Page 7 of 14 I Please Skate the family deaths of the Individual (nartel stabs, other tinily mothers, etc.): I SDNY_GM_00039805 IN I ps://dbforcepb.my.salesforCCINEJIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002629 EF1'A_00150414 EFTA01283903 KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeanne Brennan Date el Birth: country of Residence: USVI Country of Ctuenship: USVI Address of primary ressdenCe: Has dent resided outside or his/her country of nationality Ice 5 years or more No Eyes 5 Profession/Occupation: Finance Tax ID / 5511: Current Employer: Southern Financial, LLC Position/Title/Rank: Address of employer: 6100 Red Hook Quarter, B3 St Thomas USVI 00802 Does the person work as senior executive of a DB-recognised regulated entity In the financial ndustre or an entty listed on a CB-recognised exchange' (Nat spoke* for operating entities ri__ cyri ❑t--3 les rz-I NO Is the individual a Pditically Exposed Person (PEP)'(if Yes, desrnbe) O Yes E4 NO To the best of your knowledge, is the individual related to an employee of the DB group(ri ram* or rnencWup, descnbe) 0Family 0 Friendship rd None To the best of your knowledge, is the individual party to a nce.bankng relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or servkes)'fr res,eksenbe) I: Yes J No If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Officer Names) Bank Office: Ghent Private Domicile: Client Place d Bank Business: Other Location (specify): Date: O O • O O O 0 0 a 0 Wealth Details for this indwklual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for patties requiring source of wealth description as Indicated in Section 2) Nature or the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealthraource of Funds' Summarize Source of Weary 0 Business Owner 0 Salary/Eamings D Investment 0 Inheritance/Gets 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the scores: (e.g. For trusts, how did seltor accumulate wealth" For inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of profitatdty? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Incorne(S): Estimated amount d Investable assds(S): Estimated Net Worth($): Amount of assets planned to nest with PWM(S): Other Known Financial Institutions: InstlbAlon: Country: Est. Asset Under Hgt: Instilartion: Country: Est Assets Under Mgt: Institution: Country: at. Assets Under Mgt: SON Y_GM_00039806 https://dbforcepb.my.salesforeCCINErilEaTIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002630 EFTA_00I504I5 EFTA01283904 KYC Print Page 9 of 14 Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For al Legal Entities) Legal Entity Name: Seegers, Inc TYPe of Entity: OFoundation/Association O Trust El Company O Estate O Partnership Purpose of Entity: 0 Private Investment O Philanthropic/Charitable 0 Commercial Type of Entity Other (specty): Entity Ot Purpose of her (specify): Country of incorporation/registration: United States Virgin Island te in Dacorpora of tion / registration: 8/18/2003 Volcker Status: Volcker Flag: Address (city, street, post code): 6100 Red Hook Quarter 93 St Thomas 00802 USVI U.S. 11N/EIN: Provide a description of the entity's organizational structure, its ovmership structure and its Top Management. For trusts/foundations, include nfonnabon about revocatility,settlor and benehoiaries,etc.: Jefhey Epstein is the sole shareholder of Japers Inc Please Indicate how ownership d the legal entity is reflected: • Special attention: Bearer Shares • Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persomf. To the best of your knowledge, is the entity party to a non-bankng relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)>: r--, yes No l_i 0 Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Jeepers Inc is a private company that holds investments of es owner, Jeffrey Epstein. Countries where business s transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties requirng source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds, Primary Industry of source of WeatIVSource of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabitRies): /tenets Inc was started to hold the personal invesbnents of Jeffrey Epstein. The company began with 1,000 stares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable asset (S): $20 MM - 50 Mal Potential Amount to be invested with PWM (5): 200,000.00 Other Known Financial Insbtubons: Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00 Institution: Country: Est Assets Under Mgt Institution: Country: Est. Assets Under Mgt SDNY_GM_00039807 https://dbforcepb.my.salesforeCLINErilDalridiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002631 EFTA_00150416 EFTA01283905 KYC Print Page 10 of 14 SDNY_GM_00039808 littps://dbforcepb.my.salesforcCaNEIDsKidiA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002632 EFTA_00150417 EFTA01283906 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/InCI PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center El NY O re E Ceshore ❑O Mockrate sk ©High Ftsk Michael Wes NY/ (Compliant Signature) • DB Employee PIC O DB is Trustee/Co-Trustee O Bearer Shares • ea Managed 4. Attachments A. Type of Photo ID Provided 0 Drivers Ucense O Passpat aNallettal/Stite ID O0ther B Checklist of names (individuals and/or entitles) that were submitted for database searches Is attached Orin 0 No C. Please indicate the results of the database searches performed I21yes I: kind Mt EINO RDC searches complete No negative result PCR checks complete 0 yes O No negative results found Ova 0 No OFAC checks complete ®Yes CING negative results found ages NO BIS searches complete (Les's/Nos, Factiva, Reuters, Dow )ones, MB) RI yes O No negative results found Ova ONG Denial Orders checks complete Ere% El No negative results found Oro n NO alanindale-Hutbell searched (Lawyers/Low Firms only) area Eno negative results found Ova 0 No D. Please summarize any alive results from the database searches indicated above: HARRY BELLER: KYC approved in case )EANNE BRENNAN: No Negative Media No Court Cases JEFFREY EPSTEIN: Jeffrey vas approved In KYC His PCR/RCC alerts and elear:roce ii documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media Al court cases are not our client. The court cases refer to a )eepers Inc in Arizona and one in North Carolina. Our dent is based in the US Virgin Islands E. To the best of your knowledge, has the client ever been convicted of a ervninal offense> El Yes 0 No 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 O Yes FA No Deutsche Bank AG or any of it subsidiaries> (If Yes, prow* detads below and contact Quality Mgt gatArnantl) or the Regulatory Control Gnaw arc( nobly Comptiatxr immediately) G. Does the client or related party have any financial or other association/interactions within countries a regimes sanctioned by the Office of Foreign Assets Control (OFAC)? O Yes El No H Does the client or related party have any financial or other association/ interactions within high risk oyes ONO countries? L Corporate DccurneMatkm Atbebed (Legal Entitles Only) 0 Yes O No O Not Applicable 3. Undisclosed Prlectpal Form Complete (Intermediaries Only) 0 Yes 0 No ®Not Applicable K If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentations not ki English, please provide an English summary el the nature/contents of the non-English Documentatkn: L. Special Risk Factors Does the account have Nexus to Special Risk Countries> ayes EZ No SONY_GM_00039809 hups://dbforcepb.my.salesforCCINEJIDEgALIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002633 EF1'A_00150418 EFTA01283907 KYC Print Page 12 of 14 Is the account structure unusually complex? Oyes E No Is there any indkabon the client set up a non cperabng company expressly for the purpose d transferring shares to third parties' U Yes E No Is there any indkation this could be a prohibited business relationship/ O yes E No Are the bearer shares Identeled subject to acceptable controk, ❑Yes EZ No SDNY_GM_00039810 https://dbforcepb.my.salesforeCCINEIDEgrNiliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002634 EFTA_001504I9 EFTA01283908 KYC Print Page 13 of 14 PI Can Comments Created By Date Comments amass Light** 10/29/1131:38 PM Ron b In RN for this Therein, SA Sohn:: nn change rek rØ update. a new not required. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 10/24,2013 Office Director/Business Head: Brian St Biggar (Signature) Brian M. Biggar 10/24/2013 Regional Office Director. (Signature) Aril Business Risk (Signature) AML CcarMianie: Jacqueline Ughtbocty Michael Via (Signature) Jacqueline Ughtbody Michael Via 10/29/2013 10/29/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager (Signature) Global Market Team Head (644T11)/Sub- Market Team Head >MN: (Signature) MIL Business Risk: (Signature) MIL Compliance: (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) (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards ofsuitabiliry, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. it is the responsibility ofCFP'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 SONY_GM_00039811 lilt ps://dbforcepb.my.salesforceaNapainTaltAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002635 EFTA_00150420 EFTA01283909 KYC Print Page 14 of 14 (I) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche honk Americas New York SDNY_GM_00039812 https://dbforcepb.my.salesforCCINtErilDailIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002636 EF1'A_00150421 EFTA01283910