EFTA Document EFTA01283923

KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case Status : 6. Approved One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP.00000483290 Booking Center: New York Relationship Manager: Paul Morris • New PINSI Relationship O Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relaborsh p exists, provide reason for new profile and attach old profile: • Client Referral 0 RM Prospect O Mtermecary/FIM • Other Source (CIB. etc.) How Was the Client(s) Introduced' How long has the RM Personally known the client" please provide detals (e.g. name of referral source, how many years RN 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 Introduced then while Paul was at JPPlorgan. 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, desenbey. List al existing and new accounts Involved In this relationship Legal Entity Account(s) Account Name / Number Opening Date (mended/actual) 1 2 Mort, Inc 11/12/2013 2 FA Mort, Inc -- Maley Market 11/12/2013 Who Is the primary contact person for the RM' (Note: This person needs to have signatory rIghls and/or information right for the accounts.): Harry BBaler Preferred method of contact (nclicate phone no., fax no., e-mail address, etc.): SDNY_GM_00039825 hups://dbforcepb.my.salesforCCINBIDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002649 EF1'A_00150434 EFTA01283923 KYC Print Page 2 of 12 One sheet mud be established for each account to be opened 2. Account Ownersh p Summary Account Name: Mort Inc Acct. Number (item /ale/ Account Manager: Paul Morris What S the Purpose of the account (e.g. portfolio management, advisory account custody services, long-term investment, PaYment/exPense account)' Oinking account to hold assets for the company. Indicate from where the assets are expected to ante' O 08 Group: Same Crooking Center (Indicate account number): 0 08 Group: Other Booking Center (indicate 08 location and account details): 21 Other Institution (Indicate name & location): JPflagan. New York • Physical Deposits (specify cash, secunbes, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from $1,000 to $10,000 What IS the expected volume of assets and currency for the account appox. 90 days after opening' 150000 'Currency I USD What s the expected volume of assets and currency for the account approx. one year after opening' 150000 'Currency I USO Does/ivil the client have Assets Under Management (Aunt) within D8 under Eur. 3M' Dyes RI No Please Nat all parties related to the account For each party: • Check if a source of wealth descnpion is required for the party. • Check the appropriate box to describe the relationship of the party to 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 relationship between the partie in the last column. • Please arm down to the ultimate/undertying Beneficial Owner( ). _Nal Enter/ .3escriptim Source of Weath required Parties related to this account AccounbalC Wader CnmerTrust Settor of / founder of Foundation itimate 75ignatcry 3eneficlabor Tvner Full 'OA imiteciFnancial PO* IntennedlaryShareholder (FIN) Significant (>=25%) Nca-PIC entity (Indicate ovmership %) -egal Representative 3tantOr/SettorfoundhisiOther Donor (please describe other roles and/or ndicate relationship etween padies) 1 O O R3rIV Betkr • O • • Lrf III X • • • 2 2 2 ort, Inc El O O O O O O O O O 3 O !I Jeffrey EpsteM • CI O 21 21 O • • • • SDNY_GM_00039826 https://dbforeepb.my.salesforeCCINErilDairdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002650 EFTA_00I 50435 EFTA01283924 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: Mort, Inc — Money Market Acct. Number (davallaArel. Account Manager: Paul Monis What is the purpose of the account (e.g. porffollo management, advisory account, custody services, long-term investment, payment/expense account), Money Market account to hold assets for the company and to earn interest Indicate from where the anets are expected to arrive O 06 Group: Same Booking Center (indicate account number): . DB Corp: Other Booldng Center (Indicate 06 location and account details): 74 Other Instils:Von (Indicate name & location): 3PMagan, New York O Physical Deposits (specify cash, securities, cheques, ...): What s the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 inflows and outflows per month ranging from $1000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after openng7 150000 ICurrency I USD What is the expected volume of assets and currency for the accountapprox. one year after opening' 150000 (Currency I USD Does/will the client have Assets Under Management (AuM) %Whin DB under Eur. 3M' Dyes O 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 relationship of the party to this account (> 1 can be selected). • f none of the check boxe apply, describe the party's relation to the account In the *Other column. • Alvays describe the relationship between the parbe in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). ,egal 'Description inttyof Source of Weath required Parties -elated to this account AccounWIC Holder Onseatust Seal« of / Founder of Foundation JIUmate Bendiclabr Owner rignatory Ful POA Jmiteillnancial 70A InterrnediaryShareholderteprinentative (FIM) Significant (>=25%) Non-PIC entity (indicate ownership %) egal SaMor/Setliciefoundi • Donor • . .. please describe other roles and/or ndicate -elabonship between lanes) I O 0 mots' . inc Ei Do • O O O O • O 200 " O seller OO • El O O O to O 3 O O Jeffrey Epstein r " O O O O O O O O O SDNY_GM_00039827 https://dbforeepb.my.salesforca;INEIDEgrialliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002651 EFTA_00I 50436 EFTA01283925 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) Individual's Name: Jeffrey Epstein - 0000f Date of Biro 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 Ms/her country of nabonallty fee S years a more? O Vs ®No Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC PositionMtle/Rank: President Address of employer 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as sea* execubVe of a DB-recognised regulated entity in the financial ndustry7 or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Oyes ®No Is the endrviclual a Politically Exposed Person (PEP)'(# Yes, describe) OWS No To the best of your knowledge, is the individual related to an employee of the DB grouprytt Panily of Fneods/vp, describe O EBBW ElFriendslap r4 None To the best of your knowledge, is the indrodual party to a non-banking retabonship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)' (a` Yes,descnbe) ElYes No If applicable, indicate which bank officers have met the person: Indicate where and Wien the client meeting(s took place: Bank Officer ?la me(s) Bank Office: Cknt Prwate Degniae. Client Place of Business: Other Location (specify): Date: Paul Morris O g 10/22/2013 • El El [I ri :.__; El O El wealth Details for this individual are not filled In, because they are the same as fa the following person: 3B. Wealth Details (Only for parties requinng source of wealth description as racketed 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 Funds? Summarize Source of Wealth: Z Business Owner OSalary/Earnings Iii Investment O Inheritance/Gifts 00ther: Further Describe Source of Wealth /Detect the history of wealth for each of the sources: (e.g. For busts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth'For business owners, how long in business, how many ernpioyees, level of profitability' Indicate type d business, countries of major activibes, important business partners.) Epstein began his Mandel 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 & Co., managing the assets of clients wail more than a billion in net worth. 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. MI of Ms cknts were anonymous except for the very wealthy businessman Leslie Wexner. Hs wreath has come from hs days at Bear Stearns and hid financial management firms Estimated Annual Income($): 10,000,000.00 Estimated amount of investable assets($): I rr $50 MM - 100 PIM Estimated Net Worth($): $100 MN - SOO MM Amount of assets planned to invest with PWM($): Other Known Financial Institutions: SDNY_GM_00039828 lit t ps://dbforcepb.my.salesforcCaNtalpagaliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002652 EFTA_00150437 EFTA01283926 KYC Print Page 5 of 12 institution: 1 InstItutice: Country: Est Assets Under Mgt: Country: Country: Please Indicate the family stualion et the Individual (marital status, ether Carney mentors, etc.): Est Assets Under Mgt: Est Assets Under Mgt: J SONY_GM_00039829 https://dbforcepb.my.salesforCCINErillacchtirdiA10000000D9Ditite... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002653 EFTA_00150438 EFTA01283927 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) Individual's Name: Marry Beller Date of Bit.: Country of Residence: USA Country of Citizenship: USA Address of primary residence: 12 GNar Drive lionsey NY 10952 USA Has client resided outside of hisMer country of nabonallty fa S years or more? O Yis ®No Professka/OcCuPatkOw Accountant Tax ID / 55N: Current Employer: KIRK Associates, Inc PositonMtle/Ranic Address of employer: AS Lexington Avenue, 4th Floor Homey NY USA 10022 Does the person work as sea* exeame at a DEr-recogritred regulated entity M the financial ndusor or an entity listed on a DB-recognised exchange? (riot applicable for operating entities Oyes No Is the individual a Politically Exposed Person (PEP)7(` Yet, *sate) OM* Eno To the best of your knowledge, Is the MdivIdual Fan* of Friendship, descatte) related to an employee of the DB group, (a' OFrtendshlp ill Farley M None To the best of your knowledge, is the Intlnidual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or services),(6 Yes,clescabe) Ores FA No If applcable, indicate vihich bank officers have met the person: Indicate where and Wien the client meeting(s took place: Bank Officer flames() Bank Office: Client Prnate Domicile: Client Place of /Business: Other Location (specify): Date: Paul Morris D 11/4/2013 • 74 n O • r- 1 O n El Wealth Details for this Individual are not filled in, because they are the same as for the foil:Wing person: 35. Wealth Details (Only for parbes requiring source of wealth description as indicated 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: diner O Salary/Eamings O Investment OInheritance/Grits ['Other: • Business Further Describe Source of Weal, /Detail the history of wealth for each of the sources: (e.g. For trusts, how did sewer accumulate wealth? For inhertance, law did family accumulate we Ith?Foc business owners, how long in business, how many employees, level of profitaNlite Indicate type of business, countries of major actMeles, important business partners.) Estimated Annual 1ncome($): Estimated amount of Investable assel3(s): Estimated Net Worth($): Amount of assets planned to Invest with FWM($): Cther Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est Assets Under Mgt: SINY_GM_000398.30 https://dbforcepb.my.salesforCQUE110airdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002654 EFTA_00150439 EFTA01283928 KYC Print Page 7 of 12 Institution: Country Est. Asset Under Mgt: Please indcat the family situation of the indrodual (mortal status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa 3C. Legal Entity Details (For all Legal Entitles) Legal Entry Name Mort Inc • 0000' 'Pipe of Entity: 0 Foundabon/Associabon 0 Trust RI Company L. Estate El Partnership Purpose of Entity: it4 Private Investment 0 Philanthropic/Charitable 0 Commercial Type of Entity Other (specify): Pulp*Se of Entity Other (specify): Country d U.SVI incorporabon/registraban: Date of incorporation f registration: 4/12/2011 Vokker Status: Volcker Rag: Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI US. TIN/EIN: Provide a descr$tion d the entity's organizational structure, its ownership structure and its Top Management. For tnats/foundatOns. include information about revtcablittsetbor and beneficuries,etc : Corporation with 1000 issued All issued shares are aimed by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please indicate how ownership of the legal entity is reflected: Corporation with 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and 01\110. 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct Amer of the entity to the ultimate beneficial owner (if not the same persons) Corporation with 1000 issued. MI issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. To the best d 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 IIII No Describe Nature of Entity's Primary Business and Investment Activities Nature 4 the business: Investment holding company. A prtvate company that is used to hold investements that the dole owner, Jeffrey, would like to keep separate from other investments Counties where busness * transacted: USVI Number of employees. 2 3D. Wealth Profile (Orly for parties requiring source of wealth description as indicated in Secbon 2) Primary Country of source of wealth/source of Funds? Primary Industry of source d Wealth/Source of Funds? Provide Evidence Capbl contrtubon of Corporate Assets (e.g. balance sheet from or equivalent summary of assets/liabilities): of 51000 Jeffrey Epstein Estimated gross receipts p.a.(1.): Estimated net profit pa. (5): Estimated investable assets (5): <$1 MM Potential Amount to be invested with PWM (5): 100.000.00 Other Know Financial Institutions: Institutko: Morgan Country: USA Est. Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: SDNY_GM_00039831 https://dbforcepb.my.salesforCCaNtaIDEgriatiA110000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002655 EFTA_00150440 EFTA01283929 KYC Print Page 8 of 12 InslAuttat: Country: at. Assets Under Mgt: I SONY_GM_00039832 https://dbforcepb.my.salesforeCLINEIDEgladiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002656 EFTA_0015044 I EFTA01283930 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUT1ERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 HY NOY/Offshore E Offshore Risk O Moderate El High Risk jGwen HI (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 10 Drivers License RI Passport O National/State ID O Other B. Checklist for database is of names tinclivkluals and/or entities) that were submitted searches R) Yes • No attached C. Please Indicate the results of the database searches per/owned RDC searches complete 2 Yes O No negative results found 2 Yes • No PCR checks complete 2 Yes O No negative results found 2 Yes • No OFAC checks complete 2 Yes O No negative results found O yes 0 No BIS searches complete (Lexis/Nexis, Facttva, Reuters, Dow Jones, DU) I21 Yes • No negative results found • Yes No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 0 No Martindale-Hubbell searched (tinwersAaw Firms onty) 0 Yes El No negative results found Oyes • No D. Please summarize any negative results from the database searches indkated above: JEFFREY EPSTEIN: KYC Approved and aN pertaining documents si case HARRY BELLER: KIT approved in case a: MORT INC: AN negative media does not pertain to our client. Al do to court cases not pertain our client E. To the best of your knowledge, has the client ever been convicted of a criminal offense 74- yes 0 No F. To the best of your knowledge, has the customer ever been :waked in any past legation against Deutsche Bank AG or any of its subsidiaries or es the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries' 9f Yes, prowl* details baby and co tad Quaky O Yes 2 No Mr. (Latilmant7) or the Regulatory Control Group and nobly Conlobance innroYately) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC), O Yes FA No H. Does the client or related party have any Marxist or other association/ interactions within high risk countries? O Yes 2 No I. Corporate Documentation Attached (Legal Entities Orgy) 2 Yes • No ONot Applicable 1 Undisclosed Pdncipal Form Complete (Intermediaries Only) O Yes ONG 10 Not Applicable K. If LedsMexis Search Resuks, Corporate Cocuments or Other Supporting Documentation B not in English, please provide an English summary of the nature/contents of the non-Engitsh Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries' 0 Yes 2 No Is the account structure unusually complex, 0 Yes 2 No 0 Yes 2 No SDNY_GM_00039833 https://dbforcepb.my.salesforcaaNErilDnEglardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SONY-0002657 EFTA (()150442 EFTA01283931 KYC Print Page 10 of 12 Is there any indicabon the client set up a non operabng company expressly to the purpose of transfernng shares to third parties' Is there any indication this could be a prohibited business relationship' Are the bearer shares identified subject to acceptable cembeils' ❑Yes WINO Dyes El NO SDNY_GM_00039834 Imps://dbforcepb.my.salesforcaraNEJIDEschilidiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002658 EFTA_00150443 EFTA01283932 KYC Print Page 11 of 12 M. Gass Connate No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Signature) Paul Moms 11/5/2013 Office Drector/Busmess Head. Bnan M. Biggar :Signature) 3rian M. Biggar 11/5/2013 Regional Mice Director: (Signature) AML Business Risk: (Signature) AML Compliance Janke Franklin Gwen NI (Signature) Janice Franklin Green Hill 11/12/2013 11/12/2013 LATAM/INTERNATIONAL APPROVALS Client Paean Professional (CFP) lsgn e) Account Manager: (Signer ,e) Global Market Team Head (GHTM)/Sub.elarket Team Head KSMTH): (Seinkiisie) AML Business Risk - (Signoturr; MIL Compliance- (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PW1i0 worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Ptafessionals1(1) (CFP's)should establish and maintain business relationships only with persons who satisfy our high standards ofsuitability, 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 ofmy knowledge and belief the above information is correct and up to date. !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 P WM Americas Procedures and the PP7M Global KYC Policy (i) Client Facing Professionals (CFP is) include: Relationship Managers. Wealth AaWsors, Product Officers, Brokers. Client Managers. etc. SDNY_GM_00039835 ht t ps://dbforcepb.my.salesforca:tNtalaLVIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002659 EF1'A_00150444 EFTA01283933 KYC Print Page 12 of 12 Doutsche Bank ArnerIcas New York n SONY_GM_00039836 https://dbforcepb.my.salesforCCINtErilDalirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002660 EFTA_00150445 EFTA01283934