EFTA Document EFTA01294880

KYC Print Page 1 of 13 DB PWM GLOBAL KYC/NCA: PART A P2 KYC Case It : 01221773 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:00000483290 Booking Center: New York Relationship Manager: Paul Morris Relationship to PWM: F New PWM Relabonship F Existing PWM Relabonship If existing, please Indicate since when the relatonsh p exists, provide reason for new profile and attach old profile: How Was the Oient(s) Intrduced? How king has the RM personally known the client? F Client Referral r RM Prospect F Intermediary/FIM F Other Source (CM, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meebngs Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? F Yes F No (If Yes, desaibe): List all existing and new accounts Involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (ntended/actual) 1 17 Zorro Development Corp 4/28/2014 2 F Zorro Development Corp — Money Market 4/28/2014 Who I the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Darren Indyke Preferred method of contaa(indicate phone no., fax no., e-mail address, etc.): Status : 6. Approved SDNY GM_00053507 Intps://na4.salesforee.com/serlaMirriTherspTcAL430000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R.Wtilioels. a( ) I DB-SONY-0016331 EFTA_00I 64088 EFTA01294880 KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Zorro Development Corp Acct Number (if available): 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)? Checking account for the day-to-day expenses associated with running the ranch In New Mexico that Zorro owns Indicate from where the assets are expected to arrive? r"; " DB Group: Same Booking Center (indicate account number): From Jeffrey Epstein's account" 35266976 F D43 Group: Other Booking Center (indicate DB location and account details): r other institution - (Indicate name & location): F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10-30 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 opening? 100000 Currency USD What Is the expected volume of assets and currency for the account approx. one year after opening? 150000 Currency USD Please list 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). • If none of the check boxes apply, describe the party' relation to the account in the "Other" column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Benefici I Owner(s). Legal Entity Description of Source of Wealth required Parties related to :his account AccountPIC Holder OvmerTrust/ Settlor of Founder of Foundation Jftimate Beneficial/or Owner SignatoryyjmitedFinancial Full POA ;OA IntermediaryShareholder (FIM) Significant (>=25%) Non-PIC entity (inchoate ownership %) Other (please describe other roles and/or ndicate relationship 'between parties) 1 F F Zorro Development Corp. F r r F F F r 2 r r Darren Indyke r- r F F F F F 3 F F Jeffrey Epstein r r F F F F F SONY GM_00053508 Intps://na4.salesforee.com/sertaMTE iThercr fAw30000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R.t•-rtnetfli.e( ) I DB-SONY-00 16332 EFTA_00I 64089 EFTA01294881 KYC Print Page 3 of 13 2. Account Ownership Summary Account Name: Zorro Development Corp -- Money Market Acct. Number (if available): Account Manager: Paul Morris Mat is the purpose of the account (e.g. portfolio management, advisory account custody services, long-term investment, payment/expense account)? Money Market account faexpenses associated with running the ranch in New Mexico that Zorro owns. This account will hold extra funds and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): Jeffrey Epstein's account #35266976 F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution - (Indicate name & location): F 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 1-3 inflows and outflows per month ranging from $1000 to $10,000 What is the expected volume of assets and currency 100000 Currency USD for the account approx. 90 days after opening? What is the expected volume of assets and currency 150000 Currency USD for the account approx. one year after opening? Please list 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). • If none of the check boxes apply, describe the party relation to the account in the 'Other column. • Mway describe the relationship between the panes In the last column. • Please drill down to the ultimate/underlying Benefici I Owner(s). Legal Description AccountPlC Settles of Jftimate Signatory‘imitedFinancial Significant Enlatraf Source Molder OwnerTrust / Benefroahor Full POA IntermecharySharehoider of Wealth Founder of Owner POA (FIM) (>=25%) required Partias related to .hs account Foundation Non-PIC entity (inchoate rz ership Other (please describe other roles and/or radiate l twee hip n parties) 1 F F Zorro Developmentl Corp. F r- r - F r r r 2 F F Darren Indyke r r r F F 1 F 3 F F Jeffrey Epstein F F F F F F F SDNY GM_00053509 Intps://na4.salesforee.com/serlaMIF ieettinnfAL430000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R.VRIWP.B( ) I DB-SONY-00 16333 EFTA 00164090 EFTA01294882 KYC Print Page 4 of 13 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all p roes) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary residence: Line Saint lames Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empotyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Is the incividual a Politically Exposed Person (PEP)?(if Yes, describe) r Yes R. No To the best of your knowledge, is the ndividual related to an employee of the DB group?(if Family or Friendship, describe ) F Family F Friendship P. 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, supplier of goods or services)?(if Yes, describe ) r - yes Fl No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Client Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Moms r r F 3/4/2014 r r r r r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indcated in Section 2) Nature of the Individual's Business: PM/ate investments P Business Owner F Salary/Earnings F Investment F Inheritance/Gifts Summarize Source of Wealth: F Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e4. For trusts, how did settlor 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 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 financial management firm, J. Epstein & Co., managing the assets of dents wth more than a bi ion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based i on the island of St Thome in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): S50 MM - 100 MM (5): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM($): SDNY_GM_00053510 Imps://na4.salesforce.com/ser laM ill ieeNTIMILB0000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R.VRIWP.B(b) I DB-SONY-00 16334 EFTA 00164091 EFTA01294883 KYC Print Page 5 of 13 Other Known Financial Institutions: Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 300,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (mantal status, other family members, etc.): SDNY_Ght00053511 littps://na4.salesforce.com/sertakigirEetinricAEsli 30000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R.VIRRitis. IMO ' DB-SDNY-0016335 EFTA 00164092 EFTA01294884 KYC Print Page 6 of 13 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all p rties) Individual's Name: Darren Indyke - 00000486405 Date of Birth: 2/19/1965 Country of Residence: USA Country of Citizenship: USA Address of primary residence: 2 Kean Court Livingston NJ 07039 USA Profession/Occupation: Lawyer Tax ID I SSN: 098-54-8596 Current Employer: Southern Financial LLC Position/Title/Rank: Address of employer: 575 Lexington Ave, 4th Fl Livingston NY USA 10022 Is the indvidual a Politically ExposedPerson (PEP)?(if YeS, describe) r Yes I No To the best of your knowledge, is the ridividual related to an employee of the DB group?(;/ Family or Fnendship, describe ) E Family F Fnendship P 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, supplier of goods or services)?(if Yes,describe ) (--- yes F No ' If applicable, indicate which bank officers have met the person: Indicate where and when the client meeting(s) took place: Bank Officer Name(s) Bank Oient Private Domicile: Client Place of Business: Other Location (specify): Date: Paul Moms r r F 4/17/2014 r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indcated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For busts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?Fcr business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (s): Estimated amount of investable assets(s): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I 'Country: I I Est. Assets Under Mgt: SDNY GM_00053512 Ittips://na4.salesforee.com/serlaMIF nettliTtAL430000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R. e( ) I DB-SONY-00 16336 EFTA (H) 164093 EFTA01294885 KYC Print Page 7 of 13 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY GM_00053513 littps://na4.salesforce.com/sery/WEr nerspTicAL430000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R.tb-RIWP. a( ) I DB-SONY-00 16337 EFTA (H) 164094 EFTA01294886 KYC Print Page 8 of 13 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: Zorro Development Corp. - 00000492732 Type of Entity: F Foundation/Assodabon r Trust F Company F Estate F Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitabie r Commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registration: USA Date of incorporation / registration: 3/17/1993 Address (city, street, post code): 6100 Red Hook Quarter, B3 St. Thomas 00802 USVI U.S. TIN/EIN: 85-040-9324 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiarieseetc.: Zorro is able to issue 3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey Epstein Please indicate how ownership 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 F Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate benefioal owner (if not the sane persons). Zorro Is able to issue 3000 shares. Currently there are only 100 shares issued. All owned by Jeffrey Epstein 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 F No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Zorro Development is a real estate holding company. It is a company formed to run and operate all activities associated with a property that Jeffrey Epstein owns in New Mexico Countries where business is transacted: USA Number of employees: 1 3D. Wealth Profile (Only for parties reouinng source of wealth descnpbon as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): This company is funded by Jeffrey Epstein's personal wealth Estimated gross receipts p.a.(5): Estimated net profit p.a. (5): Estimated nvestable assets (5): $1 MM - 2 MM Potential Amount to be invested with PWM (5): 300,000.00 Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053514 littps://na4.salesforee.com/serNINNI glee ttliTicAlL130000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R. /kneels. e(b) I DB-SONY-00 16338 EFTA_00I 64095 EFTA01294887 KYC Print 'Institution: I I Country: I I at ASSetS Under Mgt: I Page 9 of 13 I SDNY_GM_00053515 Intps://na4.salesforce.com/serlarralr iTheisfyllIAEB0000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R.CRIWP. 6( ) I DB-SDNY-0016339 EFTA_00164096 EFTA01294888 KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Int Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center . .. ••• NY r NY/Offshore I Offshore 7 moderate Risk I:I High tick Gwen Mil (Compliance Signature) n DB Employee 1 DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provded F Drives License F Passport F National/State ID F Other Checklist of names (incividuals and/or entities) that were submitted for database B. F• Yes F No searches S attached C. Please indicate the resuks of the database searches performed RDC searches complete F yes F No negative results found F Yes F No PCR checks complete F Yes 7. No negative results found r Yes F No OFAC checks complete r Yes r No negative results found r Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r D&B) y Yes F No negative results found F Yes r; No Denial Orders checks complete F Yes F No negative results found F Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) r yes F No negative results found r Yes F No Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in * 1133377 and again when added as POA in KYC *01195100 JEFFREY EPSTEIN: D. KYC approved in *0112171B, *01082293, *01141308, *01195100 ZORRO DEVELOPMENT CORP: No Negative Media No Court Cases To the best of your knowledge, has the client ever been convicted of a criminal E 1.7 Yes r No offense? 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 F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes 1,7 No provide details below and contact Quality Mgt. (LatAm/Int1) or the Regulatory Control Group and notify Compliano immedately) , 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)? F Yes F•N° H Does the client or related party have any financial or other association/ interactions F F " within high risk countries? Yes No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermedaries Only) F Yes 7 No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English SDNY_GM_00053516 Imps://na4.salesforce.com/serlaMIg 'BOW IlAILB0000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R.thltileeP.I11(6) DB-SONY-0016340 EFTA_00I 64097 EFTA01294889 KYC Print Page 11 of 13 summary of the nature/contents of the non-F_nolsh Documentation: SDNY_GM_00053517 Intps://na4.salesforce.com/septql7W1F leettir cA11:130000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. kVA-META( ) DB-SDNY-0016341 EFTA_00164098 EFTA01294890 KYC Print Page 12 of 13 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 4/23/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 4/23/2014 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Janice FranWin Gwen Hill (Signature) Janice FranWin Gwen Hill 4/25/2014 4/25/2014 LATAM/INIERNATIONAL APPROVALS Client Facing Professional (UP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SONY GM_00053518 Ittips://na4.salesforee.com/serlaMIEE nercrfAL430000000D9... 5/29/2014 - CONFIDENTIAL - PURSUANT TO FED. R.Worls. a( ) I DB-SONY-00 16342 EFTA_00I 64099 EFTA01294891 KYC Print Page 13 of 13 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 PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsthe Bank Amerkas New York SDNY_Ght00053519 linps://na4.salesforce.com/serNINM'F Mete' ittiEs130000000D9... 5/29/2014 CONFIDENTIAL - PURSUANT TO FED. R.VRIWP. ) DB-SDNY-0016343 EFTA_00164100 EFTA01294892