EFTA Document EFTA01294896

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01141322 Status : 7. Approved with Temporary Exception 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 Relationship F Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Client(s) Introduced? How long has the RM personally known the client? r Client Referral P. RM Prospect i.-- Intermediary/FPM r Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personalty 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 P Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at 'Morgan. 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 compensation to a third party for the introduction of this relationship? F Yes F No (!/Yes, desoibe): List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 NES, LLC 10/28/2013 2 F NES, LLC -- Money Market 10/28/2013 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or Information right for the aCCOuntS.): Harry Seller Preferred method of contact(indkate phone no., fax no., e-mail address, etc.): SDNY_GM_00053534 Fitt https://na4.salesforce.com/servle CONFIDENTIAL —PURSUANT TO FED. R. leEtf kt 0D9Di&eid=50060 11/15/2013 DB-SONY-0016358 EFTA 15 EFTA01294896 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: NES, U_C Acct Number Of 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 to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes indicate from where the assets are expected to arrive? 7 DB Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Cents (indicate DB to cation and account details): P. Other Institution (Indicate name & location): JPMorgan. New York I 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 inflows and outflows per month ranging from $1000 to $20000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100000 Currency USD 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's relation to the account m the 'Other column. • Alway describe t e relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Description AccountPIC Settlor of siltimate Signatory _imitecFnancial Significant Enttyer Source Holder OwnerTrust / Beneficiabr Full ?0A ntermediaryShareholder of Wealth =minder of Owner POA kFinn (>=25%) required antesrelated to i account 'oundabon Non-PLC entity (indicate ownership fro) rties abet (please describe other roles and/or indicate relationship between cartes) 1 F F NES, LAC F F F F F F F 2 F F Harry Beller F F F F F F F 3 F F Jeffrey Epstein F F F F F F F SDNY_GM_00053535 CONFIDENTIAL https://na4.salesforce.com/servlet - PURSUANT TO FED. R. liCiEtfntAKE1D9Di&eid=50060 11/5/2013 DB-1SONY-0016359 EFTA 00164116 EFTA01294897 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: NES, lIC -- Money Market Acct. Number Of 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)? Money market account to hold the funds necessary to cover the costs associated with running one of Jeffrey Epstein's homes and earn interest Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): 3PMorgan. New York F Physical Deposns (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 1.3 inflows and outflows per month ranging from $1000 to $10000 What is the expected volume of assets and currency for 100000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 100000 Currency USD 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's relation to the account in the *Other column. • Nway describe the relationship between the parties in the last column. • Please drill &gm to the ultimate/under ying Beneficial Owner(s). egal Description AccountFIC Settior of Ultimate Signatory_imite nancial Significant tntityof Source Holder Owneerrust / Beneficialor Full DOA ntermediary6hareholder of Wealth Founder of Owner POA FIM) (>=25%) required parties related to . s account :oundabon Non-PIC entity (indicate rership Other (please describe other roles and/or indicate relationship between oases) 1 F F NES, Lit F F F r r r r 2 r r Harry Beller r r r r r r r 3 F F Jeffrey Epstein F F r F I . F r- SDNY GM_00053536 CONFIDENTIAL - PURSUANT TO FED. R. Imps://na4.salesforce.corniservIet AtrBEWFVACL0D9Di&eid=50060... 1 1/1 5/2013 DB-SDNY-0016360 EFTA 00164117 EFTA01294898 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 - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Obzenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(,f Family a- Fneniship, describe) F Family F Friendship F 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 Ves,descnbe) r 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 Office: Client Private Domicile: Client of Business: Place Other Location (specify): Date: Paul moms r r F 10/21/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: P. Business Owner F Salary/Eamings F Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. 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, .). Epstein & Co., managing the assets of clients with 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. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income ($): 10,000,000.00 Estimated amount of investable assets(S): $100 MM - 500 NM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: SDNY GM_00053537 CONFIDENTIAL - PURSUANT TO FED. R. httpsfina4.salesforce.cornisenilet AttleEtfrOpAtOD9Di&eid=50060.. . II/1 5/20 13 D8-SONY-00 16361 00164IIS EFTA01294899 KYC Print Page 5 of 12 Institution: JPMorgan Country: USA Est. Assets Under Mgt: 40,000,000.00 Institution: Deutsche Bank Country: USA Est. Assets Under Mgt: 154,000,000.00 Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_0005353B httpsl/na4.salesforce.com/servle . e pliREITRACE.09Diaceid=50060... 11/15/2013 CONFIDENTIAL - PURSUANT TO FED_ R. ri te) ' 1-... DB-SDNY-0016362 EFTA_00164119 EFTA01294900 KYC Print Page 6 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: Harry Beller - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: Address of employer: 575 Lexington Avenue, 4th Floor Mousey NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Fnendship, describe) F Family F Friendship F 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,descnbe) r 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 Office: Client Private Domicile: of Businew: Place B usiness: Other Location (specify): Date: Paul Monis r r F 10/21/2013 F r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 35. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of veaith for each of the sources: (e.g. For busts, 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.) Estimated Annual Income (5): Estimated amount of investable assets(5): Estimated Net Worth(S): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY GM_00053539 CONFIDENTIAL - PURSUANT TO FED. R. Imps://na4.salesforce.comisenile iltreEeAt0D9Di&eid=50060.. . 11/-15/2013 DB-SDNY-0016363 EFTA 00164120 EFTA01294901 KYC Print Page 7 of 12 Institution: Institution: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00053540 htt s://na4 e CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servle R. e At- 0D9Di&eid=50060. .. PIDENTIIkt ) 11/15/2013 DB-SONY-0016364 EFTA 00164121 EFTA01294902 KYC Print Page 8 of' 12 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: NES, LLC - Type of Entity: r Foundabon/Associabon r Trust 17 Company F Estate r Partnership Purpose of Entity: F Private Investment r Philanthropic/Charitable r commercial Type of Entity Other (specify): Purpose of Entity Other (specify): Country of incorporation/registrabon: USA Date of incorporation / registration: 8/13/1998 Address (city, street, post code): 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/EIN: Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,setbor and benelicianes,etc.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: Single member LLC. Jeffrey Epstein is the sole member F Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ukimate beneficial owner Of nor the same persons). Single member LLC. Jeffrey Epstein S the sole member 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: NES, LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes Countries where business is transacted: USA, USVi Number of employees: 3D. Wealth Profile (Only for partie requiring source of wealth description as indicated in Section 2) Provide Evidence All funds come of Corporate Assets (e g balance sheet or equivalent summary of assets/liabilities): KYCd previously from Jeffrey Epstein, who has been Estimated gross receipts p.a.(;): Estimated net profit p.a. (5): Estimated investable assets (5): <$1 MM Potential Amount to be invested with PM (5): 200,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 200,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY GM_00053541 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.comiservle ittrBEWACE0D9Di&eid=50060.. . 1 1/1 5/2013 DS-SONY-0016365 EFTA_00I64I 22 EFTA01294903 KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B P2 Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center F NY r - NY/Offshore F Offshore F Moderate Risk re High Risk Janice Franklin (Compliance Signature) P DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or entitles) that were submitted for database B. F Yes F No searches is attached C. Please indicate the results of the database searches performed RDC searches complete F yes F No negative results found F Yes F No KR checks complete F Yes F No negative results found F Yes F No OFAC checks complete F Yes r No negative results found F yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No D&B) Denial Orders checks complete 17 yes r No negative results found r Yes F . No Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F Yes F No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Previously KYCd and approved in: 01082293 and 01121718 HARRY BELLER: D. Previously KYCd and approved: 01133624 NES, LLC: Negative media does not pertain to our client. Our client is an LLC that is only used to pay (or the costs associated with running a private home No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? IV Yes F No 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, I— Yes F No provide details below and contact Quality Mgt (Lat4m/Int1) or the RegGiatory Control Group and notify Compliance immediately) the client or related party have any financial or other association / interactions G' F ' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? r Yes No Does the client or related party have any financial or other association/ interactions H F Yes F No within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) F Yes F 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_00053542 CONFIDENpTIAL - PURSUANT TO FED.ilet R. X) DB-SDNY-00 16366 htt s://na4.salesforce.com/sen a MI PleEtf t 0D9Di&eid=50060... 11/15/2013 EFTA_00164123 EFTA01294904 KYC Print Page 10 of 12 summary of the nature/contents of the non-English Documentation: https://na4.salesforce.com/servle CONFIDENTIAL — PURSUANT TO FED. R. 1Ntr SDNY_GM_00053543 IBEWRALD9DISCeld=50060 11/5/20 13 DB-1S0NY-0016367 EFTA_00164124 EFTA01294905 KYC Print Page 11 of 12 M. Case Commenb records to display. ONSHORE APPROVALS Ghent Fadng Professional (UP): Paul Morris Signature) , aul Morns 10/22/2013 Office Director/Business Head: Bnan M. Biggar Signature) Brian M. Biggar 10/23/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compiance: Jacqueline Lightbody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 11/8/2013 11/8/2013 LATAM / INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMEN7': Deutsche Bank Private Wealth SONY_GM_00053544 httpsl/na4.salesforce.com/servle frittpriEtrirttACE/D9Diaceid=50060... 11/15/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016368 EFTA_00164125 EFTA01294906 KYC Print Page 12 of 12 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals/ (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 at 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 chent(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 (1) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers. etc. Deutsche Bank Americas New York SDNY_GM_00053545 littps://na4.salesforce.com/servle pl 94111)AC 11/15/2013 CONFIDENTIAL - PURSUANT TO FED. R. ne) iRE/ E:09Diaceid=50060... DB-SDNY-0016369 EFTA_00164126 EFTA01294907