EFTA Document EFTA01294910

KYC Print Page I of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01121946 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Booking Center: I New York Relationship Manager: Paul Morris Relationship to PWM: 17 New PWM Relationship 1 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/FIM r Other Source (O6, etc.) %ease 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 air Yes, deptsibe): List all existing and new accounts involved in this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) I r The Haze Trust 9/18/2013 2 r The Haze Trust 9/18/2013 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Jeffrey Epstein Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): 212.750.9895 Status 6. Approved SDNY_GM_00053561 CONFIDENTIAL -PURSUANT TO FED. R. Atb) . DB-SONY-0016385 l piiriEttntAtorymi&eid=500600... 9/16/2013 EFTA_OO164142 EFTA01294910 KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: The Haze Trust I 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 Haze Trusts daily liquidity needs. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DES Group: Other Booking Cents (indicate DB location and account details): P * Other Institution (Indicate name & location): JP Morgan Chase. New York, NY 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 5-10 inflows and outflows per month ranging from 51,000-$10,003 What is the expected volume of assets and currency for 25000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 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 iri the 'Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). egal Description AccountPIC Settlor of Jtimate Signatory _imitec nancial Significant Enutyof Source Holder OwnerTrust / Benefiaalor Full ?0A IntermediarySharehoider of Weakh Founder of Owner POA (FIM) (>=25%) required Parties related to •:ouriliation Non-PIC entity (indicate ownership Other (please describe other roles and/or indicate relationship between this account '/o) parties) 1 F F The Haze Trust F r F F F r F 2 F F Darren Indyke F F F F F F F Trustee:; 3 F F Jeffrey Epstein F F F F F F F SDNY_GM_00053562 SDNY-00 16386 CONFIDENTIAL -PURSUANT TO FED. s://na4.salesforce.com/serylet t R. Fi 1iF I''I ' E W ACED - lut pl R D9Di&eid=500600... 9/ DB16/2013 EFTA_00164143 EFTA01294911 KYC Print Page 3 of 12 2. Account Ownership Summary Account Name: The Haze Trust 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)? Money Market account for The Haze Trust to hold its cash. Indicate from where the assets are expected to arrive? F DI3 Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O13 location and account details): 17 Other Insbtubon (Indicate name & location): JPMorgan Chase. New York, NY 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 1-2 inflows and outflows per month ranging from $1,000 to $20,000 What is the expected volume of assets and currency for 50,000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150,000 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. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of Ultimate Signatory_imitedflnancial Significant Entityrof Source Holder OwnerTrust / Beneficialor Full BOA Intermediaryehareholder of Weakh Founder of Owner POA (FIM) !(> -25%) required parties related to . s account Foundation Van-pic entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between Parbes) 1 F F The Haze Trust F r r r r F r 2 r r Darren Indyke F r r F F r r Trustee:; 3 F F Jeffrey Epstein r F F F F F F SDNY_GM_00053563 CONFIDENTIAL - PURSUANT TO FED. .salesforce.com/serylet R. At) i1i l'-' E W At0 DB-1SDNY-0016387 htts://na4 Pirf FV D9Di&eid=500600... 9/6/2013 EFTA_00164144 EFTA01294912 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 Citizenship: USA Address of primary residence: Litte Saint James Saint Thomas 00802 US Virgin Islands Profession/Occupation: Self Empolyed Tax ID / SSN: 090-44-3348 Current Employer: Southern Financial LLC Posibonifide/Ftank: President Address of employer: 6100 Red Hook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the 08 group?(If Family or Fnendship, describe) F Family F Friendship F None To the best of your knowledge, is the individual party to a non-banking relationship with Deumche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,descnbe) r— i 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 17 8/7/2013 F 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: 35. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: 17 Business Owner F Salary/Eamings 7 Investment F Inheritance/Gifts r- Other: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For ?rugs, 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 & Cm, 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): $50 MM - 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): 200,000.00 Other Known Financial Institutions: SDNY GM_00053564 CONFIDENTIAL - PURSUANT TO FED. R. Imps://na4.salesforce.com/servlet ritriciEtfirtipAtoD,Di&eid=500600... 9/-16/2013 DB-SONY-0016388 EFTA_00164145 EFTA01294913 KYC Print Page 5 of 12 Institution: JPflorgan Chase Country: USA Est. Assets Under Mgt: 23,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the famity situation of the individual (marital status, other family members, etc.): Single SDNY_Ght00053565 hups://na4.salesforce.com/servle pliREIntrAtD9Diateid=500600... 9/16/2013 CONFIDENTIAL - PURSUANT TO FED_ R. 'MN ' I"" DB-SDNY-0016389 EFTA_00164146 EFTA01294914 KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (far all parties) 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: Accountant Tax ID / SSN: 098-54-8596 Current Employer: Southern Financial LLC Position/Tide/Rank: Address of employer: 6100 Red Hook Quarter 83 St Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the D43 group?(rf 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: Client of Business: Place Other Location (specify): Date: Paul Moms r r F 9/6/2013 r 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 parbe 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 F Other. Further Describe Source of Wealth /Detail the history of vealth 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.) Estimated Annual Income ($): Estimated amount of investable assets(S): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00053566 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/serelet R. Fill - ) DB-SDNY-00 16390 hos://na4 PIDEM L ITA 0D9Di&eid=500600... 9/16/2013 EFTA_00164147 EFTA01294915 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_00053567 Fit https://na4.salesforce.com/servle CONFIDENTIAL —PURSUANT TO FED. R. liBEtritACL0D9Di&eid=500600 . 9/16/2013 DB-SONY-0016391 EFTA 00164148 EFTA01294916 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: The Haze Trust - 00000486428 Type of Entity: r Foundation/Association F Trust r Company r 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/registration: United States VIrigin Islands Date of incorporation / registration: 2/9/1999 Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/E1N: 13-7185414 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocalal ty,settlor and beneficiaries,etc.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee 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 (if not the same persons) 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 r No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: The trust was initially funded with $100. The trust makes and holds investements and the gains It makes from those investments is rts source of revenue. The trust, in turn, puts these gains back into the trust and reinvests. Countries where business Is transacted: USA, USVI Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e g balance sheet The trust was initially funded with $100 from Jeffrey Epstein. Investments is its source of revenue. The trust, in turn or equivalent summary of assets/liabilities): The trust makes and holds investements and the gains it makes from those puts these gains back into the trust and reinvests. Estimated gross receipts p.a.($): 300,000.00 Estimated net profit p.a. ($): 200,000.00 Estimated investable assets ($): $20 MM - 50 MM Potential Amount to be invested with PWT4 (5): 200,000.00 Other Known Financial Institutions: Institution: JPMorgan Chase Country: USA Bt. Assets Under Mgt: 23,000,000.00 Institution: Country: Bt. Assets Under Mgt: SDNY_GM_00053568 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fi t) DB-SDNY-00 16392 htt s://na4 PIDEIT L RA 0D9Di&eid=500600... 9/16/2013 EFTA_00164I 49 EFTA01294917 KYC Print Page 9 of 12 'Institution: I I cs I IEst. Assets Under Mgt I SDNY_GM_00053569 hups://na4.salesforce.com/servle nriE,Et ripAct,D9Di&eid=500600... 9/16/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016393 EFTA_00164150 EFTA01294918 KYC Print Page 10 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F NY/Offshore F Offshore sF kM°derate r; High Risk Janice Franklin (Compliance Signature) F 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 entities) 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 F No negative results found F yes F No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, F yes r— to negative results found F Yes F No D&B) Denial Orders checks complete 17 Yes r No negative resift found r yes ri No Martindale-Hubbell searched (Lawyers/Law Arms only) F Yes F No negative results found F Yes F No Please summarize any negative resuks from the database searches indicated above: JEFFREY EPSTEIN: Please see KYC 01082293 for Jeffrey Epstein approval and for all Compliance approvals Darren Indyke: D. 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? F 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, F Yes F No provide details below and contact Quality Mgt (LatAm/Intl) or de Regliatory Control Gump and nobly Compliance immediately) the client or related party have any financial or other association / interactions r Yes F No G-"" within counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' H. Does the client or related party have any financial or other association/ interactions F within hig h risk countries? F Yes No I. Corporate Documentation Attached (Legal Entities Only) 17 Yes F No r- Not Applicable 3. 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 summary of the nature/contents of the non-English Documentation: SDNY GM_00053570 CONFIDENTIAL - PURSUANT TO FED. R. lums://na4.salesforce.com/servlet ipticiEtfropAtoD,Di&eid=500600... 9/-16/2013 DB-SONY-0016394 EFTA 00164151 EFTA01294919 KYC Print Page I 1 of 12 M. Case Comments Created By Date Comments Amanda Kirby 9/9/2013 5:13 PM Please see KYC 01082293 for Jeffrey Epstein KYC approval and all due diligence, attachments and source of wealth ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) Paul Morns 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lighttody Janice Franklin (Signature) Jacqueline Lightbody Janice Franklin 9/10/2013 9/10/2013 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) SDNY_GM_00053571 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fit) DB-SDNY-00 16395 htt s://na4 PIDEN AITt0D9Di&eid=500600... 9/16/2013 EFTA_00164152 EFTA01294920 KYC Print Page 12 of 12 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 Proftssionalsl(I) (CFP 's) should establish and maintain business relationships only with persons who sail* our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CEP. 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 MI Global KYC Policy (i) Client Facing Professionals (CFP :5) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York SON Y_GM_00053572 hupslina4.salesforce.comiservle AtrE,E19470pAtD9Diaceid=500600... 9/16/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016396 EFTA_00164153 EFTA01294921