EFTA Document EFTA01294923

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A VA KYC Case # : 01195159 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship manager: Paul Morris Relationship to PWM: r 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: Update of KYC to add Darren Indyke as an authorized Signer. Darren has been KYC approved in case How Was the ient(s) Introduced? how long has the RM personally known the client? F Client Referral F RM Prospect F Intermediary/FIM F Other Source (CIB, 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 i >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? r Yes F No of Yes, dayrnize): List all existing and new accounts involved In this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F NES, LLC 10/28/2013 2 F NES, LLC -- Money Market 10/28/2013 WhO i the primary ontact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Harry Beller Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status 6. Approved SDNY_GM_00053574 hups://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED_ R. pp ENIST0IACED9Diaceid=500600... 3/21/2014 DB-SDNY-0016398 EFTA_00164155 EFTA01294923 KYC Print Page 2 of 14 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? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): P. Other Institution (Indicate name & location): JPMorgan. New York 1 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 the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100000 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's relation to the account in the "Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Enutyof Description Source of Weakh required Parties related to this account AccountPIC Holder OwnerTrust Settlor of / Founder of •:ouridabon -inmate Benefioatir Owner Signatory..imitecFnanoal Full POA POA InterrnediarySharehoider (FIM) AIM Significant K>=25%) Non-PIC entity (indicate ownership Other (please describe other roles and/or indicate relationship between cartes) 1 F F NES, LIG 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 4 F F Darren Indyke F F F r F F F SDNY_GM_00053575 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fit) DB-SONY-0016399 hos://na4 FIDEN L INA 0D9Di&eid=500600... 3/21/2014 EFTA_00164156 EFTA01294924 KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: NES, 11..0 -- Money Market Acct. Number (ifavailable),I 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 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): )PMorgan. New York 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 1-3 inflows and outflows per month ranging from $1000 to $10000 What is the expected volume of assets and currency for the account approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 100000 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's relation to the account in the *Other column. • Nway describe the relationship between the parties in the last column. • Please drill down to the ultimate/under ying Beneficial Oviner(s). Legal Entityof Description Source of Wealth required pries ren account ted to • is AccountplC Holder OwnerTrust Settbr of / Founder of Foundation Ultimate Beneficialor Owner Signatory_imitedEnancial Full POA DOA Intermediary6hareholder (FIM) Significant (>=25%) Non-PIC entity (indicate ownership PO Other (please describe other roles and/or indicate relationship between oases) I F F NES, lit F F F F F F F 2 F F Harry Beller r r r F r F r 3 F F Jeffrey Epstein F F F F F F F 4 F F Darren Indyke r r - r F F F F SDNY_GM_00053576 CONFIDENTIAL - PURSUANT TO FED. R. Fi t) I " 1 DB-SDNY-00 16400 https://na4.salesforce.com/serylet PiififfEWRACL0D9Di&eid=500600... 3/21/2014 EFTA_00I64I57 EFTA01294925 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 Name: Jeffrey Epstein - 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: Current Employer: Southern Financial LLC Position/ride/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, clescnbe) F Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family a- Freniship, descnbe) 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,desalbe) 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 Morris r r 17 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 parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Summarize Source of Wealth: PI Business Owner F Salary/Eamings P. 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 famdy 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 a): 10,000,000.00 Estimated amount of investable assets(S): $100 MM - 500 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY_GM_00053577 CONFIDENTIAL - PURSUANT TO FED. R. Ate) i ._, DB-SDNY-0016401 lutp a4.salesforce.com/servlet PP : EMFI LD9Di&eid=500600... 3/21/2014 EFTA_00164158 EFTA01294926 KYC Print Page 5 of 14 Institution: WMorgan 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_00053578 CONFIDENTIAL -PURSUANT TO FED. Fi t R1 I''' DB-SONY-00 16402 htt s://na4.salesforce.com/servle R. iper EWrOpAtOD9Di&eid=500600. .. 3/21/2014 EFTA 00164159 EFTA01294927 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 Beller - Date of Birth: 5/9/1956 Country of Residence: USA Country of Citizenship: USA Address of primary residence: Monsey NY 10952 USA Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Trde/Ftank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB group?(,f 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 10/2112013 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: 38. 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 r Investment F Inhentance/Gifts r- 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 (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: B SDNY GM_00053579 CONFIDENTIAL - PURSUANT TO FED. R. hups://na4.salesforce.com/servlet AtriCiEte At0 p D9Di&eid=500600... D3/-21/2014 -SDNY-0016403 EFTA_00164160 EFTA01294928 KYC Print Page 7 of 14 Institution: I 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_00053580 CONFIDENTIAL - PURSUANT TO FED. R. Ate) i - DB-SDNY-00 16404 http a4.salesforce.com/servlet At e) EilicapAto D9D i & e i d = 5 00 60 0 ... 3/21/2014 EFTA_00164161 EFTA01294929 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: Darren Indyke - Date of Birth: 2/19/196S Country of Residence: USA Country of Citizenship: USA Address of primary residence: Livingston N) 07039 USA Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Positionifide/Rank: Address of employer: New York NY USA 10021 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- &err/ship, 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 .— Ito 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: r r r r r r r 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 r- 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 (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I I Country: I I Est. Assets Under Mgt: SDNY_GM_00053581 CONFIDENT AL - PURSUANT TO FED. R. Fit) 1 l'-' DB-SO -00 16405 htt s://na4.salesforce.com/servle RifThIEWRACEDD9Di&eid=500600... 3/21/2014 EFTA 0016416? EFTA01294930 KYC Print Page 9 of 14 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_00053582 Att https://na4.salesforce.com/servlet CONFIDENTIAL —PURSUANT TO FED. R. l'EYEfiTikt0D9Di&eid=500600 . 3/21/2014 DS-SONY-0016406 EFTA_00164163 EFTA01294931 KYC Print Page 10 of 14 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-- Foundation/Association r Trust F Company I— Estate F 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: USA Date of incorporation / registration: 8/13/1998 Address (city, street, post code): 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,settlor and beneliciaries,ett.: Single member LLC. Jeffrey Epstein is the sole member Please indicate how ownership of the legal entity is reflected: I— Special attention: Bearer Shares - Indicate where shares are custodied: Descnbe the chain from the direct owner of the entity to the ultimate beneficial owner (or not the same persons): 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 I- 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 assetsffiabilibes): 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 PWT4 (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_00053583 https://na4.salesforce.com/seryle1 itic iEtfripActoD,Di&eid=500600... 3/21/2014 - CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016407 EFTA 00164164 EFTA01294932 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center F NY r NY/Offshore F Offshore F Moderate Risk —.7. iv High Risk Jacqueline Lightbody (Compliance Signature) F 013 Employee F DB Managed PIC F 08 is Trustee/Co-Trustee F Bearer Shares 4. Attachment A. Type of Photo ID Provided 57 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 ROC searches complete F yes r No negative results found F Yes F No KR checks complete F Yes F No negative results found r Yes F No OFAC checks complete F Yes F No negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found r yes F No DM) Denial Orders checks complete 17 yes r No negative results found r Yes P.. No Martindale-Hubbell searched (Lawyers/Law Arms only) r Yes F No negative results found r yes F No Please summarize any negative Previously KYC approved in casert the database searches indicated above: DARKEN INDYKE: JEFFREY EPSTEIN: Previously KYCd and approved in: 01082293 and 01121718 D. HARRY BELLER: Previously KYCd and approved: 01133624 NES, LLC: Negative media does not pertain to our client Our client is an MC that is only used to pay for the costs associated with running a privg.e. home No court cases E. To the best of your knowledge, has the client ever been convicted of a cnminal 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 Itigation against Deutsche Bank AG or any of Its subsidiaries? (lf Yes, F Yes P" No provide details below and contact Quality Mgt (Lat4m/Intl) or be Regulatory Control Group and notify Compliance immediately) Does the client or related party have any financial or other association / interactions r.— yes F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' ,,,. Does the client or related party have any financial or other associabon/ interactions " within high risk counties? r yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable SDNY_GM_00053584 CONFIDENTIAL - PURSUANT TO FED. R. ri b) i i_ DB-SDNY-00 16408 http a4.salesforce.com/servlet pliFIENTACL0D9Di&eid=500600... EFTA 00164165 EFTA01294933 KYC Print Page 12 of 14 I J. Uncisclosed Principal Form Complete (Intermediaries Only) r Yes r No 17 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_00053585 Imps://na4.salesforce.com/servle nr iEjElfrpACE/D9Diateid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016409 EFTA_00164166 EFTA01294934 KYC Print Page 13 of 14 M. Case Comments Created By Date Comments Jacqueline Jghtbody 3/14/2014 3:20 PM 1 page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable. The only revision was the 2nd page with the correct signers that is attached separately. .... ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 2/24/2014 Office Director/Business Head: Brian M. Biggar (Signature) Brian M. Biggar 2/24/2014 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill o/b/o Janice Franklin Jacqueline Lightbody (Signature) Gwen Hill o/b/o Janice Franklin Jacqueline Lightbody 3/14/2019 3/14/2014 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_00053586 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fit) DB-SONY-0016410 PHEYEit kilift 0D9Di&eid=500600... 3/21/2014 EFTA 00164167 EFTA01294935 KYC Print Page 14 of 14 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 satisfy 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 ofmy 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 aU 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. Deutsche Bank Americas New York VA SDNY_GM_00053587 CONFIDENTIAL - PURSUANT TO FED_ R. 'Mr hups://na4.salesforce.com/servle pEyEtrirtpAEM9Diateid=500600... 3/21/2014 DB-SDNY-0016411 EFTA_00164168 EFTA01294936