EFTA Document EFTA01294951

KYC Print Page 1 of 15 DB PWM GLOBAL KYC/NCA: PART A KYC Case * 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 1%. Existing PWM Relationship If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: Update of approved KYC 1147850 to add Darren Indyke as an authorized signer. Darren has been approved in KYC How Was the Client(s) Introduced? Flow 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 personalty has known client, etc.): Jeffrey Epsten 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 white Paul was at JRMorgan. 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 compensabon to a third party for the introduction of this relationship? F Yes F No (If Yes, descnbe): Ust all existing and new accounts Involved In this relationship Legal Entity Account(s) Account Name / Number Opening Date (intended/actual) 1 F Mort, Inc 11/12/2013 2 F Mott, nc -- Money Market 11/12/2013 Wh0 i the primary ontact perso for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Harry Geller Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): Status 6. Approved SDNY_GM_00053602 Ilupslina4.salesforce.com/servle AtliEyEtrirtpALO9Diateid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016426 EFTA_00164183 EFTA01294951 KYC Print Page 2 of 15 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Mort, Inc 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 to hold assets for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Cent (indicate DB location and account details): gr Other Institution (Indicate name & location): JPMorgan. 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 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 approx. 90 days after opening? Currency USD What is the expected volume of assets and currency for the account approx. one year after opening? 50000 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 related to pis account AccountPIC Holder OwnerTrust Settler of / Founder of •:ouriliabon Jlbmate Benefioalor Owner Signatory.rmitecFnancial Full FOA POA nterrnediarySharehoider kFIM) 4%) ities Significant (>=25%) Non-PIC entity (indicate ownership Other (please describe other roles and/or indicate relationship between dailies) 1 F F Harry Beller F F F F F F F 2 F r Mort, Inc F F F r r F F 3 F F Jeffrey Epstein F F F F F F F 4 F F Darren Indyke F F F F F F F SDNY_GM_00053603 htt s://na4.salesforce.com/seryet CONFIDENTIAL — PURSUANT TO FED. l R. Fit) pl rapAtoD9Di&eid=500600... Iifrff l' -' 3/21/2014 Ew DB-SONY-0016427 EFTA_00I64I84 EFTA01294952 KYC Print Page 3 of IS 2. Account Ownership Summary Account Name: Mort, Inc -- Money Market 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 to hold assets for the company and to 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): JPMorgan, 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 $10,000 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? 50000 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. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Entityof Description Source of Weakh required Parties related to Oils account AccountPlC Holder OwnerTrust Settlor of / Founder of Foundation Ultimate Beneficialor Owner Signatory Full POA imitecFnancial *OA Intermediarybhareholder (FIM) ‘%) Significant (>-25%) Non-plc entity (indicate ownership Other (please describe other roles and/or indicate relationship between Parbes) 1 F F Mort, Inc F F F F r F r 2 r r Harry Beller F F r F F F r 3 F F Jeffrey Epstein r F F F r7 r r 4 F F Darren Indyke F F F F F F F SDNY_GM_00053604 CONFIDENTIAL - PURSUANT TO FED. R. nb) i ._, DB-SDNY-00 16428 https://na4.salesforce.com/servlet plifrffEnintAtoD9Di&eid=500600... 3/21/2014 EFTA_00I64I85 EFTA01294953 KYC Print Page 4 of 15 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: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) 1- Yes 1.; No To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Fnendship, 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,descnbe) r• , it" ' yes 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 10/22/2013 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: 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: r; 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 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 (S): 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY_GM_00053605 CONFIDENTIAL — PURSUANT TO FED. R. ri b) i ._ DB-SDNY-00 16429 lutp a4.salesforce.com/servlet RI : EMITTACED9Di&eid=500600... 3/21/2014 EFTA 00164186 EFTA01294954 KYC Print Page 5 of 15 Institution: Country: Bt. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: -- I Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Acto SDNY GM_00053606 CONFIDENTIAL — PURSUANT TO FED. R. hups://na4.salesforce.com/serylet itic i Etn iti D,Di&eid=500600... 3/21/2014 DB-SDNY-0016430 EFTA_00I64I87 EFTA01294955 KYC Print Page 6 of 15 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: Country of Citizenship: Address of primary residence: I Profession/Occupation: Accountant Tax ID / SSN: Current Employer: HBRK Associates, Inc Position/Tide/Rank: 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?(rf Family a- From/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 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 Place of Business: Other Location (specify): Date: Paul Moms r r F 11/4/2013 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: 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 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 (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_00053607 CONFIDENTIAL - PURSUANT TO FED. R. Fi t) I " 1 DB-SDNY-0016431 https://na4.salesforce.com/servlet plinElsffpActoD9Di&eid=500600... 3/21/2014 EFTA 00164188 EFTA01294956 KYC Print Page 7 of 15 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_00053608 CONFIDENTIAL - PURSUANT TO FED. R. .) DB-SONY-00 16432 https://na4.salesforce.com/servlet Fl iCrEl irlAt 0D9Di&eid=500600... 3/21/2014 EFTA 00164189 EFTA01294957 KYC Print Page 8 of IS 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: Country of Residence: Country of Citizenship: Address of primary residence: Profession/Occupation: Lavryer Tax ID / SSN: Current Employer: Southern Financial LLC Position/Trde/Ftank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 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 DB group?(,f Family a- Fnendship, 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,descnbe) r , 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 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 partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: r- Business Owner F SaiatwEamings F Investment F Inhentance/GiRs 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 vealth?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(s): Estimated Net Worth(S): Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: Institution: I Country: I Est. Assets Under Mgt: SDNY_GM_00053609 hu TALD9Di&eid=500600... CONFIDENTIAL — PURSUANT TO FED. s://na4.salesforce.com/servle R. e e Atpl e) Iifrff l' -' 3/21/2014 EN DB-SONY-00 16433 EFTA_00I64I90 EFTA01294958 KYC Print Page 9 of 15 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_00053610 CONFIDENTIAL - PURSUANT TO FED. R. Ate, i - DB-SDNY-00 16434 http a4.salesforce.com/servlet piipwrippkt0D9Di&eid=500600... 3/21/2014 EFTA 00164191 EFTA01294959 K\( 1'tint Page 10 of 15 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: Mort, Inc - Type of Entity: — Foundation/Association r Trust 17 Company :— Estate F partne,ship 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: USVI Date of incorporation / registration: 4/12/2011 Address (city, street, post Code): 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/E1N: 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,etc.: Corporation with 1000 issued. AI issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and Owner. Please indicate how ownership of the legal entity is reflected: r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if 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 r No F Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Investment holding company. A private company that Is used to hold investemenM that the sole owner, Jeffrey, would like to keep separate from other investments Countries where business is transacted: USVI Number of employees: 2 3D. Wealth Profile (Only for parties requiring source of wealth descnption as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Capital contnbutlon of $1000 from Jeffrey Epstein Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): <$1 MM Potential Amount to be invested with PWIN (5): 100,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: Est. Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00053611 CONFIDENpTIAL - PURSUANT TO FED. .salesforce.com/servlet R. Fi t) DB-SONY-00 16435 hos://na4 FIBEMPAt 0D9Di&eid=500600... 3/21/2014 EFTA_00164192 EFTA01294960 KYC Print Page I 1 of 15 httpsfina4.salesforce.cornisenilel CONFIDENTIAL — PURSUANT TO FED. R. SDNY_GM_00053612 IBEMPAt 0D9Di&eid=500600 . 3/21/2014 DB-SONY-00 16436 EFTA 00164193 EFTA01294961 KYC Print Page 12 of 15 DB PWM GLOBAL KYC/NCA: US/LatArn/Inel PART B elabonship Name SOUTHERN FINANCIAL RELATIONSHIP .0.3 long Center F NY F NY/Offshore F Offshore i— k s Moderate F High Risk Jacqueline Lightbody (Compliance Signature) 7 DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided 17 Drivers License F Passport F National/State ID F Other Checklist of names (indivKluals 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 r No negative results found F Yes F No PCR checks complete F yes F No negative results found F Yes Fheo OFAC checks complete F Yes F No negative results found F Yes F NO BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, r 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 r7 No Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes Fheo Please summarize any n t ir.ve results from the database searches indicated above: DMREN INDYKE: KYC approved in case # JEFFREY EPSTEIN: KYC Approved and all pertaining documents in case A: D' HARRY BEU-ER: KYC approved in case # MORT INC: All negative media does not pertain to our client. All court cases do not pertain to our client 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, r Yes F No prow* details below and contact Quality Mgt (LatAni/Intl) or the geode:ay Control Group and noOfy Compliance immediately) client or related party have any financial or other association / interactions `'' within counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes F No C'" H. Does the client or related party have any financial or other association/ interactions within high risk countries? r Yes F No I. Corporate Documentation Attached (Legal Entities Only) 17 Yes r No r Not Applicable SDNY-21/2014 GM_00053613 p CONFIDENTIAL - PURSUANT TO FED. R. hus://na4.salesforce.com/servle e litlEYENTP At0D9Di&eid=500600... 3/ DB-SONY-0016437 EFTA_00164194 EFTA01294962 KYC Print Page 13 of 15 J. Undisclosed Principal Form Complete (Intermedianes Only) r Yes r 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_00053614 hups://na4.salesforce.com/servle f itriDEtfrtAtD9Diateid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016438 EFTA_00164195 EFTA01294963 K VC Print Page 14 of 15 M. Case Comments Created By Date Comments Jacqueline ughtbody 3/14/2014 3:12 PM I 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 Faong Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GHTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY GM_00053615 CONFIDENTIAL - PURSUANT TO FED. R. https://na4.salesforce.com/servle ittr i EtetAtoD,Di&eid=500600... 3/-21/2014 DB-SDNY-00 16439 EFTA 00164196 EFTA01294964 KYC Print Page 15 of 15 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 Professionalsl(1) (CFPs) should establish and maintain business relationships only with persons who satisfy our high standards al suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFR 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 all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (i) Client Facing Professionals (CFPV include: Relationship Managers, Wealth Advisors, Product Officers, Brokers. Client Managers, etc. Deutsche Bank Americas New York VA SONY_Ght00053616 littps://na4.salesforce.com/servle pliREINFRAtD9Diaceid=500600... 3/21/2014 CONFIDENTIAL - PURSUANT TO FED_ R. FP.IM I"" DB-SDNY-0016440 EFTA_00164197 EFTA01294965