EFTA01362293.pdf

Deutsche Bank Wealth Management Certification Regarding Beneficial Owners Of Legal Entity Customers I. General instructions What is this form? To help the oovernment fight financial crime, Federal regulation requires certain financial institutions to obtain, verify, and record information about the beneficial owners of legal entity customers. Legal entities can be abused to involvement in terrorist financing, money laundering, tax evasion. corruption, fraud, and other financial crimes.disguise disclosure of key individuals who own or control a legal entity (i.e., the beneficial owners) helps law enforcementRequiring the and prosecute these crimes. investigate Who has to complete this form? This form must be completed by the person opening a new account on behalf of a legal entity with any of the following U.S. financial institutions: (i) a bank or credit union: (ii) a broker or dealer in securities: (iii) a mutual fund; (iv) a merchant; or (v) an introducing broker in commodities. futures commission For the purposes of this form, a legal entity includes a corporation, limited liability company, or other entity by a filing of a public document with a Secretary of State or similar office, a general partnership, and any that is created similar business entity formed in the United States or a foreign country. Legal entity does not include sole proprietorships, unincorporated associations, or natural persons opening accounts on their own behalf. What Information do I have to provide? This form requires you to provide the name, address, date of birth and Social Security number (or passport number or other similar information, in the case of Non-U.S. Persons) for the following individuals (i.e., the beneficial owners): • Each individual, if any, who owns, directly or indirectly. 25 percent or more of the equity interests ofthe legal entity customer (e.g„ each natural person that owns 25 percent or more of the shares of a corporation); and • An individual with significant responsibility for managing the legal entity customer (e.g., a Chief Executive Officer, Chief Financial Officer, Chief Operating Officer, Managing Member, General Partner, President Vice President. or Treasurer). The number of individuals that satisfy this definition of -beneficial owner" may vary. Under section (1), depending factual circumstances, up to four individuals (but as few as zero) may need to be identified. Regardless of the number on the of individuals identified under section (i), you must provide the identifying information of one individual under section (ii). It is possible that in some circumstances the same individual might be identified under both sections (e.g.. the President of Acme, Inc. who also holds a 30% equity interest). Thus, a completed form will contain the Identifying information one individual (under section (ii)), and up to five individuals (i.e., one individual under section 00 and four 25 percentof at least holders under section (i)). equity The financial institution may also ask to see a copy of a drivers license or other identifying document for each beneficial owner listed on this form. YAI189666 026819.051818 Pace ,t CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0051655 CONFIDENTIAL SDNY_GM_00197839 EFTA01362293