EFTA01365197.pdf

Case: 01082293 - salesforce.com - Unlimited Edition Page 3 of 9 D. Please summarize any negative results from the database searches indicated above G. JEFFREY EPSTEIN: RDC Alert #1 — Cleared & APPROVED by Chip Packard. AML Compliance, and Pat Harris PCR Alert #1/2 — Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case — Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial. the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed E. Has the client or related party ever been convicted of a criminal offense? E. Yes F. Has the client or related party ever been involved in any past or threatened litigation against Deutsche Bank AG or any of its subsidiaries? F. No G. To the best of your knowledge, does the customer have any financial association/interaction, e.g. maintain homes or companies, etc., within the countries and regions, or is the customer associated with the regimes or organizations that.. G. No H. Does the client or related party have any financial or other associations/interactions within countries that pose a risk of money laundering? H. No I. Entity Documentation Attached Yes J. Intermediary form approved by AML compliance? (intermediaries only) J. Not Applicable K. If any documentation is not in English, please provide an English summary or translation summary hups://dbforcepb.my.salesforce.com/5006000000Qah5L/p?retURL45006000000Qah5L A... 8/28/2015 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0055871 CONFIDENTIAL SDNY_GM_00202055 EFTA01365197