EFTA01478138.pdf

Paul Morris GcisCustomerNumber CustomerName Account 1 Account Title - Long Name AccountTitle - Short Name BookingCenter ACCOuntOpeningDate AccType RM Name Sub GMT DomicileOfAccount DomicileOfUltimateBeneficialOwner CbvEurAsOfDec2015 FullYear2015RevenueEur SourceSystem Code BankNumber ProductCode ProductDescription NameAddressl NameAddress2 Name Address3 NameAddress4 NameAddress5 NameAddress6 Accountld (Anonymized for Central Te am Tracking) Epstein, Jeffrey JEFFREY EPSTEIN DBTCA 9/12/2013 IND ill.a l iM US Onshore US VIRIMI S US Virgin Islands PBS 1 SNOW NOW and SuperNOW Accounts JEFFREY EPSTEIN 6100 RED HOOK QTR, B SAINT THOMAS UNITED STATES VIRGIN ISLANDS Epstein, Jeffrey JEFFREY EPSTEIN DBTCA 3/8/2016 IND s US Onshore US Virgin Islands PBS 1 SNOW NOW and SuperNOW Acc ounts JEFFREY EPSTEIN 6100 RED HOOK QTR, B3 SAINT THOMAS 00802 UNITED STATES VIRGIN ISLANDS JEGE, LLC JEGE, LLC DBTCA LE Paul Morris US Onshore US VIRGIN ISLANDS US Virgin Islands PBS 1 DDA Deposit Transactions JEGE, LLC JEFFREY EPSTEIN 6100 RE , B3 ST. THOMAS 00802 UNITED STATES VIRGIN ISLANDS 3264 The 2007 Jeffrey E. Epstein Insurance Trust 13 THE 2007 JEFFREY E. EPSTEIN INSURANCE DBTCA 11/1/2013 LE Paul Morris US Onshore US Virgin Is lands 223 1 PBS 1 DDA Deposit Transactions THE 2007 JEFFREY E. EPSTEIN INSURANCE TRUST 13 DTD 11/01/2007 C/O HBRK ASSOCIATES, INC 575 LEXINGTON AVE 4TH FL NEW YORK NY 10022 18613 Mort, Inc MORT, INC DBTCA 2/6/2015 LE Paul Morris US Onshore US VIRGIN ISLANDS US Virgin Islands 2 32 PBS 1 DDA Deposit Transactions MORT, INC 6100 RED HOOK QUARTER, B3 ST. THOMAS 0080 2 UNITED STATES VIRGIN ISLANDS 18619 Gratitude America GRATITUDE AMERICA, LTD DBTCA 3/3/2015 LE Paul Morris US Onshore US VIRGIN ISLANDS US Virgin Islands 902 3 PBS 1 SNOW NOW and SuperNOW Accounts GRATITUDE AMERICA, LTD 6100 RED HOOK QUARTE mi l B3 STTHOMAS 00802 UNITED STATES VIRGIN ISLANDS 4132 Gratitude America GRATITUDE AMERICA, LTD DBTCA 3/3/2015 illt all l Morris US Onshore US VIRGIN ISLANDS US Virgin Islands 8949086 1864 6 PBS 1 MMBA Money Market Business Account GRATITUDE AMERICA, LTD 6100 RED HOO K QUARTER, B3 ST THOMAS 00802 UNITED i rIRGIN ISLANDS 6064 Epstein, Jeffrey JEFFREY EPSTEIN JEFFREY EPSTEIN DBTCA 4/10/2014 IM IIIIIIC1 Morris US Onshore United States US Virgin Islands 91133 379 GPLU S 1 CUSTD Domestic 6100 RED HOOK QUARTER B3 ST. THOMAS VI 00802 1262 8 Jeepers, Inc JEEPERS INC DBTCA 9/23/2013 LE Paul Morris US Onshore US VirgirIM 1595157 ADP 1 BROKA Brokerage Advisory 6100 RED HOOK Q ST THOMAS VI 00802 14217 The Haze Trust THE HAZE TRUST DBTCA 9/23/2013 LE Paul Onshore US Virgin Islands 40187786 4306 ADP 1 BROKA Brok erage Advisory THE HAZE TRUST UAD 02/09/99 JEFFREY EPSTEIN & DARREN K INDYKE TTEES 6100 RED HOOK QUARTER B3 ST THOMAS VI 00802 7538 Epstein, Jeffrey JEFFREY EPSTEIN DBTCA 9/23/2013 IND Paul Morris US Onshore US Virgin Islands 3022 ADP 1 BROKA Brok erage Advisory JEFFREY EPSTEIN 6100 RED HOOK QTRS STE PI M ST THOMAS VI 00802-1348 8738 For internal use only EFTA01478138  CRP Outreach Tracking Template Please complete columns in gray, where information is available and refer to "Template Instructions" tab for more detail. CRP Process Step Checksum Account # Account Title RM Name Product Account Id Identifier (For Central Team Use Only) Initial Client Indication Client called Client Called Date Self-Certification Form Sent Self-Certification Form Sent Date Reminder Sent Reminder Sen t Date Account closure form sent Account closure sent Self-Certification Form Received Self-Certification Form Received Date CA/IA Review and Declaration CA/IA Declaration Date Account Status Account Completed Date Outcome 0 JEFFREY EPSTEIN Paul Morris NOW and SuperNOW Accounts 12262 Y 4/18 4/22/16 Unknown 0 0 Client_Indication Y/N CA/IA Review and Dec leration_Options CRP_STATUS Outcome Options dates JEFFREY EPSTEIN Paul Morris NOW and SuperNOW Accounts 18580 Y 4/18 4/22/16 Plan to certify 0 0 Unknown Y Signed In regularisation Account maintained 9/1/2015 JEGE, LLC Paul Morris Deposit Transactions 3264 4/18/16 Y IIIIMPlian unt frozen not to certify 9/1/2017 0 0 Plan to certify Escalated In escalation Acco THE 2007 JEFFREY E. EPSTEIN INSURANCE Paul Morris Deposit Transactions 1861 4/18/16 Y 4/22/16 Y 0 0 Plan not to certify Na Pend ing In progress Account in workout MORT, INC Paul Morris Deposit Transactions 18619 Y 4/18/16 Y 0 Na Complete Account closed GRATITUDE AMERICA, LTD Paul Morris NOW and SuperNOW Accounts 4132 Y 4/18/16 Y 4/22/16 Signed 0 0 GRATITUDE AMERICA, LTD Paul Morris Money Market Business Account 6064 Y Mi lIP. 4/22/16 Escalated 0 0 680519 JEFFREY EPSTEIN Paul Morris Domestic 12628 Y 4/18/16 Y 4/22/16 Pend ing 0 0 JEEPERS INC Paul Morris Brokerage Advisory 14217 Y 4/18/16 Y 4/22/16 In Regularisation 0 0 THE HAZE TRUST Paul Morris Brokerage Advisory 7538 Y 4/18/16 Y n Escalation 0 0 JEFFREY EPSTEIN Paul Morris Brokerage Advisory 8738 Y 4/18/16 Y 4/22/16 In Progress 0 0 For internal use only EFTA01478139 Template Instructions Field Instruction Possible Values Field Type MI Account ID Prepopulated and aligned to original data collection Locked The field is prepopu lated and must not be altered Initial Client Indication Populate with any initial indication obtained from the client as to their self certification intentions. This could be from the prescribed CRP process steps or any usua 1 means of communication with the client. Plan to certify The client indicated that they plan to provide the self certification Optional The field should be populated where any indi cation has been provided by the client, if no indication is provided it is not required Provided ind icative view on intitial client indications and helps identify high risk accounts Plan not to certify The client indicated that they do not plan to provide the self certification To be reviewed The client indicated that they would review the request Process Steps Client called Mark as Y if the client has been contacted by telephone to make them aware of CRP. The client call is not a requirement but is a recommended component of the CRP process Y / N Y - the client has been called as part of the CRP process N - the client WILL NOT be called as part of the CRP Process Blank - the client has NOT YET been called as part of the CRP process Optional The field sh ould be populated if the client call occurs, however if the CRP process occurs without the client be ing called it can be left blank Process Steps allows progress reporting and to identify portion of c lients in different phases. Date information allows for BC to schedule process and centrally to analyse ageing data and identify problem areas. Client Called Date Populate the date that the client call occurred if 'Client called' is Y ddmm yy Conditional If the client call field is marked as Y, the date the call was made is requi red Self-Certification Form Sent Mark as Y once the Self Certification form has been sent to the clie nt. This is a mandatory step in the CRP process. Y / N Y - the self certification form has been sent N/Blank - the self certification form has not yet been sent Required The SC form being se nt is a critical part of the CRP process and therefore must occur, when the form has been sent the f ield must be populated Self-Certification Form Sent Date Populate with the date the self certification form is sent t o the client ddmmyy Required Once the SC form sent field is marked as Y, the SC Date must be populated Reminder Sent Mark as Y if the Reminder has been sent to the client. If the client returns the SC form prior to the Reminder being sent, leave the filed blank / no. Y / N Y - the reminder has been sent N/Blank - the the reminder form has not yet been sent Conditional If a reminder letter is requ ired and sent the Reminder Sent field must be populated Reminder Sent Date Populate with the date the reminder was sent to the client (if applicable) ddmmyy Conditional If the Reminder Sent field is marked as Y, the date the reminder was sent is required Account closure form sent Mark as Y if the client is sent account closure forms. If the client returns the SC form prior to the Reminder being sent, leave the filed blank / no. Y / N Y - the account closure has been sent N/Blank - the account closure form has not been sent Conditional If the account closure form is required and sent the account closure field must be populated Account closure sent Populate with the date the account closure form was sent to the client (if a pplicable) ddmmyy Conditional If the account closure field is marked as Y, the date the a ccount closure was sent is required Self-Certification Form Received Mark as Y once the Self Certification form has been received from the client. Y / N Y - the Self certification form has been received N/Blank - the self certification has not yet been received Conditional For every account wh ich a SC form is received the SC Received must be populated Self-Certification Form Received Date Populate with the date the self certification was recieved f rom the client ddmmyy Conditional If the SC received field is marked as Y, the date the form w as received must be captured CA/IA Review and Declaration Once the self certification form has been received it requires RM re view and declaration. Populate this field with the state of the RM step in the process. Please refer to Template Detail tab for definitions. Signed The CA/IA has reviewed the Self certificatio n form and signed the declaration Conditional Once the SC received field is marked as Y, t he RM Review and Declaration is required and must be populated with current status Escalated The CA/IA has escalted the account Pending The self certification form has been received but the CA/IA has not yet signed the declarati on (the account is not in escalation) CA/IA Declaration Date Once the RM Review and Declaration status is complete, the date the sign off was provided must be populated here. ddmmyy Conditional If the RM Review and Declaration is 'Signed' the date the declaration was signed must be populated CRP Account Status This field should be updated throughout the CRP process to reflect the curre nt status of the account In regularsation The account UBO is in regularsation in their tax residency and should not be included in the CRP process until the outcome of this is determined Required The CRP account status must always be provided and updated accordingly should the st atus of the account change Enables view of account population by status In escalation The account has been escalated to the local escalation body In progress The account is in progress through the CRP process in a normal fashion Complete The account has completed the CRP process - irrespective of the outcome Completion Date Once the CRP account status is marked as Complete, the date it completed the process EFTA01478140  must then be populated. ddmmyy Conditional Once the CRP Account Status is Complete, the date the account completed the process must be captured Outcome Once the account has completed the process, the outcome for that specific account must be ca ptured. Refer to the Template Detail tab for option definitions Account maintained The account has been maintained Conditional Once the CRP Account Status is 'Complete' the CRP Outcome is required Captures account outcome providing visibility of of business impact Account frozen The CRP process has indicated the relationship should be exited but circumstances di state this is not possible so the account has been frozen Account in workout The CRP process has indicated the relationship should be exited but circumst ances dictate activity is required before this can be achieved Account closed The account has been closed For internal use only EFTA01478141