EFTA01362164.pdf

KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP F Moderate Center P NY r NY/Offshore f Offshore F High Risk Yoortsun Chung Risk (Compliance Signature) I DB Employee I DB Managed PIC r DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other ChetMist of names (incividuals and/or entities) that were submitted for database B. searches is attached 1‘7 Yes r- No C. Please Indicate the results of the database searches performed RDC searches complete F Yes F No negative results found F Yes F No PCR checks complete F Yes F No negative results found F 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, F r No D&B) Yes negative results found F Yes F No Denial Orders checks complete F Yes r No negative results found F yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) F Yes F No negative results found F Yes F No Please summarize any negative results from the database searches indicated above: GRATITUDE AMERICA: No negative media No court cases DARREN INDYKE: Negative media mentions his name as an owner of a building. The negative media is not about him individually but about the others D. mentioned. No court cases JEFFREY EPSTEIN: Previously approved KYC #IIIIMOMPPIONIE All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court Cases have been closed 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? (// Yes, F Yes F No provide details below and contact Quality Mgt. (LatAm/Int1) or the Regulatory Control Group and notify Compliance immediately) ,, Does the client or related party have any financial or other association / interactions G. within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes F No H' the client or related party have any financial or other association/ interactions " within high risk countries? r Yes I sca No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9DiFee... 8/10/2015 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0051479 CONFIDENTIAL SDNY_GM_00197663 EFTA01362164