EFTA01387207.pdf

KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elabonship Name SOUTHERN FINANCIAL RELATIONSHIP oking Center F NY F NY/Offshore F Offshore IF.sk NIGIerate F High Risk Yoonsun Chung (Compliance signature) F DB Employee F DB Managed PIC F 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 Checklist of names (individuals and/or entities) that were submitted for database B. F' . Yes F No searches is attached C. Please indicate the results of the database searches performed ROC searches complete F vest— 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, rt- D&B) Pc Yes r No negative results found ryes F No Denial Orders checks complete F Yes F No negative results found r Yes 17 No Martindale-Hubbell searched (Lawyers/Law Firms only) F yes Frio 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 #:01082293 & 01121718 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? (If YeS, F Yes F No provide details below and contact Quality Mgt (tat4m/Intl) or the Regaatoty Control Group andnotify Compliance immediately) ,,.. Does the client or related party have any financial or other association / interactions G. F Yes F No within countries ar regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the client or related party have any financial or other association/ interactions within high risk countries? F Yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable Imps://dbforcepb my.salesforce.com/servlet/servlet .1ntegrati on?Ii d=01N30000000D9Di&ei ... 7/3/2015 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0089393 CONFIDENTIAL SDNY_GM_00235577 EFTA01387207