EFTA01283812.pdf

KYC Print Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case x:O1121881 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATTONSMIP:00000483290 Booking Center: New York Relationship Manager: Paul Mont n New PWM Relationship 0 Existing PWM Relationship Relationship to PWM: If extsbng, please indicate since when the relationship exists, provide reason for new profile and attach old profile: NI Client Referral 2 RM Prospect 0 Intermediary/PIM 0 Other Source (ClEt, etc.) How Was the Client(s) Introduced' How long has the Please provide details (e.g. name of referral source, how many years RM personally has known cent, etc.): Jeffrey is a Rhi personally known the current dent of the bank. These are new accounts. ntroduction of Paul and Jeffrey: Jeffrey Epstein was a client of Paurs at JP client' Morgan. Paul and Jeffrey Epstein had a mutual hien /colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his finds over to 10Morgan Does Deutsche Bank pay a M Yes 2 No retrocession or similar compensation to a third party for the introduction of this (ft Yes, desenbe) relationship' List all existing and new accounts involved in this relatonshp Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 2 kepers Inc 9/18/2013 2 e Jeepers Inc 9/18/2013 Who Is the primary contact person for the RN? (Note: Preferred method of contact This person needs to have Jeffrey Epstein 212-750-9895 (ndicate phone no., fax no., signatory rights and/or e-mail address, etc.): information dant for the accounts.): SDNY_GM_00039703 https://dbforcepb.my.salesforCCINErincriailliA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002527 EFTA_00150312 EFTA01283812  KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Jeepers Inc Acct. Number (ifsraiabey. Account Manager: Paul Morns What is the purposed the account (e.g. portfolio management advisory account, custody services, longterm investment, payment expense account), Checking account for Jeepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive O DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (indicate 08 location and account detais): ti, Other Institution (Indicate name & location): 3PMorgan Chase. New York, NY O Physical Deposes (specify cash, securties, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)'. Roughly 510 airflows and outfbws pet month ranging from $1,000 to $10,000 125.000 'Currency I USD What is the expected volume of assets and currency for the ware approx. 90 days after opening, 1 50• I Currency I USD What Is the expected volume of assets and currency for the account approx. one year after opening, DoesAMI the client have Assets Under Management (AuM) within 08 under Eur. 3M? li Yes E No Please 1St an parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationshi of the party to this account (> I can be selected). • If none of the check boxes apply, describe the party, relation to the account in the -Other column. • Always descnbe the relationshp between the parties n the last column. • Please do l down to the ultimate/underlying Beneficial Owner(s . egal npbal tccounWPlC of /Inmate Sgnatory_I nancial Significant _eget Stan /Settkelounding Othei Enbtpf Source Holier OwnerTrust / Benelloalor Full PM Intermediary SharehddenePresentatne Donor (please ef Wealth Founder of Owner POA (FIN) (>=2596) iescribe required Foundation Ncn-PIC other rotes entity and/Or Parties (mdkate ndicate related ovmership elabonship to this 16) *Often account mites) 1 2 2 3"ce • 0 Inc O O O • O O O O • Jeffr r—i ri n 2 0 2 Epsteeiny u Li 2 0 n iii i in SDNY_GM_00039704 https://dbforcepb.my.salesforCCINEJIDEpialliAL000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002628 EFTA_0015031 3 EFTA01283813  KYC Print Page 3 of 10 2. Account Ownership Summary Account Name: kePers Inc Acct. Number (I availatle) Account Manager: Paul Month What Is the purpose of the account (e.g. portfolio management, advisory accent, custody service, long-term Investment, payment/expense account)/ Money Market account to hold )eepers Ines cash. Indicate from where the assets are expected to arrive? O DB Group: Same Seeing Center Orackate account number): 0 DB Group: Other Booking Center (indicate DB location and account deeds): itr Other Institution (Indicate name & location): JPMorgan Chase. New York, NY .4 0 Physical Depose (specify cash, securities, cheques. ..* What Is the expected NM and frequency of regular Inflows and outflows fcc the account (wuNcate estimated number and volume per month)? Roughly 1-2 mfbws and outflows per month ranging from $1,000.$10,000 1 50' 'Currency I USD What is the expected volume d assets and currency for the account approx. 90 days after opening/ 1 150,000 I Currency What is the expected volume cf assets and currency for the account approx. one year after opening/ I USD Does/W1N the client have Assets Under Management (AuM) within 06 under Eur. 3M/ I Yes 7) No Please 1St alt parties related to the account For each party: • Check Ile source d wealth description is required for the party. • Check the appropriate box to describe the relationshi of the party to this account (> 1can be selected). • If non of the check hare apply, describe the path✓ relation to the account In the 'Other column. • Always describe the relationship between the parties in the last calmly,. • Please drill down to the ultimate/underlying Benefkia Owner(s). _egalbescnpbcn AccounWiC Settior of Renate Signatory•imeecrinancial Significant egal &enter/Settler Founding titer .intity of Source colder OnnerTrust/ nelkialor Full POA Intermediary ShareholderRepresentative Done' (please of Wealth rounder of POA (FIN) (>=25%) iectibt required Foundatio Non-PIC 'Alter rdes entity 3:4 or Parties (indicate nth:ate related ownership elaNanstip to this %) aetv.ten account ,arties) 1 2 O xepPers. 2 O 2 O • O O • O • Inc Jeffrey r--i O O 2 2 9 Epstein i—i ❑ O 9 O O O O O SONY_GM_00039705 https://dbforcepb.my.salesforeCLINErilEalTdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002529 EFTA_00150314 EFTA01283814  KYC Print Page 4 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Jeffrey Epstein - 00000483289 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Cttenship: USA Has dent resided outside of Late Saint lames Saint Thomas 00802 US Virgin Islands his/her country of nabonality Eyes 741 No Address of primary residence: la 5 years or more> Profession/Occupation: Self Empotyed Tax ID / SSW Current Employer: Southern Financial LLC Position/TOJe/Rank: President Address of employer: 6100 Red Hook Quarter B3 St Thomas USVI 00802 Does the person work as senior executive of a De-recognized regulated entity In the financial ri __ a l ndustry' or an enbty listed on a De-recognised exchange? (Not applicable for operating entities i--i Yes Is the individual a Pdibrally Exposed Person (PEP)>(// Yes, dewily) 1'es E4 No To the best of your knowledge, is the individual related to an employee of the DB group'(/ I:Family 0Friendship 5 None riff* or rnencWup, describe ) To the best of your knowledge, is the individual party to a narbanking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, suppler of goods or O Yes J No services)?(rf res,eksenbe) If applicable, indicate which bank officers have met the Indicate where and when the dent meetings) took place: Perkin: Ghent Private Client Place of Bank Officer Names) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris El • 0 8/7/2013 O O O • • O 0Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for pages requiring source d wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summartze Source of Weath: 0 Business Owner O Salary/Eamings 0Investment O Inherttance/Gits 00ther: Further Describe Source of Wealth /Detail the history of wealth or each of the sources: (e.g. For trusts, how did settler accumulate weami' For Inheritance, how did fan* accumulate wealth?For business owners, how long in business, how many employees, level of profit bitty? Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, l. Epstein & Co., managing the assets d clients with more than a billion in net worth. In 19%, Epstein changed the name of his firm to The Financial Trust Company and based It on the island d St Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. /4s wealth has come from his days at Bear Steams and his financial management firms Estimated Annual Income(S): 10,000,000.00 Estimated amount of investable assers(S): $50 Mal • 100 MM Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to arrest with FWM(S): Other Known Financial Institutions: Inhibition: )PMorgan Chase County: USA Est. Assets Under Mgt: 20,000,000.00 SONY_GM_00039706 https://dbforcepb.my.salesforeCCINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002530 EFTA_00150315 EFTA01283815  KYC Print Page 5 of 10 Est Assets Under Mgt. Please indicate the family striation of the widividual (mental status, other (amity members, etc.): Single One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summa 3C. Legal Entity Details (For 4 Legal Entdres) Legal Entity larne Jeepers Inc - 00000486423 Private Investment El Type of Embry O Foundation/Association O Trust 2 Company DEstate LIPartnenhip futP0Se of Eli ftfY: Ph ilanthroplotharitable (J Commercial Purpose of ety Type of Entity Other (specify): Other (specif Eriy): Country of United States Virgin Island 8; 16,2003 Inco Daterpo ofration / incorporaboniremstration: registration: Volcker Status: Volcker Flag: Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U S. TINAEIN: 66-0629193 code): Provide a description of the entitys organizational structure, Its ownership structwe and Its Top Management. For tmsts/foundabons, Include information about revocabley,settior and benefklariesetc.: Jeffrey Epstein is the sok shareholder of helms Inc Please ndkate how ownership of the legal entity is reflected: 1,000 shares of con-non dock are solely owned by Jeffrey Epstein • credal attention: Bearer Shares - Indicate where shares are custodies': Describe the chain horn the direct owner of the entity to the ultimate beneficial owner Pienot the same persons) kffrey Epstein is the sole shareholder of Southern Trust Company, Inc To the best of your knovAiedge, s the entry party to a non•Panking relationship with Deutsche Bank (e.g. external legal counsel, (tent referral source, suppler of goods or setvices)': Yes [3 No [2) Desciibe Nature of Entity's Primary Business and Investment Activities Nature of the business: lepers Inc Is a private company that holds Investments of es owner, Jeffrey Epstein. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for partite requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Weath/Source of Funds, Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary d assetsfliabeities): kepers Inc was started to boll the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its evenue canes from the gains of the Investments it holds. Estimated gross receipts p.a.($): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated Investable assets (5): 5.20 MM - 50 MM Potential Amount to be Invested al PWM ($): 200,000.00 Other Known Financial Institutions: Institution: JP Morgan Chase I Country: I USA I Est. Assets Under Mgt: 128,000,000.00 SDNY_GM_00039707 hups://dbforcepb.my.salesforCaNtalparfaliA19000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002531 EFFA_00150316 EFTA01283816  KYC Print Page 6 of 10 Institutket Country: Est. Assets Under Mgt InsWien: Country: Est Assets Under Mgt SDNY_GM_00039708 littps://dbforcepb.my.salesforcCLINEJIDailidiA1000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002532 EFFA_00150317 EFTA01283817  KYC Print Page 7 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center Elm, E ceshore RiskO Moderate fl i c_i High Risk iGiven Hill NY/Offshote (Complanc Signature) • DB Employee D DB Managed PIC CI DB is Trustee/Co-Trustee III Bearer Shares 4. Attachments A- Type ci Photo ID Provided 7A Drivers License O Passport ONational/State ID O0ther Checklist of names (Individuals and/or entitles) that were submitted for database searches is EL attached El Yes O No C. Please indicate the results of the database searches performed RDC searches complete El Yes I: No negative results found Ores 2 No PCR checks complete 0 Yes ONG negative results found Dyes No OFAC checks complete 5 Yes I: No negative results found Dyes @ No BIS searches complete (Le:els/Neck, Pectin, Reuters, Dow Jones, DAB) RI yes O No negative results found Ores @ No Denial Orders cheeks complete E yes O No negative results fond Oyes 2 No Martindale-Hubbell searched (Lawyers/Law Firms only) Dyes R No negative results found Dyes • No Please surnniarte any negative results from the database searches indicated above: JEFFREY EPSTEIN: Jeffrey was approved in KYC #01082293 His PCR/RDC alerts and clearances and a documentation is contained in the above mentioned KYC D. JEEPERS, INC No Negative Media Al court cases are not our client. The court cases refer to a leepers Inc in Arian and one in North Carolina. Cur merit Is based in the US Virgin Islands E. To the best of your knowledge, has the client ever been comrkted of a criminal offense? Eyes O No To the best of your knowledge, has the customer ever been Involved in any past litigation against Deutsche Bank AG or any of es subsidiaries or s the customer threatening litigation against (br Yes, panicle details &Maw andcontact QualAY Mgt. Ores El No F. Deutsche Bank AG or any of is (LaMm/Int7)ortbe Rtvubtory Control &Dwane/nobly Compliance in ) Does the client or related party have any financial or other association / interactions within G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)/ O Yes 0No H Does the client or related party have any fnancial or other association/ interactions within high risk Dyes n No countries/ L Corporate Documentation Attached (Legal Entities Only) 0 Yes ID No ID Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) O Yes O No la Not Applicable K. If Lexes/Nexis Search Results, Corporate Documents or Other Supporting Documentation Is not in English, please provide an English summary ci the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? 0 Yes ENO Is the account structure unusually complex' O Yes FE No Is there any indication the client set up a non operating company expressly O yes for the purpose of transferring shares to third parties' __ No Is there any indication this could be a prohibited business relationship' O Yes E No SONY_GM_00039709 https://dbforcepb.my.salesforcaaNtErilDnEgNirdiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0002533 EFTA_00150318 EFTA01283818  KYC Print Page 8 of 10 Are the bearer shares identified subject to accept** controls' ❑Yes [✓ No SDNY_GM_00039710 https://dbforcepb.my.salesforeCLINErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002534 EFTA_00150319 EFTA01283819  KYC Print Page 9 of 10 F M. Cage Comments ilo records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morns (Signature) 9/4/2013 Paul Morris Office DrectoriBusiness Head: Brian M. Biggar (Signature) 9/4/2013 Brian M. Biggar Regional Office Director (Signature) AML Business Risk (Signature) AfIc Corupiirsr (Signature) lance Franklin Janice Frankin 9/6/ 2013 Gwen HO Gwen HP 9)6/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Subdlaricet Team Head (SMTlf): ANL Business RiSk: (SIgnattne) AML Compliaixe: (Signature) PRIVATE WEALTHMANAGEMENT POLICY STATEMENT: Deutsche Bank Private WealthManagement (MAD worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals)(1) (CFP 's) should establish and maintain business relationships only with persons who scree our high standards ofsuitabilioi, background and character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCFP's to demonstrate that they blow their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsthe Sank Amerkas New York SDNY_GM_00039711 Ilt tps://dbforcepb.my.salesforcalNEJIDEJNIIIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002535 EF1'A_00150320 EFTA01283820  KYC Print Page 10 of 10 SONY_GM_00039712 https://dbforcepb.my.salesforCQUEIDEgriNitruJiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002536 EF1'A_00150321 EFTA01283821