EFTA01356709.pdf

KYC Print Page 39 of 43 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: FT Moderate Booking Center el NY 1 -I Offshore 1? High Risk NY/Offshore O tisk (Compliance Signature) 0 DB Employee ni DB Managed PIC 0 DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments I A. Type of Photo ID Provided E Drivers License g Passport 0 National I • Other : Darren Indyke & Richard Kahn GCS SS 486405 & YC St 01804531 Checklist of names (individuals and/or entities) that were submitted for database searches is B. l!t6 Yes 0 No attached C. Please indicate the results of the database searches performed RDC searches complete RI Yes 0 No negative results found Ri Yes 0 No KR checks complete E Yes 0 No negative results found E Yes ❑ No OFAC checks complete g yes 0 No negative results found 0 Yes ElNo BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) RI Yes 0 No negative results found g Yes 0 No Denial Orders checks complete Rti Yes 0 No negative results found 0 Yes g No Martindale-Hubbell searched (Lawyers/Law Firms only) g yes 0 No negative results found 0 Yes ElNo D. Please summarize any negative results from the database searches Indicated above: Harry Beller: - No negative media - Harry Beller is the plaintiff in the court case, also it has been disposed. • No negative media - No court cases Butterfly Trust: - No negative media - No court cases Miginedia • No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC it - 01790655) - Court cases relates to Jeffreys sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this dent. And in one of the case he's neither defendant nor plaintiff. He's just named as a respondent and the case is immaterial in nature. - Criminal Filings relates to sex offence which is already cleared In the past • RDC alert found - Sex offences in the past which has been cleared • Clearance attached. - No court cases Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. littps://dbforcepb.my.salesforce.com/servlet/servlet.Integration9lid=0IN30000000D9Di&eid=5000e0000I N... 7/10/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042707 CONFIDENTIAL SDNY_GM_00188891 EFTA01356709