EFTA01295812.pdf

KYC Print Page I of 13 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01469735 Status 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL FtELATIONSHIP:00003483290 Spotting Center: New York Relationship Manager: Paul Morris F New PWM Relationship F Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: The account was dosed due to inactivity. To reopen the account AOG needs an updated KYC. How Was the Clients) 17 Client Referral F FIN Prospect F Intermediary/FIM FOther Source (CIS, etc.) Introduced? How long has the RM personally known Please provide details (e.g. name of referral source, how many years RM personalty has known client, the dient? etc.): Jeffrey Epstein (President of Gratitude America) is a current client of the bank Does Deutsche Bank pay a F Yes r No retrocession or similar compensation to a third party for the introduction (/f yes, descnbe) of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) I F Mort, Inc 11/12/2013 2 F Mort, Inc-- Money Market 11/12/2013 Who is the pnmary ontact person for the RM? (Note: Preferred method of This person needs to have contact(indicate phone signatory rights and/or no., fax no., e-mail Information right for the address, etc.): accounts.): SDNY_GM_00057110 Imps://dbforcepb.my.salesforeectkisgviaENTIK0L130000000D9Di&ei... R 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. ItteP. a(b) I DB-SONY-001993a EFTA_00167678 EFTA01295812  KYC Print Page 2 of 13 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Mort, Inc Acct. Number (Ifavailable): Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold assets for the company. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DS Group: Other Booking Center (indicate DB location and account details): P . Other Institution (Indicate name & location): JPMorgan. New York I Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 10 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after opening? Please list all 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 relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other' column. • Ahway describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). legal Description AccountPIC Settior of Jltmate Signatory..imitec nancial Significant Entityof Source Holder OwnerTrust / Beneficiakir Full POA IntermediarySharehoider of Wealth =minder of Owner POA (FIM) (>=25%) required "oundabon Non-P1C Dther (please entity describe other roles (indicate and/or indicate parties related to ryership relationship between s account ',allies) 1 F F MOrt, Inc F F F F F F F 2 F F Jeffrey Epstein F F F F F F F 3 F F Darren Indyke F F F F F F F SDNY_GM_00057111 Intps://dbforeepb.my.salesforeeceeNORDENormou30000000D9Di&ei... R 1/5/2016 CONFIDENTIAL — PURSUANT TO FED. Roll:IAN ' DB-SD-0019935 NY EFTA_00 I 67679 EFTA01295813  KYC Print Page 3 of 13 2. Account Ownership Summary Account Name: Mort, Inc -- Money Market Acct Number (ifavailable) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold assets for the company and to earn interest. Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate O8 location and account details): 17 Other Institution (Indicate name & location): JPMorgan, New York F Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-3 inflows and outflows per month ranging from $1000 to $10,000 What is the expected volume of assets and currency for Currency USD the account approx. 90 days after opening? What Is the expected volume of assets and currency for 50000 Currency USD the account approx. one year after opening? Please list all 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 relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other' column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settior of Jltimate Signatory_imitecRnancial Significant Entityof Source Holder OwnerTrust / Beneficiabr Full 0OA IntermediarySharehoider of Weakh Founder of Owner POA (FIM) 0.25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate artier related to ownership relationship between (:s i account %) 'attics) 1 F F Mort, Inc F F r r r r r 2 r F Jeffrey Epstein r r F F F r r 3 F F Darren Indyke F F F F F F F SDNY_GM_00051112 Intps://dbforeepb.my.salesforeec Rr 4k4sPIDENTIKOLN30000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. ItoePAN DB-SONY-0019936 EFTA_00167680 EFTA01295814  KYC Print Page 4 of 13 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 Date of Birth: 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Address of primary Litte Saint James Saint Thomas 00802 US Virgin Islands residence: Profession/Occupation: Self Empolyed Tax ID / SSN: Current Employer: Southern Financial LLC Position/Tide/Rank: President Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, describe) F yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Fnendship, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes i— v.' No with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Location (specify): Date: Paul Moms r r F 10/22/2013 F r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parbe requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: F Cther: Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partneri n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner His wealth has come from is days at Bear Stearns and his financial management firms Estimated Annual Income 10,000,000.00 Estimated amount of investable assets(S): $50 MM - 100 MM (S): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY_GM_00057113 Intps://dbforcepb.my.salesforce.ctAkisPIDENTIK0L130000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R. %YR. B(b) I DB-SONY-0019937 EFTA_00I 67681 EFTA01295815  KYC Print Page 5 of 13 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_00057114 https://dbforcepb.my.salesforce.caA N30000000D9Di&ei..• 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R.13RIMMIDENTIAL DB-SDNY-0019938 EFTA_0O167682 EFTA01295816  KYC Print Page 6 of B One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Darren Indyke Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Lawyer Tax ID / SSN: Current Employer: Southern Financial LLC Posibonrfide/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Is the individual a Politically Exposed Person (PEP)?(if Yes, descnbe) F Yes F No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(If Family or Fnendship, describe) To the best of your knowledge, is the individual party to a non-banking relationship r- yes F, vat Bank (e.g., external legal counsel, client referral source, supplier of ' No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Domicile: of Business: Other Location (specify): Date: r r r r r r F r r r Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: F Business Owner F Salary/Eamings F Investment F Inhentance/Gifts Summarize Source of Wealth: r- Other: Further Describe Source of Wealth /Detail the history of vealth for each of the sources: (e.g. For busts, how did senior accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (S): Estimated amount of investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(g): Other Known Financial Institutions: Institution: I Country: I I Est. Assets Under Mgt: SDNY_GM_00057115 Imps://dbforcepb.my.salesforce.crkisPIDENTIK0L130000000D9Di&ei ... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R. %els. B(b) I DB-SDNY-0019939 EFTA_00167683 EFTA01295817  KYC Print Page 7 of 13 ' Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): SDNY_GM_000571i6 FED. RtAlbasPIDENTIK0L130000000D9Di&ei... littps://dbforcepb.my.salesforeec 1/5/2016 CONFIDENTIAL - PURSUANT TO ItoeP. BM I DB-SD -0019940 EFTA_00167684 EFTA01295818  KYC Print Page 8 of 13 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Mort, Inc - 00000487266 F Private Investment Type of Entity: r Foundation/Association r Trust 17 Company Purpose of Entity: r Philanthropic/Charitable F estate F Partnership r Commercial Type of Entity Other Purpose of Entity (specify): Other (specify): Date of Country of USVI 4/12/2011 incorporation / incorporation/registration: registration: Address (city, street, post 6100 Red Hook Quarter, B3 St, Thomas 00802 USVI U.S. TIN/E1N: code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocatil ty,settlor and beneficianes,etc.: Corporation with 1000 issued. AO issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please indicate how ownership of the legal entity is reflected: r Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods Yes r No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities Investment holding company. A private company that is used to hold investemenM Nature of the business: that the sole owner, Jeffrey, would like to keep separate from other investments Countries where business is transacted: USVI Number of employees: 2 3D. Wealth Profile (Only for parte requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Capital contnbution of 51000 from Jeffrey Epstein Estimated gross receipts p.a.(5): Estimated net profit p.a. ($): Estimated investable assets (5): <$1 MM Potential Amount to be invested with PWM (5): 100,000.00 Other Known Financial Institutions: Institution: JPMorgan Country: USA Est. Assets Under Mgt: 100,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY_GM_00051117 Imps://dbforcepb.my.salesforeetAkisgvlESNoTIK0L130000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R. ReP.a(b) I DB-SDNY-0019941 EFTA_00I 67685 EFTA01295819  KYC Print Page 9 of 13 SDNY_GM_00057118 http//dbforcepb.my.salesforce.aA N30000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. RIBRIWFWIDEWilekt DB-SDNY-0019942 Erl'A_00167686 EFTA01295820  KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B .pao elationship Name (SOUTHERN FINANCIAL RELATIONSHIP rr: High Risk Gwen Hill F NY/Offshore F Offshore ar- k moderate I- king Center F NY (Compliance Signature) F 08 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 (indivpluals and/or entities) that were submitted for database E. searches b attached F Yes F No C. Please indicate the results of the database searches performed RDC searches complete r Yes ENO negative results found r- Yes F No KR checks complete r Yes F No negative results found F Yes r No OFAC checks complete F Yes F No negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) r yes r No negative results found r Yes F No Denial Orders checks complete 17 Yes r No negative results found r yes RI No Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found F Yes F No Please summarize any negative resuks from the database searches indicated above: DARREN INDYKE: KYC approved in case * 1133377 Negative media: only references Darren briefly as a lawyer who helped subdivided a townhouse. JEFFREY Evsi tIN: KYC Approved and all pertaining documents In case #:1121718 and 01082293. In the attached legal proceedings, one is a false positive D ' for Jeffrey S. Epstein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KYCs. MORT INC: All negative media does not pertain to our client All court cases do not pertain to our client 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, r Yes F No provide details below and contact Quality Mgt (LatAm/Intl)or the Regtiatory Control Group and noOly Compliance immediately) Dot the client or related party have any financial or other association / interactions G. "I wan countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes F No H. Does the client or related party have any financial or other association/ interactions wan high risk counties? r yes i No I. Corporate Documentation Attached (Legal Entities Only) 1.7 Yes r No r Not Applicable SDNY_GM_00057119 Imps://dbforeepb.my.salesforeecrasPIESNoTIK0L130000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R. ItoeP. I'M I DB-SONY-0019943 EFTA_00I 67687 EFTA01295821  KYC Print Page 11 of 13 J. Undisclosed Principal Form Complete (Intermedianes Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: SDNY_GM_00057120 https://dbforcepb.my.salesforce.ceA N30000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. RIBRIatI DEN°1181/41- DB-SDNY-0019944 EFTA_00167688 EFTA01295822  KYC Print Page 12 of 13 M. Case Comments /So records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 10/5/2015 Paul Morns Office Director/Business Head: Andrew F Gallivan (Signature) 10/5/2015 Andrew F Gallrvan Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Dimitra Manley Dimitra Manley 10/5/2015 Gwen Hill Gwen Hill 10/5/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY AtTATEMENT: Deutsche Bank Private Wealth SDNY_GM_00057121 Intps://dbforcepb.iny.salesforeerNIORDENTIKOL130000000D9Di&ei ... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R. Wis. a(b) ' DB-SDNY-0019945 EFTA_O0 I 67689 EFTA01295823  KYC Print Page 13 of 13 Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client FacingProfessionals)(I) (CFP's) should establish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship andon an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepart ofthe client(s) and that I have followedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWM GlobalKYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers, Client Managers. etc. Deutsche Bank Americas New York rJ SDNY_GISt00057122 http/bforcepb.my.salesforce.aA N30000000D9Di&ei... 1/5/2016 CONFIDENTIAL - PURSUANT TO FED. R.13-RarI DENTIAL DB-SDNY-0019946 EFTA_00167690 EFTA01295824