EFTA00168920.pdf

KYC Print Page 1 of 10 DB P1^/ NI GLOBAL KYC/NCA: PART A rA KYC Case a : 01898372 Status : 6. Approved ne sheet must be established per relationship - list all accounts Included In the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP' Booking Center: New York Relationship Manager: Stewart Oldied 0 New KM Retatenship 0 Edging PM RelauensNp Relationship to PWM: If existing, please indicate snce when the relationship exists, Provide reason for new profile and attach old profile: Initial funding must take place by 02/13/2018 in order to purchase assets for the trust 2 Client Retells 0 RM Prospect 0 intermediary/me 0 other Son (al, etc.) Hon Was the ['Not(s) Introduced? How long has the Please provide details (e.g. name of referral son, how many years RM personally has known dient, etc.): Jeffrey Epstein reached MI personalty known the ctent? out to Stew adieu on 2/02/2018 to open a new depos t account for his annuity trust mum fuming must take place by 02/13/2018 In order to pitchase asses for the trust Does Deutsche Bank pay a 0 Yes 112 No retrocession or Omit& compensation to a Med party for the nuoduction of this (/f Yes, *scar/ retationsNp? List all exisung and new accounts involved in this relations* Legal Entity Remelt Name / Martel, Opening Date (Mended/actual) Account(s) 1 El The 20 7 Caterpillar Trust - Deposit 2/13/2018 Who Is the primary contact person or the RM? (Note: This Preferred method ofe con act Gr off, person needs to have signatory Lesley (indicate owe no., fax no., rights and/or Information right &Mae address, etc.): for the accounts.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 8(e) DB-SDNY-0000300 UM92814263 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... EFFA_00019173 EFTA00168920  KYC Print Page 2 of 10 One sheet must be established for each account to be 2. Account Ownership Summary Account Name: The 2017 Caren:drat Trust - Deposit Acct. Number (if asedebk). Acorn Manager: stewed cicifield What is the purpose of the account (e.g. portfolio management, advisory account, custody senrion, long-tam Investment, payment/expense account)? the purpose or this account is to hold the member interest in IGO Company LLC Indicate hat where the assets are expected to wive? Jr ../ DB Group: Sane Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DB location and account details): O Other Institution — (Indicate name & location): O Physical Deposits (specify cash, securities, cheques, ...): What is the expected an and frequency of regular belays and outflows (or the account (indicate estimated number and vane per month)?: less than 2 disbibutons on an annual basis between SO and SI00k 1300000 I Currency lug] What is the expected volime c4 assets and currency for the account approx. 90 days after opening? 1300000 I Currency Hied What is the expected volime of assets and currency for the account approx. one year after opering? Does/will the dent have Assets Under Management (AuM) within DB under Eur. 3M? ayes O No Please list all parties related to the account. For each party: • theck if a source of wealth description is re:IL:red for the party. • Oeck the apt:formate box to describe the dationship 04 the party to this account (> 1 can be selected). • U none of the check boxes apply, describe the party's elation to the account In the "Other oaken. • Always describe the relationship between the parties I the last cokimn. • Please drill down to the ultimate/underlying Beneficial Ovmer(s) _egal Description AccounfPIC Senior of Simate Signatory LimiteciFirancial Significant _egal Grantor/Sealrifouning ENVY Son Holder OwnerTrust / BenetIciakx Full PO* IntermedaySfarehoklerlepresentathe Donor of Wealth FoLnder of Owner PO* :FIM) (>=25%) equrred Foundation Non-PIC Me (please Parties entity describe other roles related to (Indicate arxifor indicate this ownership relation* account %) between pates) The 1 1,11 0 2017 r7i O O O O O E O O O catevaa, Trt,St Benenclay;Granta and Beneficiary of 2 O 10 Jef rey E. n O O O O O O O O O The 2017 Caterpilar EPStfein " Trust.;Granitor of The 2013 Butterfly Trust: O O %yaw& n O O O El O O O O • Trustee:;bustee; Daphne " 4 O O Lesley O O O O O O O O O O trustee; Trustee:; CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000301 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... /I/192814264 EFIA_00019174 EFTA00168921  KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2 Account Ownershi Summary 3A. Individual Details (tor all pates) Individual's Name: Jeffrey E. Epstein - Dated Earth: 1/20/1953 Country of Residence: USVI Country of Otlzenship: USA Has dent resided outside of Late Saint James Sant Thomas 00802 United States his/her country of nationality fe O yes ®No Addess of plenary residence: 5 yeas or more? Profession/Occupation: Self Empolyed Tax ID f SSN: Current Employe: Southern Trust Company LLC Position/Title/Rank: President Address of employer: 6100 Red Hook Quarter B3 St. Thomas United States 00802 Does the person work as senior execudve of a CO-recognzed regulated entity in the financial ndustry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities O Yes 0 No Is the indndual a Politically Exposed Person (PEP)7(/Yes, doscribe) connection with Prince Andrew O yes O No and BB Clinton To the best of your knowledge, is the inclyidual related to an employee of the DB group?(/Fatruiy or O Family O Friendship g None Fni...FAO, dismay) To the best of your knowledge, is the inclyidual party to a non-banking reationsap with Deutsche Bank (e.g., external legal counsel, diet referral source, supplier of goods or servizes)?(if Oyes O No Yes,cresaite) Incbcate where and when the diem meeting(s) took place: If applicable, incbcate which bank officers have met the person: Client Private Business:Place Gott Place of Bank Officer Name(s) Bank Debt Other Locatbn (seedy): Date: Dorricle: O O O O O O O Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring saute of wealth description as indicated in Section 2) Nature of the Indkriduars amines: PrNate investments Primary Cotten, of settee of wealth/source of Funds? thimay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: ®Business Owner O Salary/Earnings Investment O Inheritance/Oils • Other: ra Further Describe Source &Wealth /Detail the history of wealth for each of the mates: (e.g. For trusts, how dd settler accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, haw long in busnes, how many employees, level of profitability? Indtate type of business, counties of major activities, important business partners.) Jeffrey Edward Epstein (ben January 20, 1953) is an American Wander and registered sex offender in the united States. He worked at Bear Stearns early in his career and then formed his own firm, 1. Epstein at Co. In 2008, Epstein was convicted of seedling an underage girl for prostitution, for which he served 13 months in prison. lie Ives in the US Virgin Islands. Epstein taught calculus and phyla at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Beat Stearns. In 1976, Epstein started wok as an options trader at Bear Stearns where he worked in the special products division, advising high-net-worth dents on tax strategies. Proving successful in his (Mandel cave, in 1980 Epstein became a partner at Bear Stearns. In 1982, Epstein fended his own financial management firm, 1. Epstein & Co., managing the assets &dents with more than $1 Son in net worth. In 1987, Leslie Werner, founder and chairman of Ohio-based The Limited chain of women's clothing Stara, became a well-knew) client. Werner acquked Abercrombie at Fitch the Mowing year. In 1992 he converted a private school on the Upper East Side Into an enormous residence. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of Ns 6mi to the Finandal Ma Company and, for tax advantages, based it on the island of St. Thomas in the U.S. login Islands. In 2003, Epstein bid to acquire New York magazine. Other bidders were advertising executive Donny Deutsch, investor Nelson Paz, media mogul and pubisher laortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Brat Wasserstein, a longtime Wall Street investor, who paid $55 maim. In 2009, Epstein and Zuckerman =matted up to $25 minim to finance Radar a celebrity and pop culture magazine founded by Sleet Roshan. Epstein and Zuckerman were equal partners in the venture. Roshan, as its &km-in-chief, retained a wall ownership stake. Presently, W. Epstein founded Southern Trust Company Inc. a private consoling company that invests the assets of their clients and gets their revenue from the tenet) of thee Invatments. Southern Trust invests in different portfolos catered to their dents and makes their revenue based on the returns and the lees associated with managing their dent's assets. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. B(e) DB-SDNY-0000302 U§192814265 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019175 EFTA00168922  KYC Print Page 4 of 10 Estimated Annual Incryne(S): 10,000,000.00 Estimated amount of investable assets(s): S50 MM - 110 M14 Estimated Net Worth($): 5500 MM ♦ Amount of assets planned to invest with Firifl4($): other Known Financial Institutions: InsUtuUcti: Cowitry: Est. Assets Under Mgt InsUtuUcti: Cowitry: Est. Assets Under Mgt InsUtuUcti: Cowitry: Est. Assets Under Mgt Please indicate the family situation of the Individual (marital status, other rangy members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0000303 UM92814266 https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... EFIA_00019176 EFTA00168923  KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmershl Summary 3k Individual Details (tor all pates) Individual's Name: Wallace, Daphne - Date of Earth: Country a Residence: USVI Country of Otbenship: USW Has dent resided outside of ms/her country of nationality fa O yes ®No Adceess of Orrery residence: 5 yeas or more? Profession/Occupation: Mara Tax ID i 55th: Current Employer: Southern Trust Canpaw Inc Position/Title/Rank: controller Address of employer: 6100 Red Hook Quarter St Thomas United States 00802 Does the person work as senior executhe a a CO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recognsen exchange? (Not applicable for operating entities 0 Yes Iii No Is the Mb/dual a Politically Exposed Pencil (PEP)?0, Yes, desoibe) Oyes Ea No To the test a your knonledge, is the individual related to an employee of the DB group?(freatrWor O Family O Friendship g None Fnc,,,Ahp, desmbe ) To the test a your knoaledge, is the inclyidual party to a non-banking relationshp with Deutsche Bank (e.g., external legal counsel, diem referral source, supplier of goods or servbes)?(if Oyes I2 No ves,desoite) Indicate where and when the diem meeting(s) took place: If applicable, notate which balk officers have met the person: Client Private Diet Place of Bark Orrcer Name(s) Bank Other Locatbn (spedty): Date: Office: aide: Business: 0 O 0 0 O O 0 Wealth Details fa this individual are not Filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring mate of wealth description as imitated in Section 2) Nature d the Individual's Dishes: Panay Cotmtry or solace of %earth/source of Funds? almay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/Earnings O Investment O Inheritance/Gas O Other: Further Desete Source or Wealth /Detail the history of wealth fa each a the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did Vanity accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, woollies of ma)or, activItks, impatant busbies parties.) Estimated Annual Incone(S): Estimated amount &investable assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($)e Other Known Finandal Instiutbns: Insttturico: 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 (meal status, other randy members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000304 UM92814267 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019177 EFTA00168924  KYC Print Page 6 of 10 One sheet must be established for EACH INDIVIDUAL PARTY In Section 2 Account Ovmers I Summary 3k Individual Details (lor all pates) Individual's Name: Groff, Lesley - Date of Earth: Country of Residence: USA Country of Citizenship: USA Has dent resided outside of his/her country of nationality fa O yes 12N0 Adceess of plenary residence: 5 yeas or more? Profession/Occupation: Attorney Tax ID 155N: Current Employer: Darren K Indylce PLLC Position/Title/Rank: Attorney Address of employer: 575 Ulengton Avenue 4th FL new rock NY United Stabs 10022 Does the person work as senior executive of a CO-recognized regulated entity in the financial Industry? or an entity listed on a DB-recogndel exchange? (Not applicatte for operating entities El Yes ® No Is the inbhdual a Politically Exposed Person (PEP)7(ie Yes, desoibe) Oyes g No To the best of your knowledge, is the inchndual related to an employee of the DB group?(firatrWor O Family O Friendship g None Fni,,,M0, ciesmbe ) To the best of your knowledge, is the inchndual party to a non-barking relationshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or serykes)?(l 0 Yes I2 No ves,deso-ibe) Indicate where and title, the diet meeting(s) took place: If applicable, indicate which balk officers have met theperson: Client Private Diet Place of Bark Officer Name(s) Bank Offke: Other Locatbn (spedfy): Date: wide: Business: 0 O 0 0 O O 0 Wealth Details foe. this Individual are not filled in, because they are the same as for the following person: 3B. wealth Details (Only for parties requiring sane of wealth description as indkated in Section 2) Nature of tie IndNiduars Business: Airway Cowin or solace of wealth/source of Funds? Primay industry of source of Wealth/Source of Funds? Summarize Source of Wealth: O Business Owner O Salary/EarNngs O Investment O Inheritance/Gas O Other: Further Describe Source or Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how Ad senior accumulate wealth? For inheritance, how did famly accumulate weallh?Por business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major actIvitks, important Psalms partners.) Estimated Annual Incane(S): Estimated amount of investatle assets(s): Estimated Net WortI(S): Amount of assets planned to invest with PW14($)e Other Known Financial Instiutbns: Insttturion: Country: Est. Assets Under Mgt Institution: Country: Est Assets Under Mgt InsUtution: Country: Est. Assets Under Mgt Please Mute the family situation of the InclNidual (maital stabs, other family members, etc.): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-0000305 U§192824268 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019178 EFTA00168925  KYC Print Page 7 of 10 One sheet must be established for EACH LEGAL ENTITY In Section 2 Account Summary 3C. Legal Entity Details (Fee ail Legal Entities) Legal Entity Name: The 2017 Caterpillar Trust - O Foundation/Amciation g Trust O Company . Estate O pu Ea Private Investment O Type of Entity: of Entity: ParMership Phlanihropic/Chantable OCommecial Purpose of Entity Other Type d Entity Other (specify): (sljedfv): Country of Virgin Islands, U.S. Date of Incorporation / 1/3/2017 incapastkiniregistration: reystragon: Determination Required No Volcker Status: Wicks Rag: 6100 Red Hook Quarter B3, St Thomas 00602 United States U.S. TIN/EIN: Adcaess (dry, stree( post code): Provide a description of the entity's organizational structure, Is ownership structure and Its Top Management For trusts/fouidaUcns, inclide information about revocability,settlw and benenciariesetc.: This is a grantor reLened annuity Mist that holds membership interest In IGO Company LLC. This trust will terminate two years from the date dinkier funding and onnual annuity distributions wil be paid to the grantor only. Upon ternWaticn, the membership Interest will then transfer to the 2013 Butterfly Trust. Grantor: Jeffrey Epstein Trustee: Lesley Groff and Daphne Wallace Beneficiaries: Jeffrey Epstein and The 2013 Butterfly Trust (upon termination of bust) Please indicate hew ownership of the legal entity is reflected: bust agreement O Special attention: Bearer Shares - Innate where Mats are cuslodied: Describe the chain hem the direct owner of the entity to the ultimate benclical owner (final the same Forams): Grata: Jeffrey EpsteM Trustee: Lesley Groff and Daphne Wallace Beneficiaries: Jeff' n and The 2013 Trust u n termination of bust To the best of your knowledge Is the entity party to a non-balking Mahone* with Dandle Bank (e.g. external legal counsel, client Serra source. suppler of goods or services)?: Yes ON0 Describe Nature of Entity's Primary Business and Irwesbnent Activities Nature c4 the business: This Is a grantor retained annuity trust that holds membership interest in IGO Company LLC. Countries where business is 0 e - nacted: usa Number of employees: 0 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated In Section 2) Primary Comby of write of wealth/source of Funds? Rimay industry of source of Wealth/Sowce of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equ relent summary of assets/liabilities): The source of wealth for this trust derives from Jeffrey Epstein. Please revert to his source of wealth for more details. Estimated gross receipts p.a.(S): 1,000,000.00 Estimated net wont p.a. (5): 1,003,000.00 Estimated ow:gable assets (3): SI WI - 2 MM Potential Mown to be Invested with MN (5): 1,000,000.00 Other Known Financial Institutions: InstttuUcn: Country: Est. Assets Under Mgt: InstttuUcn: Court'''. Est. Assets Under Mgt: InstttuUcn: Court'''. Est. Assets Under Mgt: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(a) DB-SONY-000030B U§192824269 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... EFIA_00019179 EFTA00168926  KYC Print Page 8 of 10 DB PWN1 GLOBAL KYC/NCA: US/LaLArn/In til PART B Rdatortthip Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Canments: Booking Center 0 NY 0 NY/Offshore 0 Ofirshcle High RDiskr43derate 2 Risk YGulmul Chung (Compliance Sombre) El DB Employee O DB Managed PIC • DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 0 Drivers License ®Passport O National/State ID O Other B. Checklist of names (Individuals and/or unities) that were h./omitted fa database searches Is attached gym CI No C. Please indicate the results of the database searches perfumed ROC searches complete r Yes O No negative testes found Ores 121 No PCR checks complete Ores O No negative testes found Ores 2 No OFAC checks complete ®Yes O No negative restAs found Oyes 2 No BIS searches complete (t.exismetis, move, Reuters, Dow Jones, DAB) ®Yes O No negative teas found O Yes 2 No Denial Orders checks complete Ores O No negative testes found Ores 2 No Kara-dam-Hobbes searched (Lawyers/Law Firms only) Ores 2 No negative testes found Ores O No D. Please sawrarite any negative !woks from the database searches indicated above: E. To the best of your knowledge, has the client ever been convicted of a criminal diens& ®Yes • No To the best of your knowledge, has the customer ever been waved in any past itigatico against Deutsche Bank AG or any of es subsidiaries or Is the customer threatening litigation against Deutsche F. Bank AG or any of Is subsidiaries? (if Yes, poilde cleat Wow andmatter cluaAryNgt aa&liWintVor, O Ye5 @ No me Re9utflon, Coney/ Crony amino* Compiance emnediately) G. Does the client or related party have any (Kendal or other association / interactions %Rhin countries or Dye, 2 No regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Doggy Doun m the client or related party have any finandal or other associatbni interactions MUM high risk H. co ? • Yes n No I. Corporate Denomination Attached (Legal Entities Only) ®Yes 0 No 0 Not Applicable 3. undisdosed Prindpai Form Complete (Intenneciaries Only) arm O No e Not Applicable K. If Lexismexis search Results, Corporate Documents or Other SuppoMng Documentation Is not in English, please provide an Engash summary of the nature/contents of the nal-English Documentation: L. Special Risk Factors Does the amount have Nexus to Special Risk Quart? Ores gbi No Is the account structure unusualy complex? O Yes @ No Is thee any indcation the client set up a non operating company expressly for o yes No the purpose of transferring Mares to third parties? ® ts there any indication the could be a prohibited business relationship? O Yes e No Are the bearer shares identified subsea to acceptable controls? O Yes @ No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000307 UM92814270 https://dbforcepb.my.salesforce.com/servlet/servletintegration?lid=01N30000000D9Di&e... EFIA_00019180 EFTA00168927  KYC Print Page 9 of 10 N. Case Comments Created By Date Comments rowsun Chung 3/16/118 10:52 MI The client Trust is registered in US VI, not USA. This KYC saves as a high risk renew for the new dent The 2017 Caterpilar Tiust (referred as "atcountholder) - Below are the reasons why we are ccmiortatte with approving this KYC: . Information and suggesting documents required by moat Poky were provided and reviewed; and as a result we lave an understanding of the structtre of the accountholders, their purpose, the purpose Cl the accounts and expected Yansacticn acUvhy. . There are a few risk factors asscdated with the accounthcider- Matthew-3 Purcell 2/13/11B 11:13MI SOW: The UBO (Jeffrey Epstan) is the fonder of Soulhan Trust Company Inc, which manages clients assets. SOW ratification was obtained. Negative Media & PEP: Thee is some negative media against Mr Epstein and he is also maintain a dose retail:rung with Bil Clinton and Prime Andrew. Please see risk calculator fa more infomiatlon. Appropriate approval ,.as obtained. , Ott review dd not idently any red flags and thus there was no need to escalate this case hither. , We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists Please Note: The 2013 Butterfly trust is listed as a beneficiary only Men the 2017 Caterpillar Trust terminates. Sere Cynthia Rodriguez 2/B/118 10:59 AM his beneficiary does not receive the annual annuity payments, it was not added as a parry. However, I have attached TM bust aoreement and list of bench:lanes fa this trust as supped. ONSHORE APPROVALS Gent Faring Professional (CFP): stewart ddreld (Signature) 2/4/2018 stewart °Wield Office Directorreusiness Head: Andrea F Gallivan (Signature) 2/8/2018 Andrew F Gallivan Regional Office Ditt1O1: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Matthew-) Purcell Matthew-1 PLYCel 2/13/2018 YCOASIMI Chung Towson Chung 2/13/2018 LATAH/INTERNATIONAL APPROVALS Cent Facing Professional (CFP): (Signature) Account Manager: (Signanne) Globa Market Team Medd (GNITH),fSub. (Signature) tact Team Head (S.MTH): AML Business Risk: (Signature) AML Convliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client Facing Professionalsl(l) (CFP's) should establish and maintain business relationships only with persons who smash/ our high standards ofsuitability, background and 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 and on an ongoing basis. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. e(e) DB-SONY-0000308 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... 4192844271 EFIA_00019181 EFTA00168928  KYC Print Page 10 of 10 DECLARATIONFOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that! have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that! havefollowed all theprocedures relating to account opening as described in the PWMAmericas Procedures and thePIM Global KYC Policy (I) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Cyficers, Broken, Client Managers, etc. Deutsche Bank Americas New York CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(0) DB-SDNY-0000309 U§192824272 https://dbforcepb.my.salesforce.com/servletiservlet.Integration?lid=01N30000000D9