EFTA01356710.pdf

KYC Print Page 40 of 43 • Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case. - Fircosoft alert has been cleared by AML Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances • RDC al&t found - realates to violation of NYSE Arca Equities Rule - Clearance attached - No negative media - No court cases Erika Kellerhals: • No negative media - No court cases • o negative media - Court case is immaterial since the is not a defendant nor plaintiff. Her name is just mentioned as miscellaneous. Case is closed as well. Neptune U.C: - No negative media • No court cases - No negative me is - No court cases - No negative media • No court cases - No court cases Mathilde • No negative - No court cases Karyna Shuliak: - No negative media - No court cases JSC Interiors LLC: - No negative media - No court cases Southern Trust Company Inc: - No negative media - No court cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense? RI Yes EN° To the best of your knowledge, has the customer ever been involved in any past litigation against F. Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? af YeS, provide details beibw and contact Quany Mgt n Yes No (Lawn/Intl) or ale Regulatory Control Group androta, Compliance inaneckately) G. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes g No Does the client or related party have any financial or other association/ interactions within high risk rn H. LU Yes WiNo countries? I. Corporate Documentation Attached (Legal Entities Only) Ea Yes D No Not Applicable lit tps://dbforcepb.my.salesforce.com/servlet/servletintegration?lid IN30000000D9Di&eid=5000e0000IN... 7/10/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042708 CONFIDENTIAL SDNY GM_00188892 EFTA01356710