EFTA01294870.pdf

KY(' P n t Page I of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEIN, JEFFREY RELATIONSHIP Booking Center: I New York Relationship Manager: Paul Morris F New PWM Relationship I Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: F Client Referral 17 RM Prospect r Intermediary/FIN r Other Source (C18, etc.) How Was the Client(s) Introduced? How long has %ease provide details (e.g. name of referral source, how many years RM personalty has known client, the RM personally known etc.): Jeffrey is a current client of the bank. These are new accounts. Introduction of Paul and Jeffrey: Jeffrey the client? Epstein was a client of PauFs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/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 funds over to JPMorgan Does Deutsche Bank pay a F Yes F No retrocession or similar compensation to a third party for the introduction (If Yes, descfibe): of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 Jeepers Inc 9/18/2013 2 F Jeepers Inc 9/18/2013 Who is the primary contact person for the RM? (Note: Preferred method of This person needs to have Jeffrey Epstein contact(indicate phone signatory rights and/or no., fax no., e-mail Information right for the address, etc.): accounts.): SDNY_GM_00053497 Ims://na4.salesforce.com/servet Iip: EtropAtoD9Di&eid=5006000... 9/9/2013 CONFIDENT AL - PURSUANT TO FED.l R. Atpb) l ' -' DB-SONY-0016321 EFTA_00164078 EFTA01294870  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 (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 for Jeepers Inc daily liquidity needs. 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 DB location and account details): F Other Institution (Indicate name & location): JPMorgan Chase. New York, NY 1 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 5-10 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for 25,000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 50,000 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. • Abney describe t e relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). legal5escription AccountPIC Setter of „Iltimate Signatory-irnitecAnancial Significant Entityof Source Holder OwnerTrust / Benefioabr Full POA nterrnedlary5harehoider of Weakh =minder of Owner POA ,FIM) K>=25%) required 'ouridabon Non-P1C abet (please entity describe other roles (indicate and/or indicate parties related to pn ership relationship between s account J%) parties) 1 F F Jeepers, Inc F F F F F F F 2 F F Jeffrey Epstein F F F F F F F SDNY_GM_0005.34913 litt iFIEW 0 ACED9Di&eid=5006000... 9/9/2013 CONFIDENpTIAL s://na4.salesforce.com/servlet - PURSUANT TO FED. R. Pl 1 I''' DB-SONY-0016322 it b) EFTA_00164079 EFTA01294871  KYC Print Page 3 of 10 2. Account Ownership Summary Account Name: Jeepers 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)? Money Market account to hold Jeepers Inc's cash. 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 (*location and account details): F Other Insbtubon (Indicate name & location): 3PMorgan Chase. New York, NY 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 1-2 inflows and outflows per month ranging from $1,000-$10,000 What is the expected volume of assets and currency for 50,000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 150,000 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 AccountPlC Settfor of Ultimate Signatory4nitedRnancial Significant Entitrof Source Holder OwnerTrust / Beneficiakor Full • *A Intermediaryehareholder of Weakh Founder of Owner POA (FIM) K>-25%) required Foundation Non-PIC Other (please entity describe other roles (indicate and/or indicate Parties Partieses related to pwnership relationship between . account '0) oarbes) 1 F F Jeepers, Inc F F F F F F F 2 F F Jeffrey Epstein F F F F F F SDNY_GM_00053499 Ims://na4.salesforce.com/serve plIiFffEwrpActoD9Di&eid=5006000... 9/9/2013 CONFIDENT AL — PURSUANT TO FED.l R. Filb) l'-' DB-SDNY-0016323 EFTA_OO164080 EFTA01294872  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 - 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: 6100 Red Hook Quarter 83 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r- Yes R No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(,f Family or Fnendstw, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship r• yes ,— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' l•' 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: Paul moms r r F 8/7/2013 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: 35. Wealth Details (Only for parse requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments r; Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: 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 partner n 1980. In 1982, Epstein founded his own financial management firm, ). 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 a): Estimated Net Worth(S): $100 MM - 500 MM Amount of assets planned to invest with PWM(s): Other Known Financial Institutions: SDNY_GM_00053500 Imps://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. b) i._ ri PlifillEtepActoD,Di&eid=5006000... 9/9/2013 DB-SDNY-0016324 EFTA_00164081 EFTA01294873  KYC Print Page 5 of 10 Institution: JPtiorgan Chase Country: USA Est. Assets Under Mgt: 20,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Bt. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Single SDNY_GM_00053501 littps://na4.salesforce.com/servlet CONFIDENTIAL — PURSUANT TO FED. R. AttIBENTIIkt 0D9Di&eid=5006000... 9/9/2013 DB-SONY-0016325 EFTA_00164082 EFTA01294874  KYC Print Page 6 of 10 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: Jeepers, Inc - 00000486423 F Private Investment F Foundation/Association r Trust F Company Type of Entity: 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 United States Virgin Island 8/18/2003 incorporation / incorporation/registration: registration: Address (city, street, post 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 66-0629193 code): Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocabl ty,settlor and beneflcianes,etc.: Jeffrey Epstein is the sole hareholder of Jeepers Inc Please indicate how ownership of the legal entity is reflected: 1,000 shares of common stock are solely owned by Jeffrey Epstein F Special attention: Bearer Shares - Indicate where shares are custodied: Desaibe the chain from the direct owner of the entity to the ukimate beneficial owner (ifnor the same persau). Jeffrey Epstein is the sole shareholder of Southern Trust Company, Inc 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 F No F or services)?: Describe Nature of Entity's Primary Business and Investment Activities Jeepers Inc is a private company that holds investments of its owner, Jeffrey Nature of the business: Epstein. Countries where business is transacted: USA, USVI Number of employees: 3 3D. Wealth Profile (Only for parties 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): Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue comes from the gains of the in estments it holds. Estimated gross receipts p.a.(g): 400,000.00 Estimated net profit p.a. (5): 200,000.00 Estimated investable assets (S): $20 MM - 50 MM Potential Amount to be invested with PWM (S): 200,000.00 Other Known Financial Institutions: Institution: JP Morgan Chase Country: USA Est. Assets Under Mgt: 28,000,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: SDNY GM_00053502 littps://na4.salesforce.com/serylet CONFIDENTIAL - PURSUANT TO FED. R. tic iEflirtipAtoD,Di&eid=5006000...DB-SDNY-00 979/2013 16326 EFTA_00164083 EFTA01294875  KYC Print Page 7 of 10 • SDNY_Gt.4_00053503 hupslina4.salesforce.comiservle littliefFrAtD9Dieceid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016327 EF1'A_00164084 EFTA01294876  KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center F NY F Moderate i- r - NY/Offshore r Offshore Risk 77 High Risk Gwen Hill (Compliance Signature) DO Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided 57 Drivers License F Passport F National/State ID F Other Checklist of names (indivKluals and/or enbties) that were submitted for database B. searches is attached F Yes F No C. Please indicate the results of the database searches performed RDC searches complete r Yes F No negative results found f resF No KR checks complete F Yes F No negative results found r Yes Ft.° OFAC checks complete F Yes F NO negative results found r yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes No r r negative results found F Yes F No D&B) Denial Orders checks complete 17 yes r No negative results found F Yes F No Mattindate-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found r yes F No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Jeffrey was approved in KYC S01082293 His PCR/ROC alerts and clearances and all documentation is contained in the above mentioned KYC D. lEEPERS, INC No Negative Media All court cases are not our client. The cast cases refer to a Jeepers Inc in Arizona and one in North Caroina. Our client is based in the US Virgin Islands 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 P. No pinvide details below and contact Quality Mgt. (LatAmfintl) or de Regaatary Control Glow and nobly Compliance immediately) the client or related party have any financial or other association / interactions G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? "I' F Yes F NO H. Does the client or related party have any financial or other association/ interactions within high risk countries? F Yes F No I. Corporate Documentation Attached (Legal Entities Only) 17 Yes F No r Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) F yes F No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is net in English, please provide an English summary of the nature/contents of the non-English Documentation: SDNY_GM_00053504 Ims://na4.salesforce.com/seryet prif li EwrapiktoD9Di&eid=5006000... 9/9/2013 CONFIDENTIAL -PURSUANT TO FED.lR. AL I DB-SDNY-0016328 EFTA_00164085 EFTA01294877  KYC Print Page 9 of 10 M. Case Comments records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Monis (Signature) 9/4/2013 Paul Moms Office Director/Bvsiness Head: Brian M. Biggar (Signature) 9/4/2013 Bnan M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) Janice Franklin Janice Franklin 9/6/2013 Gwen Hill Gwen Hill 9/6/2013 LATAM/ INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Si... ,+. (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Hank Private Wealth SDNY_GM_00053505 Imps://na4.salesforce.com/servlet CONFIDENTIAL —PURSUANT TO FED. R. Att HEYENTPAt 0D9Di&eid=5006000.. 9/9/2013 DB-SONY-0016329 EFTA_00164086 EFTA01294878  KYC Print Page 10 of 10 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 at ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepart ofthe chent(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 SDNY_Ght00053506 hups://na4.salesforce.comiservle nr iDECIA,MACE/D9Diateid=5006000... 9/9/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016330 EF1'A_00164087 EFTA01294879