EFTA01480766.pdf

TickelK 105258611 Account Initiated Date 07/13,12013 07:22 AM Client Name THE HAZE TRUST Account Title Initiator JUSTIN D NELSON ECI 0221477308 Account Type Initiating Team P13 FRONT OFFICE LOB PB Verify & Confirm for THE HAZE TRUST Final Risk Rating High Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk No Indicators Comments Summary of Risk Attributes Convicted Felon - Several newspaper articles were found that detail the indictment of Jeffrey Epstein in Florida on felony charges of soliciting underage prostitutes. Jeffrey Epstein served 13 months in fail. Numerousartictes detail various law enforcement agencies investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage girls. Jeffrey Epstein is resoled to register as a sex offender. Jeffrey Epstein has settled a dozen civil lawsuits out of court from his victims regarding solicitation loran undisclosed amount. Please summarize any material changes No other changes made. which have occurred with the client within the past 12 months: GCS Grid Search Type Security Service Details Further Review Required Company Information No records found. No Corporate Records No records found. No Other Database Searches No records found. No (RDCMIIS/Factiva) Internal Database Search (CSSSFPS) Internal database search revealed prior Yes OS81 research for Jeffrey Edward Epstein and the derogatory information was reported: Several newspaper articles were found that detail the indictment of Jeffrey Epstein in Florida on felony charges of soliciting underage prostitutes. Jeffrey Epstein served 13 months in jail. Numerous articles detail various law enforcement agencies investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage girls. Jeffrey Epstein is required to register as a sex offender. Jeffrey Epstein has settled a dozen civil lawsuits out of court from his victims regarding solicitation for an undisclosed amount. State Court Searches No records found. No Federal Court Searches No records found. No Personal Particulars No records found. No Publications Nothing derogatory found. No Regulatory Sanctions No records found. No OFACControl List Search A search of OFAC did not reveal any No matches. Negative or Inconsistent Information Yes GCS Red Dot Has this been idenlifled as Red Dot KYC? No N • On Information Found Yes Banker Attestation Details You are about to approve a high risk client. Have you Yes Included sufficient information to satisfy High Risk Enhanced Due Diligence regulatory requirements (Section 312 of the USA Patriot Ac 7 As the client sponsor, I understand that I am primarily Yes responsible for protecting the firms reputation from inappropriate business relationships, as well as from fraud and money laundering. By approving this KYC, I am sponsoring this client as to their character and reputation and from a I al/re ula to stand .oint. Confidential Treatment Requested by JPM-SDNY-00002987 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272185 EFTA01480766