EFTA01384098.pdf

K YC Print Page 12 of 15 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elabonship Name EPSTEIN, JEFFREY RELATIONSHIP oking Center F NY F Nvoffshore F Offshore r Moderate F High Risk Risk (Compliance Signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided P7 Drivers License F Passport F Nabonal/State ID F Other Checklist of names (individuals and/or entities) that were submitted for database B. searcheS is attached F Yes F No C. Please indicate the results of the database searches performed ROC searches complete F Yes 1.— No negative results found F Yes F NO PCR checks complete F Yes F No negative results found F yes F No OFAC checks complete F yes F No negative results found r Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes r No D&B) r negative results found F Yes F No Denial Orders checks complete r Yes I— No negative results found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) r yes Frye, negative results found r Yes F No Please summarize any negative results from the database searches indicated above:JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard, MIL Compliance, and Pat Harris PCR Alert #1/2 -- Not our client M Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client D. FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co. WI Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance and is attached Court Cases are closed 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 F litigation against Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes F No provide details below and contact Quality Mgt. gat4m/Intl) or [he Regulatory Control Group and notify Compbance Immediately) https://nail.salesforce.com/servlet/servlet.Integration?'id=01N30000000D9Di&eid=500600... 9/19/2013 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0084104 CONFIDENTIAL SDNY_GM_00230288 EFTA01384098