EFTA00167111.pdf

KYC Print Page 1 of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case S : 01790724 Status : 6. Approved One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHW:0000O443290 Center: I New York I Bed"ng Relationship Manager: stewed *Meld O New PWM Relationship Ilia Existing PWM Relationship Relationship to PWM: If existing, please Indicate since when the relationship exists, provide reason for new profile and attach old profile • • *This KYC is a periodic review for high risk remediation• • • Original KYC1161376 J Client Referral • RM Prospect O Intermediary/FIN • Other Source (CIa, et.) Mow Was the aient(s) Introduced) How long has the please provide details (e.g. name of r rce, rs RM personalty has known dent, etc.): Stewart Oldfldd RM personally known the and Cynthia Rodriguez contacted and on 6/23/2017 to confkm f there are any material changes cents to tltnr joint Does Deutsche Bank pay a Dyes II No retrocession or similar compensation to a third party for the introduction of this af Yes, describe) relabOrdhlp? List all existing and new accounts nvolved in this relationship Legal Entity Account Name / Number Opening Date (Intended/actual) Account(s) 1 2 and Deposit 12/16/2013 Who n the primary contact person for the RN) (Note: Prefetrefl method of contact This person needs to have c -pair to peone no , fax no., signatory rights and/or acl.lres, etc ) information right for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SONY-0002885 EFTA_00016359 EFTA00167111  KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: and Deposit Acct Number Of avaaaNel.. Account Manager: stover oldfieki What is the purpose of the account (e.g. portfolio man e ry account custody services, long-term investment payment/expense account)) Checking account for the daily use of and Indicate from where the assets are expected to arrive' RI DB Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (Indicate DB location and account details): O Other Institution - (Indicate name & locabon): O Physical Deposit (specify cash, securibes, cheques, ...): What is the expected size and frequency of regular inflows and out/lows for the account (indicate estimated number and volume per month)' 0-4 inficnn and outflows per month ranging from $100 to S1500 What b the expected volume of assets and currency for the account approx. 90 days 1 10000 I Currency I USD after openisp What b the expected volume of assets and currency for the account approx. one year 14379.40 I Currency I USD after opening? Doesfyill the client Nye Assets Under Management (AuM) within DB under Eta. 3M' O yes 0 No 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 tab account (> 1can be selected). • If none of the check boxes apply, describe the partys relation to the account In the "Other column. • Alysys describe the relationsMp between the parties in the last column. • Please drill dorm to the unmate/underlyng Elenefkial Owner(s). _egal Descripti AccounWIC Sabo/ of Jltimate SignatornimitedPinancial tIgnificant _egal Grantor/Senor Founding Other inbtyof Source Holder OwnerTrust / Beneficialor Full ?OA Intern edlary5harehokierSeprescntabve Donor 'please of Wealth Founder of Owner POA (AM) 1>•25%) Sescribe required Foundation Ion-PIC 'trier roles entity and/or arses indicate nchcate fated ownership elatcriship this k) en count rtes) 00 Ed O O 0 0 OO f-- E c 2 O 0 2 O • El a O O E Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002886 EFTA_000 16360 EFTA00167112  KYC Print Page 3 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account OwnershipSummary_ 34. Individual Details (for all parties) Individual's Name. Date of Birth: Country of Residence Country of Citizenship: Has dent resided outside of Ms/her country of nallonalty Elyosn No Address of primary residence: fa 5 years or niece? Profession,OccuPabon Tax ID / SSN: Current Employer: Posilionfiltle/Rank: Address of employer: Does the person work as senio executive of a CO-recognized regulated entity in the financial ndustryr or an entity listed on a OB-recognised exchange' (Not applicable for operating O Yes 0 No nutlet Is the individual a Politically Exposed Person (PEP)(/ Yes, describe) O Yes g!INo To the best of your knowledge, is the Individual related to an employee of the 08 group/(r/ 0 Family 0 Friendship Ri None Faint or FnencIsixA describe ) To the best of your knowledge, is the indndual party to a non-banking relabaishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc ❑O Yes TA No services)af Yes, describe I If applicable, indicate which bank cflicers have met the Indicate where and Wien the client meets (s) took place: person: Client Private Client Place of Rank Officer Name(s) Bank Office: Other location (specify): Date: Domicile: Business: Paul Morris O O 0 12/3/2013 O O O O O LI OWealin Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: homemaker Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds> Summarize Source of Wealth: OBusiness Owner O Salary/Eamings Investment O Inheritance/Gifts 00ther: iii Further Descrte Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, now did family accumulate wnith'For business owners, how Ion in business how ma e ees level cf &Rabe 7 Indicate of business countries of mast activities, important business partners.) Estmated Annual Income($): Estimated amount of investable assets($): <$1 MM Estimated Net Worth($): cS1 MM Amount of assets planned to invest with PWM($): 20,000.00 Other Known Francial Institutions: Insbtution: I )PMoegan 'Est. Assets Under Mgt 160,000.00 I Caw": I USA Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002887 EFTA_00016361 EFTA00167113  KYC Print Page 4 of 10 lnsbtubon: Country Est Assets Under Mgt Institution: Country: Est Assets Under Mgt Mease indicate the family situabon of the individual (marital stahm. other family members, etc.)'. Manned to Karyna Shullak Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002888 EFTA_00016362 EFTA00167114  KYC Print Page 5 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for all parties) Individual's Name. Date of Birth: Country of Residence: Country of Citizenship: Has dent resided outside of his/her country of natiOnalty Oyes 74 No Address ii primary residence fa 5 years or wee? Profession/Occupation: Tax ID / SSN: Current Employer: PosItloWlble/Rank: Address of employer: Does the person work as senio executive of a DO-recognized regulated entity n the financial ndusby' or an entity listed on a 06-recognised exchange? (Not applkable for operating O yes 0 No nabs Is the individual a Politically Exposed Person (PEP)(/ Yes, describe) O Yes WINo To the best of your knowledge, is the Individual related to an employee of the DB group>O 0 Family 0 Friendship R1None Fn)' or (nencIsixA describe) To the best of your knowledge, is the individual party to a non-banking relabcnshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc O Yes TA No services)'af l'es,desrnbe I If applicable, indicate which bank officers have met the Indicate Mitre and Wien the client meethig(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other locabon (specify): Date: Domicile: Business: Stewart Odheld O O PI 6/23/2017 O O O O O LI El Wealth Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of swell description as indicated in Section 2) Nature of the Individuals Business: interior design Primary Country of source of wealth/source of Funds' Primary industry of source of Wealdi/Source of Funds' Summarize Source of Wealth: D Business Owner [0 Salary/Eamings Investment O Inhentance/Gifts 00ther: iii Further Descrbe Source of Wealth /Detail the history of weath for each of the sources: (e.g. For trusts, how did senior- 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 ma a adavilies im ortant business artners.) Her annual Income S approximately $150k with salary, bonus, and COMMISSICOS. Estimated Annual Income(S): 150,000.00 Estenated amount of investable assets($): :41 Mil Estimated Net Worth($): <$1 SW Amount of assets planned to invest wels PWM($): 2,000.00 Other Known Financial Institution: Institution: db County: Coun rasa Est As Assets Under Mgt 2,000.00 Institution: IP Morgan Chase Country. USA Est Assets Under Mgt 2,000.00 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002889 EFTA_00016363 EFTA00167115  KYC Print Page 6 of 10 Country: Est Assets Under Mgt please indicate the family situation or the Individual (marital status, other Varney members, etc.): Flamed to • Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002890 EFTA_00016364 EFTA00167116  KYC Print Page 7 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booker° Center re' NY O • Moderate Fr High Risk Yososun Chung ..I 0 Offshore ..a NY/Offshcce Risk (Compliance Signature) O DB Employee O DB Managed PIC O DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided Tal Drivers License • Passport • Nabonal/State ID O Other Checklist <I names (individuals and/cr entitles) that were submitted for database searches is B. attached • yes - No C. Please Indicate the results cf the database searches performed RDC searches corrokte 2 Yes • No negative results found O Yes No 0 PCR checks complete 2 Yes O No negative results found O Yes 0 No OFAC checks complete 2 Yes El No negative results found O Yes 0 No BIS searches complete (Lexis/Nexis, Pectin, Reuters, Dow Jones. MB) 0 yes • No negative results found • YeS 0 No Denial Orders checks complete 2 Yes ONo negative results found Oyes WI No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes 2 No negative results found • Yes ONo Please summarize any negative results from the database searches indicated above: No Negative Media Court case ref r for a personal injury and is a false positive as the n KYC resales in red has no cu . • D. No Negative Media No Court Cases E. To the best of your knowledge, has the client ever been convicted of a criminal offense' El Yes 5 No To the best of your knowledge, has the customer ever been kwolved in any past litigation against Deutsche Bank AG or any of ft suburbs nes or is the customer threatening litigation against F. Deutsche Bank AG or any of is subsidiaries, (If Yes, prove,* details below and contact Quakty El Yes ra No Mist. (Catemant7)or the Regulatory Control Group and nobly Con:seance immediately) Does the client or related party have any financial or other aSSOCIabeel / oteractons within G. Il Yes R No countries or regents sanctionedby the Office of Foreign ASSets Control (CCAQ' H. Does the client a related party have any financial or other association/ nteractions within high O yes 2 risk countries' No I. Corporate Documentation Attached (Legal Entitles Only) S Yes 0 No MNat ApplKable J. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes ONO :.% Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not In English, please provIde an EngIsh summary of the nature/contents of the non English Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Countries' O Yes 0 No Is the account structure unusually complex' Dyes trs. No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002891 EFTA_00016365 EFTA00167117  KYC Print Page 8 of 10 Is there any Ind Kabon the client set up a non operating company eypressly for the purpose of transferring shares to third parties' ❑yes No Is there any indrcation the could be a prohibited business relationship' Dyes No Ate the bearer shares identified subject to acceptable controls' ❑Yes EZ No Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002892 EFTA_00016366 EFTA00167118  KYC Print Page 9 of 10 M. Case Comments Created By Date Comments The account holders have been clients of DB since 2013. Below are the reasons why we were comfortable anon:Mau this high risk KYC remediatlon - information and supporbng documents required by our MIL Policy were provided and reviewed; and as a we have an understanding of the structure of the accountholders, their purpose, the purpose of the counts and expected transacbon activity The account holders' (M and source of wealth and source of funds were Kshiti; c n 7 27 117 5 0G PM cienny detailed and appears plausible Our review dad not identify any red flags and thus there was no need to escalate this case further. We performed due diligence searches on all parties and did net find the names searched to be on any ncoons lists. ONSHORE APPROVALS Client Facing Professional (CFP): steivart °Infield (Signature) 7/20/2017 stewart oldheld Office Director/Business Head: Andre:: F Gallivan (Signature) 7/25/2017 Andrew F Caravan Regional Office Director: (Signature) MIL Business Risk: (Signature) AML Compliance: (Signature) Kshitij Golani Kshibj Golan, 7/27/2017 Ycxxisun Chung Yoontun Chung 7/27/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP). (Signature) Account Manage: (Signature) Global Market Team Head (Signature) Gl" t st= Sub-Market Team Head MIL Business Risk: (Signature) NIL Compliance: (Signature) PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (P0%!) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing ProfessionalsIN (CFP 's) shouldestablish andmaintain business relationships only withpersons who misfit our high standards ofsuitability, background and character. Due diligence obtainedon 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 Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002893 EFTA_00016367 EFTA00167119  KYC Print Page 10 of 10 inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM:• To the best ofmy knowledge andbeliefthe above information is correct and up to dale. I confirm that I have no suspicions relating to the money laundering or unethical activities on the pan ofthe client(s) and that I have followed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors. Product Officers. Brokers. Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002894 EFTA_00016368 EFTA00167120