EFTA01345282.pdf

KYC flint Page 16 of 19 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: --1 ElModeratent Booking Center NY Offshore rzt High Rski NY/Offshore Risk 0 (Compliance Signature) O DB Employee El DB Managed PC EDB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A Type of Photo ID Provided g Drivers License g Passpon O National/State 10 O Other Checklist of names (Individuals and/or entities) that were submitted for database B g Yes O NO searches is attached C Please indicate the results of the database searches performed RJC searches complete ni Yes ❑No negative results found O Yes FA No PCR checks complete 52 yes O No negative results found O yes 52 No OFAC checks com plete ©Yes O No negative results found O Yes ir5 No MSsearches complete (Leds/Nests, Factiva, Reuters, Dow Jones, MB) 1.7 Yes O No negative results found O Yes 22 No Denial Orders checks complete g Yes O No negative results found O Yes n No Martindale-Hubbell searched (Lawyers/Law Firms only) ❑yes No negative results found O Yes O No Please summarize any negative results from the database searches indicated above GRATITUDE AMERICA No negative media No court cases Negative media mentions his name as an owner of a building. The negative media is not about him individualty but about the others mentioned. No court cases D. JEFFREY EPSTEIN: Previously approved KYC #:01002293 8 01121718 All negative media pertains to court caseswhich have been previously approved in the above mentioned KYCs. Court Cases have been closed Neptune LLC: The court case in the research is a false sitive and does not refer to the entity that is part of this KYC. The entity in the court ca, refers to a NYC entity owned by where as the entity in this KYC is a USN entity solely owned by Mr. Epstein. Neptune LLC owned by Jeffrey Epstein donated to campaign for 45,200 in 2006. Mr. Epstein is already noted as a PEP To the best of your knowledge, has the dent ever been convicted of a criminal E. offense? 66 Yes O No To the best of your knowledge, has the customer ever been involved in any past Migation 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? (11 Yea D Yes g No provide details below and contact Quality Mgt. (LatAmfintl) or the Regulatory Control Group and notify Compliance immediately) G. O Yes ../ No 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 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid IN30000000D9Di&e... 7/30/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0031536 CONFIDENTIAL SONY GM_00177720 EFTA01345282