EFTA01480830.pdf

Tickets 102745698 Account. Initiated Dale 01/03.201210:50 AM Ghent Name NEPTUNE LLC Account Idle Initiator ELIZABETH M CAMPBELL ECI 0391309309 Account Type Initiating Team PB FRONT OFFICE LOB PB Verify & Confirm for NEPTUNE LLC Final Risk Rating High Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk No Indicators Comments Summary of Risk Attributes Risk Updated History Creation Entered by Updated Previous Comment Date Risk Risk GCS Grid Search Type Security Service Details Further Review Required Company Information Information not confirmed for Neptune LLC; Yes details included in the attachment (TAX ID and Address) Corporate Records Information confirmed; details included in No tho attachment. Other Database Searches No records were found. No (RGCSAIStractiva) internal Database Search (CSSS:FPS) Internal database search revealed price Yes GUI research for Jeffrey E Epstein and the following 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 seined 13 months In Jail. Numerous articles detail various law enfoicemenl agencoes investigating Jeffrey Epstein for allegedly participating in child trafficking and molesting underage Dirks Jeffrey Epstein is required to register as a sox 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 were found. No Federal Court Searches No records were found. No Personal Particulars No additional research necessary. No PuNicalions Publications revealed nothing derogatory. No Regulatory Sanctions No records were found. No OFACControl List Search No records were found. No Negative or Inconsistent Information Yes GCS Red Dot Has this been identified as Red Dot KYC? No N alive Information Found No Banker Attestation Details As the client sponsor. I understand that I am primarily Ye responsible for protecting the firm's 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 legal/regulatory standpoint. Please state your rationale for conducting business with this exisiing client of the Private Bank. client Please respond to any issue(s) identified in the GUI grid regularly reviewed by management and risk committee. that either needs further review. or red dot which is not already covered In a Business Case within this KYC Comments Confidential Treatment Requested by JPM-SDNY-00003058 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272256 EFTA01480830