EFTA01582805.pdf

Cash Activity: Summarize client cash activity during the Chant is exiting the firm. period reviewed and explain the purpose I use of the funds: Wire Activity: Summarize client wire activity during the Client is exiting the firm. period reviewed and explain the purpose I use of the funds, including any international/cross border wires: Before answering the following question please review the Yes Annual Account History Activity Summary Report that has been attached in the Summary tab. Did the actual transaction activity appear reasonable, normal, and expected for the type of business or industry in which the client engages? Was the nature, value, and volume of actual transaction Yes activity consistent with expected transaction activity? Was any unusual or potentially suspicious transaction No activity detected? Additional Comments Al the request of sr management client isexiling the firm. Expected Activity Deposit Accounts) Transaction Types Expected Activity Levels Anticipated Dollar Amount Totals per Month Cash Deposits Cash 1Mthdravmis Check Deposits Low (1-10) 510.000 TO 550.000 Chocks Pad Low (l -10) 510.000 TO 550.000 Incoming Yviros (Domestic) Outgoing Nitres (Domestic) Incoming Aires (International) Outgoing Wros (International) ACH Deposits ACH Payments Internal Transfer (Debits/Credits) Asset Purchases•Sales What is the initial/ongoing source of fund ng for the clients Deposit Account(s)? Funding amount. 18,0000ther = Other Other Derail: Transfer of amount from Chase retail What is the purposenntended use of account(s)? Please provide a detailed description of how the Deposit Accountls) will be used by the client Checking account for charitable foundation Occasional charitable contributions Review the activity for the period overall and explain how the client's transaction profile agrees with or doesn't agree with expectations for the client based on the client relationship (purpose of accounts, occupation, business activity, etc.): Client is associated with the Epstein relationship and is in the processor being exited. Was expected activity for the client modified In the transaction activity section of the KYC ticket? No Additional Client Information Please include any additional information that would further explain your knowledge of the client (family treerhistoty, public information websites. etc. This IS an ex • account which is halo• transferred from Retail into PB. Comment History r!{=Ma Creation Date Entered 8 Comment Preview Market Manager Approval 11/20.2013 01:49 PM ALMA DEMETROPOLIS Please redirect to Tad SmithMarc Sheridan and confirm whether the comments above of moving account from Retail to PB is valid if we are ex ib • MM/Banker Comments 1206/2013 03:47 PM tAALLIAM M SHERIDAN We wit be exiling this relationshr CEO Ai 'royal 12/15/2013 07:22 MI JOHN R DUFFY a oved to facilitate exit Approval History not Date Owner SID Owner Name Banker Attestation 11/0820130850 INILLIAM M SHERIDAN AM ■ 11/20/2013 01:49 ALMA DEMETROPOLIS PM ■ 12/09/20130306 ALMA DEMETROPOLIS PM ■ Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062378 EFTA01582805