EFTA01372828.pdf

7 15 2019 KYC Print DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B VA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 4‘ NY Cffshore Moderate I High Risk NY/Offshore I Risk (Compliance Signature) DB Employee . DB Managed PIC DB is Trustee/Co-Trustee Bearer Shares 4. Attachments A. Type of Photo ID Provided 1 Drivers License I Passport National/State ID Other Darren Indyke & Richard Kahn GCIS # 486405 & Il lti KYC g 01804531 B. Checklist of names (indrvduals and/or entities) that were submitted for database searches is attached It Yes No C. Please indicate the results of the database searches performed RDC searches complete Iii Yes No negative results found I Yes No PCR checks complete I Yes No negative results found 1 Yes No OFAC checks complete de, Yes No negative results found Yes I No :.A• BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow )ones, D&B) IM Yes No negative results found I Yes No .._.. Denial Orders checks complete ti# Yes No negative results found . Yes , No Martindale-Hubbell Searched (Lawyers/law Arms only) 49 Yes No negative results found ... Yes I No D. Please summarize any negative results from the database searches indicated above: Harry Belle- - No negative media - Harry Beller is the plaintiff in the court case, also it has been disposed. IIIIIIIIIIII - No negative media - No court cases Butterfly Trust: - No negative media - No court cases - No negative media • No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared. (KYC ft - 01790655) - Court cases relates to Jeffrey's sex offence in the past which is already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this client. And in one of the case he's neither defendant nor plaintiff. He's just named as a respondent and the case is immaterial in nature. - Criminal Filings relates to sex offence which is already cleared in the past - RDC alert found • Sex offences in the past which has been cleared • Clearance attached. - No negative media - No court cases Darren Indyke: - Negative news in Google relates to Jeffrey Epstein's Foundation and are not material in nature. - Court case mentioned in Google search relates to Jeffrey Epstein's sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case. - Frcosoft alert has been cleared by AM. Compliance. Clearance attached. Richard Kahn: - No negative media - Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances - RDC alert found - realates to violation of NYSE Arca Equities Rule - Clearance attached - No negative media httpsiLdbforcepb.my.salestorce.comiseNletiservlet Integration?'id N 30000000D9D 4.e id.5000e00001NOBx m& lc= 1&iinkTokent- VmpF P SxN a k F 4 39/42 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066717 CONFIDENTIAL SDNY GM_00212901 EFTA01372828