EFTA01384072.pdf

KYC Print Page 10 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elabonship Name EPSTEIN, JEFFREY RELATIONSHIP oking Center F NY F Nvoffshore F Offshore r Moderate F High Risk Janice Franklin Risk (Compliance Signature) F DB Employee DB Managed PIC F DB is Trustee/Co-Trustee E. Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport I— Nabonal/State ID F Other Checklist of names (individuals and/or entities) that were submitted for database B. F Yes r No searcheS is attached C. Please indicate the results of the database searches performed ROC searches complete F \tes t" No negative results found 1— Yes F No PCR checks complete F Yes F No negative results found F Yes:— No OFAC checks complete F yes ENG negative results found 1— Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes r No D&B) r negative results found I— yes F No Denial Orders checks complete r Yes r No negative results found r Yes F No Martindale-Hubbell searched (Lawyers/Law Firms only) I— yes F No negative results found l- yes r No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Please see KYC 01082293 for Jeffrey Epstein approval and for all Compliance approvals Darren Indyke: D. No Negative Media No Court Cases The Haze Trust E. TO the best of your knowledge, has the client ever been convicted of a criminal offense? F Yes r No To the best of your knowledge, has the customer ever been involved In any past litigation against Deutsche Bank AG or any of its subsidiaries or s the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, 1- Yes F No provide details below and contact Quality Mgt (Lat4m/lntl) or die Regulatory Control Group andnotify Compliance immediately) G 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 (OFAC)? F Yes F No H. Does the client or related party have any financial or other association/ interactions within high risk countries? F Yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: -.. https://nail.salesforce.corn/servlet/servlet.Integration?'id=01N30000000D9Di&eid=500600... 9/19/2013 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0084067 CONFIDENTIAL SDNY_GM_00230251 EFTA01384072