EFTA01356247.pdf

KYC flint Page 19 of 22 DB PWM GLOBAL KYC/NCA: US/ LatAm/ I nt'l PART B rA Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Booking Center Play • Fl Moderate g High 11Offshore Risk s5 Yoonsun Chung NY/Offshore (Compliance Signature) 0 DB Employee El DB Managed PC t_... DB is TrLs:ee Co-Tr.Jstee ❑Bearer Shares 4. Attachments A. Type of Photo ID Provided 2 Drivers License 52 Passport • National/State ID • Other Checklist of names (individuals and/or entities) that were submitted for database ra Et 1KlYes 0 No searches is attached C Please indicate the results of the database searches performed RDC searches complete WI Yes 0 No negative results found 2 Yes • No PCR checks complete r4 Yes ❑No negative results found ®Yes ❑No OFAC checks com pieta dyes 17 No negative results found 0 Yes 52 No BIS searches corn plate (LexisrNexis. Festiva. Reuters. Dow Jones, D&B) Wi Yes Li No negative results round 1:3 Yes 5 No Denial Orders checks complete W Yes 0 No negative results found 0 Yes In' No Martindale-Hubbell searched (Lawyers Law Firms only) Dyes n No negative results found 0 Yes 0 No 0 Please summarize Its from the database searches indicated above: DARREN INDYKE: Approved in KYC , HARRY SELLER: Approved in KYC JEANNE BRENNAN: Jeanne was previoushi approved in KYC JEFFREY EPSTEIN: RDC Alert e t - Cleared & APPROVED by Chip Packard. AML Compliance, and Pat Harris PCR Men II 1/2 -- Not our client Al Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media Court Case -- Not our client. FINANCIAL I NFOMATI CS INC: No negative media No court cases J Epstein & Co. All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUSTS CO RDC/PCR alert is associated with Southern Financial, the company it merged into. This alert has been cleared by Compliance anc - attached https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?1id IN30000000D9Dieze... 1/11/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042018 CONFIDENTIAL SDNY GM_00188202 EFTA01356247