EFTA01480731.pdf

Has an employee of JP Morgan Wealth Management met the Yes client In person? What independent background check, in addition to the JPMC Network Global Corporate Security ("GCS- ) background check, has been carried out? Check all that apply and provide the date in which the background check was conducted. (at least 1 must be selected) JPMC Network Date 02 Feb 2010 JPMC Network Comments Darren Indyko is the longstanding internal counsel to Jeffrey Epstein (JPM client). Politically Exposed Person Is the client a current or former Senior United States or Non- No USA Official f also known as a Politically Exposed Person PEP related to a PEP or close! associated with a PEP? Source of Wealth/Financial Information Source of Wealth- identify the clients source of wealth from Employment the follovnnq list of options Which country (i es) is(are) the Clients primary Source of UNITED STATES Wealth or income derived? What is the clients current position? (Include any former Darren lndyke (SSNInDOB:IIIM. US Citizen) positions, if significant to source of wealth) is Jeffrey Epsteinsis omey. ey Eps an is alongstanding client. He has dissolved his family office (New York Strategy Group) and has split it in two: HBRK Associates Inc. and Darren K. Indyke PLLC. HBRK provides consulting and accounting services to Mr. Epstein. Jeffrey Epstein is an existing client of PB. He is an active brokerage client across asset classes currently covered by the Fan's GIO desk. Jeffrey Epstein has been an investment advisor for numerous high no/ worth clients and also a personal investor. Jeffrey is very accessible and well known to the team We have advised him on investments as wet as estate planning opportunities. Jeffrey has continues to be well connected across business channels. Epstein is well known to several JPM PB employees and senior management including Jes Staley. Also. Mr. Epstein was convicted of a felony charge in 2008. Jes Staley conferred with Stephen Cutler and the decision was made to keep Mr. Epstein as a PB client Mr. Epstein completed his sentence and probation n 2010. The relationship has been reviewed with senior management and compkanconoaal on a few occasions over the post year as news stories of Jeffrey's past are picked up. No new claims or stories have surfaced recently. List the number of years in current position. (Include any 16 former positions, if significant to source of wealth) Approximate yearly incomersalaryntionus/dishibution and 1.71AM other compensation history (accumulated earned income) Client Net Worth $ 1000000.00 Documentation/Information obtained to confirm stated net Financial Statements worth of Client: Business Case Please specify why you are comfortable with this client given The client is in the process of moving the entire relationship at the the identified risk factor(s). Your answer is your 'business request or senior management (John Duffy). case- and should detail all mitigating factors. Provide client history/detail, including when the relationship Relationship history dales back to referral form former JPM senior was established, how it came to be in Plit/PWM, clients executive (Jes Staley). association with other JPM LOBS. etc. Client known to whom (JPMorgan employees), how well, and Senior JPM exec Jes Staley. how long: Overall PB/PWM relationship size and type of accounts: Active GIO client. Is this a shared client, what other LOB has a relationship with No the client? Provide relationship manager name (if known). client of other LOB since (date), and relationship size? When was the last time you met the client? What was the Previous bankers. GIO investors and Jes Staley. Last reason for the meeting? conversation with with John Duffy when request was made to exist the relationship. Describe any significant changes In the client's information See above or material events that may have occurred over the last year (Examples: address changes, change in authorized persons on accounts, change in account type, change in business, change In net worth, etc.). Cash Activity: Summarize client cash activity during the Client is In process of moving entire relationship. period reviewed and explain the purpose f use of the funds: Wire Activity: Summarize client wire activity during the Client is in the proses of moving the entire relationship from the period reviewed and explain the purpose / use of the funds, firm. 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? Confidential Treatment Requested by JPM-SDNY-00002947 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272145 EFTA01480731