EFTA01255744.pdf

Deutsche Bank CI Account Holder Name The Ham Trust GC15 A Select tam* for KYC 'Regular Re ire Cases la a a Banking t c Brokerage Tr. a * e a IE V z i u'a a• s f2 1 2 - :0 f Fa-, D. 1 : adcfMonal Amebas e go VPZE Ice_ 1 E rg tz M a ACCOunt Value E - 3 2 t i t Li & SS ,aS 31s e" ..4 1 — cor ih latercouritiv of (any:swop :UMWStates Name ,S4,s4gs.42811igoli 8 Star Counby of Residence :United Steles The flare Trust x n i n 1 Nad a s x I N Entity Type . Trust Jeffrey E. EpsterniGrantor. Trudge A UBO) x x x a x a x 2 xxx x dYNANAx COMMA!it barren K. Indyfa Munn It telhargedSariatery) x x na l xxxx aNNANANA Paul Bassett RFC*) x x x x 2x4xx aNNANAMA Ownership : Trust Agreement (=opiate doximerc) kany2ethe (a0A) x x x x2xxx INNANANA Cachet ine Brennan WlebraCht (PGA) x x a x2xxxx aMMANANA Legal Existence ust All&Nred (WWI& occumeno conewatnete Mot 1) IN roe Dairen harry Can to found kr'. 'Recoutaf crOCIS ti Siring Authority 2) !Ds for Jaey. m Harry S Paul and Joan Anne attached n the KYC •c 3) ROC skin fa Jaffrey Cretan. Paul Brien and Darren Indite has cleared CIN,IrCa anon attached catty Set Certific on • r a i Entity Power. i Structure Trust Agreement (con*. &come() whet Required ApprovaisCoannenis Include but not tionted to: General Notes: ABR Approve: notbUS Clients with nuncio or US status (non-US dent Obleteir (1) Indicate in Commends it information is not found m canoed NYC or Customer Profile (enter number in nods EIS 'V2 and saws m become a VS cersadd./S Cited change; moms b &townt Mtn •Us De, onP)A reference to that number in the comments), explain in which NYC Case or where in the Repository the information can be found aufnaurod dgnercry is ron.0 S but nasal/5 abbots) AFC Repinabonal Rtsk Approval (panting nets) In Indicate if information is misting 0 AML Compliance & BAIA Approval Mr US persons woman "ewe PIC (3)H the account holder is a non US individual and has a US individual as PGA. tan *vows. Perna Sherpa end Rich larosi. need to be informed at this is cone:tweet a US indica 0 Client andlor UBO from EU (refer to TM, 3 EU Country LIM) - add note to dent tad ,e Footnotes: Client Risk Program (CRP) Form for al nee loans (CRP tonna are required at KYC (a) State Occupation. Employer's Name and Address. Eshmated Income. Net Worth stye gene bare do net go through Inds • NON USCLIENTSMY 0 Cross Border Approval (b) II there is any negative news. assure to summer= it in [Store*. 0 CRP Escalation Body APProVal • &cantons to local eelcountry sat panda& NO lc) Make sure the PEP determination captured accurately. EXCEPTIONS for Global exit countries ExCo Approval (NO Posh KYC s For New fl outs AND chants downgraded from (d) Make sure the account details are completed (te. account manager. account type. currency. purpose of the account) nuirnwbum to NIGH AnD et Event tureen Reveal) FinCEICs COO Rule Form (e) Make sure the client meeting informanon is entered in CM Forte. Are the booking canter. referral source. introduction detail and payment retrocession question related to this client entered In °Blotted 0 German Bank Separation Act (GBSA) Oueshonnaire • regaled for ALL newdents iGESA determination made to' dents awneng a or C.90,17 B4 NEEDS to be requested for the., ¶O% mane menus) and any .n between *nines that incifecty own 50% a more of 0 Group Sustainaberty Approval (enviTormartalsrxial ask) (1 Industry Rep Risk Escalation POWs linpanskiMranet db.corMaiMapprApp.henl) • defense mdustry MO Approval (Atm &bubo& OnA, at nth raIngs r Subject to upcoming BSM approval changes - this may be removed. Non-target market Approval 0 RERMegetivil media *sta./bon Approvals -Nod WM Alt Compliance Voneniela Line of business Approval to commence KYC adopbon process 0 RATIONALE MEMO stating basis for approving KYC The Nam Trial -KYC CA1ABR Checleita SDNY_GM_00064270 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL Foif sw) DB - SDNY - 0027095 EFTA_001174776 EFTA01255744