EFTA01399304.pdf

KYC Print Page 1 of 35 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 02019466 One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationshi Mar BELMONT, F Ralf Fischer New PWM Relationship it Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: EDR - KYC Update to reflect the Beneficial Owners: Juan Fernando Belmont Anderson Janine Belmont Dauelsberg Marion Dauelsberg de Belmont Fernando Federico Belmont Dauelsberg Previous KYC #01861240. Please refer to other previously approved KYCs for this relationship: 01837751, 1461855, 1347325, 1272743,1162451, 384817. Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? RM Prospect Intermediary/FIM 44 Other Source (CIB, etc.) Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Mr. Juan Fernando Belmont is an existing client of DB since 2003. He was introduced to the bank by the former RM Maria Zita La Rosa. Yes (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 44 2 44 Account Name / Number Aromatiss S.A.S - Aromatiss S.A.S. - EFTA01399304 Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Opening Date (intended/actual) 4/27/2018 5/9/2018 it No Booking Center: New York Status : 6. Approved Astrid Pelaez Sanchez Preferred method of contact(indicate phone no., fax no., e-mail address, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399305 KYC Print Page 2 of 35 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Aromatiss S.A.S - DDA Josie Alonso What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of the checking account is to pay the interest payments of the loan. To receive loan disbursements and to process wire transfers to Aromatiss S.A.S. The loan will be issued in favour of Aromatiss SAS in an amount of USD 2M-5M using as collateral the assets in the account of Ferbel Group of Companies, S.L.U. Indicate from where the assets are expected to arrive? it DB Group: Same Booking Center (indicate account number): 18312053 - FERBEL GROUP OF COMPANIES, S.L.0 DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: The inflows an outflows range from 0 to 8 transactions per month and the amount will be ranging from $0.00 to $400,000.00. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 227008.59 Yesillf! No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account EFTA01399306  ip gq 2 3 4 g4 5 ism g4 6 11 Aromatiss S.A.S igft Veronica Maria Silva Luna Jesus Armando Lema Hanke Juan Fernando Belmont Anderson Ferbel Group of Companies, S.L.U. Jafer Enterprises R&D SLU it 100 100 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) it g4 Primary decision maker; EFTA01399307 Other (please describe other roles and/or indicate relationship between parties) Currency Currency USD USD Acct. Number (if available): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399308 KYC Print Page 3 of 35 7 ip Cosmo International Fragrances, S.L.U. The Opus 8 fah A4 Opus Futurus Foundation 100 Futurus Foundation owns Ferbel Group of Companies SLU, and Mr. Juan Fernando Belmont Anderson established the Foundation.;; 9 10 11 gml 12 tin 13 tin 14 g4 15 Astrid Pelaez Sanchez Marc Gerard Blaison Norval Associated S.A. FERNANDO FEDERICO BELMONT DAUELSBERG JANINE MARION BELMONT DAUELSBERG MARION DAUELSBERG EHLERS DE BELMONT Juan Pablo Godoy Fajardo g4 g4 g4 g4 EFTA01399309 Founder of Opus Foundation; 100 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399310 KYC Print Page 4 of 35 2. Account Ownership Summary Account Name: Account Manager: Aromatiss S.A.S. - Loan Josie Alonso What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of the loan is to support the investment of Aromatiss S.A.S. in land and infrastructure in Colombia and set up the factory that will develop natural cosmetic ingredients and essential oils, to be used in the production of their fragrances and perfumes. Indicate from where the assets are expected to arrive? gq DB Group: Same Booking Center (indicate account number): DB Lending DB Group: Other Booking Center (indicate DB location and account details): Other Institution — (Indicate name & location): Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: The loan facility is for USD2,000,000.00 using as collateral the assets in the account of Ferbel Group of Companies, S.L.U. Current outstanding principal is $600,000.00 and a Notice of Borrowing request for $340,000.00 value date 11.30.2018. What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 2000000 Yesic! No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description of Source of Wealth required Parties related to this account 1 •n: gill EFTA01399311 2 11 3 11 4 f m g4 5 g4 Aromatiss S.A.S Cosmo International Fragrances, S.L.U. Jafer Enterprises R&D SLU Ferbel Group of Companies, S.L.U. Opus Futurus Foundation 100 100 100 100 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) Other (please describe other roles and/or indicate relationship between parties) EFTA01399312 Currency Currency USD USD Acct. Number (if available): The Opus Futurus Foundation owns Ferbel Group of Companies SLU, and Mr. Juan Fernando https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399313 KYC Print Page 5 of 35 Belmont Anderson established the Foundation.;; 6 7 8 9 41! 10 ilgt 11 gift 12 gift 13 iiih Juan Fernando Belmont Anderson Veronica Maria Silva Luna Jesus Armando Lema Hanke Norval Associated S.A. FERNANDO FEDERICO BELMONT DAUELSBERG JANINE MARION BELMONT DAUELSBERG MARION DAUELSBERG EHLERS DE BELMONT Juan Pablo Godoy Fajardo iiih iiifi iiifi Illll Illh Founder of Opus Foundation; Primary decision maker; https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399314 KYC Print Page 6 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Juan Fernando Belmont Anderson - Peru Av Founder & Owner Corporacion Yanbal International Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Father of Janine Belmont and therefore father in law of Gonzalo Aguirre Arriz, one of the founders of Coordinadora Nacional de Independientes, a political party established in Peru. It changed name to Todos por el Peru. To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesl4 No Peru Yesl4 No Chairman 14 Yes No EFTA01399315 Family Friendship 1i None Yes giltNo If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Cosmetics company in Latin America, which follows the Avon business model. Primary Country of source of wealth/source of Funds? Peru Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Goods if! Business Owner glftSalary/Earnings Other: Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399316 KYC Print Page 7 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Mr. Belmont created Corporacion Yanbal International, a cosmetics company in Latin America that follows Avon business model in 1967. Mr. Belmont created a fortune through the company's success in the region. Mr. Fernando Belmont earned a Bachelor's of Arts degree at the University of North Carolina in Chapel Hill. After graduating, his father, who owned a different cosmetics company in Peru, helped him found Yanbal by providing the initial capital necessary when the company was created over 30 years ago in Peru. The company's website is: www.yanbal.com. Since then, the company has grown tremendously holding the second position of market share in this sector after Ebel Limited, which is owned by his brother Eduardo Belmont (also a client of the bank). Unfortunately, due to the competition between their companies, the relationship between the two brothers has suffered and today is not a good one. Yanbal uses a very grassroots approach to grow its business. Individuals can become sales persons of Yanbal by simply ordering their cosmetics and then selling them in their neighborhoods. Individuals can grow in the company by adding other people to their "team," thus receiving commission on their sales as well as those of the team they manage. This approach has allowed the company to grow into a common household name in Latin America like other well-known as brands such as L'Oreal, Avon and Revlon. Today the company remains privately owned. Mr. Belmont is married to Marion Dauelsberg de Belmont, originally from Germany but has lived in Peru for many years. They have two children, Janine and Fernando. Janine earned a Bachelor of Arts (Political Science) from Georgetown University; she is married to Gonzalo Aguirre, resides in Lima, Peru and has two girls and one boy. She started working with Yanbal, Mexico over 19 years ago and then moved to Peru to continue learning about the different areas of the company. About 11 years ago she became the general manager of Yanbal, Peru. Currently she is the acting CEO and her father is the Chairman. His son, Fernando, is married to Andrea Merelo. They live in Peru, most of the time in a province called Piura (north of Lima). Fernando does not have a University degree and doesn't participate in the family business. He is dedicated to surfing. Estimated Annual Income ($): Estimated Net Worth($): 10,000,000.00 $500 MM + Other Known Financial Institutions: EFTA01399317 Institution: Julius Baer Institution: Citibank Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $100 MM - 500 MM 150,000,000.00 Country: Country: Country: Switzerland Est. Assets Under Mgt: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married with 2 children. 100,000,000.00 15,000,000.00 https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399318 KYC Print Page 8 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Veronica Maria Silva Luna Peru Tudela Y Varela #440, Lima Peru Director Cor oracion Yanbal International , San Isidro Peru Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non -banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesillt! No Yes A No Family Friendship 4'1 None Yes JJI No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Peru Yesgq No Director If applicable, indicate which bank officers have met the person: EFTA01399319 Bank Officer Name(s) Nicolas Rueda Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: 4/18/2014 Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399320 KYC Print Page 9 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399321 KYC Print Page 10 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jesus Armando Lema Hanke - Peru Lawyer Corporacion Yanbal, Lema Abo'ados Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesl! No Yes A No Family Friendship A None Yes A No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Peru Yes No Director, Partner If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01399322 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399323 KYC Print Page 11 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399324 KYC Print Page 12 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Astrid Pelaez Sanchez - Colombia General Manager Aromatiss S.A. Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Autopista Medellin km 9,5 Piso 32. Planta Keops Tenjo , Cundinamarca Colombia Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesgq No Yes glitNo Family Friendship *RI None Yes JJI No Colombia YesAft No General Manager If applicable, indicate which bank officers have met the person: Bank Officer Name(s) EFTA01399325 Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399326 KYC Print Page 13 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399327 KYC Print Page 14 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Marc Gerard Blaison - United States United States VP Cosmo Fragances Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) YesgR No Yes gq No Family Friendship gq None Yes gq No France Yesgt! No VP If applicable, indicate which bank officers have met the person: EFTA01399328 Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399329 KYC Print Page 15 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399330 KYC Print Page 16 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: JANINE MARION BELMONT DAUELSBERG - Peru Director Corporacion Yanbal International Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Janine Belmont Dauelsberg's husband, Gonzalo German Aguirre Arriz, was one of the founders of Coordinadora Nacional de Independientes, a political party established in Peru on February 23, 2002. It changed name to Todos por el Peru. To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesl! No Peru Yesl4 No CEO 14 Yes No EFTA01399331 Family Friendship 1i None Yes giltNo If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Cosmetics company Primary Country of source of wealth/source of Funds? Peru Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Goods Business Owner 1! Salary/Earnings Other: Investment)il Inheritance/Gifts https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399332 KYC Print Page 17 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income ($): Estimated Net Worth($): 1,000,000.00 $20 MM - 50 MM Other Known Financial Institutions: Institution: Julius Baer Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $20 MM - 50 MM Janine Belmont Dauelsberg is not a contributor of wealth. She is simply a beneficiary of the Opus Futurus Foundation. All assets have been derived from the wealth of her father, Juan Fernando Belmont Anderson. Please refer to his profile for additional source of wealth information. Country: Country: Country: Switzerland Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married with 3 children; daughter of Juan Fernando Belmont Anderson. 5,000,000.00 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399333 KYC Print Page 18 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: FERNANDO FEDERICO BELMONT DAUELSBERG - Date of Birth: Peru Unemployed Unemployed N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Brother in law of Gonzalo Aguirre Arriz, one of the founders of Coordinadora Nacional de Independientes, a political party established in Peru. It changed name to Todos por el Peru. To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesgq No Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Peru Yes No Unemployed 14 Yes No Family EFTA01399334 Friendship 11 None Yes gill No If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Beneficiary of his father's wealth, derived from the cosmetics industry Primary Country of source of wealth/source of Funds? Peru Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Goods Business Owner Other: Salary/Earnings Investmentgit Inheritance/Gifts https://dbforcepb.my.salesforce com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399335 KYC Print Page 19 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Fernando Federico Belmont Dauelsberg is not a contributor of wealth. He is simply a beneficiary of the Opus Futurus Foundation. All assets have been derived from the wealth of his father, Juan Fernando Belmont Anderson. Please refer to his profile for additional source of wealth information. Estimated Annual Income ($): 25,000.00 Estimated Net Worth($): $1 MM - 2 MM Other Known Financial Institutions: Institution: Julius Baer Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $1 MM - 2 MM Country: Country: Country: Switzerland Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Son of Juan Fernando Belmont Anderson and Marion Dauelsberg Ehlers De Belmont. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration? lid=01N30000000D9Di&... 12/19/2018 EFTA01399336 KYC Print Page 20 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: MARION DAUELSBERG EHLERS DE BELMONT - Peru Av Housewife Housewife N/A Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) Mother in law of Gonzalo Aguirre Arriz, one of the founders of Coordinadora Nacional de Independientes, a political party established in Peru. It changed name to Todos por el Peru. To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesillt! No Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Peru Yesgq No Housewife 1! Yes No EFTA01399337 Family Friendship 1i None Yes giltNo If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Beneficiary of Juan Fernando Belmont's wealth which is derived from the cosmetics industry Primary Country of source of wealth/source of Funds? Peru Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Goods Business Owner ilfq Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399338 KYC Print Page 21 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Mrs. Marion Dauelsberg Ehlers De Belmont is a housewife and her husband Juan Fernando Belmont Anderson, is her main source of wealth. Please refer to his profile for additional source of wealth information. Estimated Annual Income (5): Estimated Net Worth($): $500 MM + Other Known Financial Institutions: Institution: Julius Baer Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $100 MM - 500 MM Country: Country: Country: Switzerland Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to Juan Fernando Belmont Anderson; mother of Fernando and Janine https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399339 KYC Print Page 22 of 35 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Aromatiss S.A.S United States Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) Yesgq No Yes JJI No Family Friendship 11 None Yes n4 No Juan Pablo Godoy Fajardo - Peru Lima Peru Date of Birth: Country of Citizenship: Has client resided outside of his/her country of nationality for 5 years or more? Tax ID / SSN: Position/Title/Rank: Colombia Yes No Legal Representative If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Indicate where and when the client meeting(s) took place: EFTA01399340 Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Summarize Source of Wealth: Business Owner Other: Salary/Earnings Investment Inheritance/Gifts https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399341 KYC Print Page 23 of 35 Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Estimated Annual Income (5): Estimated Net Worth($): Other Known Financial Institutions: Institution: Institution: Institution: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): Country: Est. Assets Under Mgt: Country: Country: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Address (city, street, post code): Colombia Aromatiss S.A.S - Foundation/Association Estate Partnership Purpose of Entity Other (specify): Date of incorporation / registration: Identified in previous KYC Cundinamarca Tenjo Colombia Volcker Flag: EFTA01399342 U.S. TIN/EIN: Trust ilfq Company ilfq Private Investment Purpose of Entity: Philanthropic/Charitable Commercial PIC to purchase property in Colombia 7/8/2011 Yes Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Aromatiss S.A.S is 100% owned by Costmos Enterprises SLU that is 100% owned by Jafer Enterprises R&D SLU that is 100% owned FERBEL GROUP OF COMPANIES SLU that is 100% owned by Opus Futurus Foundation The beneficial owner of the Foundation is Mr. Juan Fernando Belmont Anderson The following are Legal Representative of Aromatiss S.A.S Juan Pablo Godoy Fajardo TAX ID: Astrid Pelaez Sanchez Tax ID: Veronica Silva Luna Tax ID: Marc Blaison Tax ID: Armando Lema Hanke Tax ID: Please indicate how ownership of the legal entity is reflected: Special attention: Bearer Shares - Indicate where shares are custodied: https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399343 KYC Print Page 24 of 35 Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Aromatiss S.A.S is 100% owned by Costmos Enterprises SLU that is 100% owned by Jafer Enterprises R&D SLU that is 100% owned FERBEL GROUP OF COMPANIES SLU that is 100% owned by Opus Futurus Foundation The beneficial owner of the Foundation is Mr. Juan Fernando Belmont Anderson and his family. To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: Colombia 0 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Colombia Goods Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Assets are currently held in the underlying entity Ferbel Group of Companies, S.L.U. acts as the holding company of the group's investments. As of Q2 2015 the company holds approximately $197MM USD in net assets Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: Deutsche Bank Institution: Institution: 24,000,000.00 19,000,000.00 $2 MM - 5 MM 2,000,000.00 Noll Private Investment Company Country: Country: EFTA01399344 Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Type of Entity Other (specify): Country of incorporation/registration: Volcker Status: Panama Opus Futurus Foundation - 00000490287 gq Foundation/Association Estate Partnership Purpose of Entity Other (specify): Date of incorporation / registration: Identified on Customer Profile Volcker Flag: U.S. TIN/EIN: 11/30/2010 Trust Company ilfq Private Investment Purpose of Entity: Philanthropic/Charitable Commercial 827,008.59 No https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&... 12/19/2018 EFTA01399345 KYC Print Page 25 of 35 Address (city, street, post code): 16th Floor, Panama Panama Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: The Opus Futurus Foundation is a private interest foundation established in Panama in 2010. It was formed through Deed No. 25,505 dated November 30, 2010 and registered into Panama's Public Registry on December 1, 2010. Its founder is Norval Associated S.A., a PIC set up by Mr. Juan Fernando Belmont, which is also registered in Panama. The beneficial owner of the Foundation is Mr. Juan Fernando Belmont Anderson, as evidenced by the attached Beneficial Owner Certification. The Foundation's Council is Cygnus Coporation, a company incorporated in Seychelles in March 2010. The Council Members are: - Juan Fernando Belmont Anderson: President - Charles Emmanuel de Bavier - Jesus Armando Lema Hanke - Veronica Maria Silva Luna - Marlene Strutz Recinos - Paul Georg Peter Pagnia The Registered Agent is Morgan & Morgan. Please indicate how ownership of the legal entity is reflected: Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): The beneficiary of the Opus Futurus Foundation is Mr. Juan Fernando Belmont Anderson along with his wife and children, Marion Dauelsberg de Belmont, Janine Belmont Dauelsberg, and Fernando Federico Belmont Dauelsberg To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Private investments Countries where business is transacted: Number of employees: Panama 0 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of EFTA01399346 Funds? Peru Goods Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Assets of Opus Futurus Foundation come from Mafer International Holdings and from Ferbel Group of Companies SL. These two entities derive cash from Corporacion Yanbal International's dividends. Mr. Juan Fernando Belmont Anderson is the owner and Chairman of Corporacion Yanbal International. Please refer to his p