EFTA01388002.pdf

DB PWM GLOBAL KYC/NCA: US/ LatAm/I nt'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments Booking Center iii. NY ['Offshore D Moderate W High Rsk NY; Offshore Risk (Compliance Signature) L... DB Employee G 08 Managed P C n DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments rii R._Drivers License g. Passport El National, • r A Type of Photo ID Provided a Darren Ind ke 8 Richard Kahn GCIS 486405 KYC a Checklist of names (individuals a nclior entities) that were submitted for B searches is attached WYes 11 No C Please indicate the results of the database searches performed RDC searches complete W Yes GNO negative results found 621 Yes El No PCR checks complete W Yes E No negative results found W- .4 Yes El No OFAC checks com plete WI yes E. . No negative results found Ekes Fli No BIS searches complete (LexisfNexis. Factiva, Reuters. Dow Jones, 086) W) yes G No ne alive results found W.i Yes CI No Denial Orders checks complete g yes 0 No negative results found 0 Yes 66 No Martindale•Hubbell searched (Lawyersaaw Firms only) W Yes 7 No negative results found 0 Yes ct.i No D Please summarize any negative results from the database searches indicated above: Harry Beller: - No negative media • Harry Beller is the plaintiff in the court case. also it has been disposed - No negative media • No court cases Butterfly Trust. - No negative media - No court cases Imilimedia • No court cases Jeffrey Edward Epstein: - Negative media relates to the sex offence in the past which are already cleared (KYC 0 - 01790655) - Court cases relates to Jeffrey's sex offence in the past which IS already cleared, another is a recent ongoing civil lawsuit pertaining to fraud, but part of normal business operations for this client And in one of the case he's neither defendant nor plaintiff He's just named as a respondent and the case is immaterial in nature • Criminal Filings relates to sex offence which is already cleared in the past • RDC alert found • Sex offences in the past which has been cleared • Clearance attached. • No negative media - No court cases Darren Indyke. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0091311 CONFIDENTIAL SDNY_GM_00237495 EFTA01388002