EFTA00167023.pdf

KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A KYC Case it : 0146973S Slates : 6. Approved One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP:0000O4,43290 goolorrg Center: New York Relationship Manager: Paul Morris O New PM Relabonshp O Existing PWM Relationship Relationship to MUM: If existing, please indicate since when the relations p exists, provide reason for new profile and attach oid profile: The account was closed due to nacbvty. To reopen the account NOG needs an updated KYC. 5 Client Referral O RM Prospect O Intermediary/FBI O Other Source (CIII, etc.) HOW Was the Oient(s) Introduced' How long has the RM personally Mown the Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein chent" (President of Gratitude America) is a current client of the bank Does Deutsche Bank pay a • Yes I MI No retrocession or similar compensation to a thkd party for the introduction of this (if Yea, describe) relabonshp' List all existing and new accou is nvolved in this relationship Legal Entity Account Name / Number Opening Date (Intended;actual) Account(s) 1 RI Mat, Inc 11/12/2013 2 M Mod, Inc.. Money Market 1C.12/2013 Who is the primary contact person for the ftM≥ (Note: Preferred method of contact This person needs to have (indicate phone no., fax no., signatory rights and/or e-mail address, etc.): hformation right for the accounts.): 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002797 EFTA_00016271 EFTA00167023  KYC Print Page 2 of 12 One sheet must be established for each account to be opened 2. Account Ownersti p Summary Account Name mon, Inc Acct. Number (davadablel Account Manager: Paul Morro What is the propose of the account (e.g. portfolio management, advisory account custody services, long-term investment paymentiexpense account)) Checkng account to hold assets for the company. Indicate from where the assets are expected to arrive' O DB Group: Same Booting Center (indicate account number): 0 Ds Group: Other Booking Center (Indicate DB locabon and account details): a Other Institution (Indicate name & location): IPMorgan. New York El Phyvcal Deposils (specify cash, securities, cheques, ...): What is the xpected size and frequency of regular inflows and outflmvs for the account (indicate estimated number and volume per month)' Rough', 10 inflows and outflows per month ranging from $1,000 to $10,000 I Currency I LW What's the expected vs:Some of assets and currency for the account approx. 90 days after opening' I 150000 'Currency I LSD What is the expected volute of assets and currency for the account approx. one year after openings Does/wi the client have Assets Under Management (AuM) within DB under Ew. 3PI7 U Yes Milo Please Ilst 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 We relationship of the party to this account (> I can be selected). • If none of the check boxes apply, describe the pastys relation to the account In the "Other" column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultmate/ nderlYng Beneficial Owner( ). _egal Oescnption AccountPIC ISettior of Jitimate SignatayAmttectinancial Sspilicant .egal trrantor/SeftkrioundngOther inbtyof Source Molder OwnerTrust / Beneficialbr Fun ?OA IntermediarySharehoklertepresentative Donor please of Wealth Founder of Owner POA (AM) (>•2596) descnbe required Foundation Non-MC other roles entity Parties (indicate na.cate related ownership eanonshl to Om %) between 'account barbes) 0 O O Inc ' O O O O O O O • O Jeffrey ri O O 2 O Ea Epstein " El 0 O O O O O 3 • • Darren n O O I, fi t " • a O • • O O Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002798 EFTA_00016272 EFTA00167024  KYC Print Page 3 of 12 2. Account Ownership Summary Account Name' Mort, Inc — Money Market Acct. Number MI ave.,:able Account Manager: Paul Moms l'.'hat is the purpose of the account (e.g. portfolio management. advisory account custody services, long-tenn investment, payment/expense a«ount)'r Money Market account to hold assets for the company and to earn interest. Indicate from where the assets are expected to arrive' El DB Group: Same Booking Center (indicate account number): Li 06 Group: Other Booking Center (indicate DEI location and account details): gi Other Institution (Indicate name & location): )PMorgan, New York O Physical Deposits (specify cash, securities, cheques, ...): What is the expected size and frequency of regu/ar inflow s and outflows for the account (indicate estimated number and volume per mouth)',: Roughly 1.3 inflows and outflows per month ranging from $1000 to $10,000 I Currency I USD What s the expected volume of assets and currency for the account approx. 90 days after opening' I HO SC I Currency what's the expected volume of assets and currency for the account approx. one year after opening' I USD Does/wil the client have Assets Under Management (AuM) within DO under Eur. 3M' OYes rf 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 relationsHp of the party to this account (> 1can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Alvays describe the relationship between the parties in the last column. • Please drill dorm to the ulbrnate/ nderlying Beneficial Owner( ). _egabescription AccounWIC tettlor of Jitimate SignatcryirritedRnancial Significant -egal Grantor/Setbcrfoundng Other Mayor Source Molder Ownertnat / Beneficiabor Ful ADA IMemsecharyShareholder Representative Donor (please of Wealth Founder of Teter POA (FIN) (>=25%) describe reputed Foundation Non-PIC ter roles entity and/pr Parties (indicate militate related ownership relationship to this %) between accourd wales) Mort. 0Do 1 5 El Inc D U O. 0 • • D U Jeffrey . O 2 O a Epstein ri k-1 a a O • O D O 3 • O Wren O Wyatt O O • J O O • O O 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002799 EFTA_00016273 EFTA00167025  KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Somme 3A. Individual Details (for all parties) Indtviduars Name: Jeffrey Epstein - 00000483289 Date of Bete 1/20/1953 Country of Residence: USVI Country of Citizenship: USA HIS dent resided outside of Lae Sant lames Saint Thomas 00802 US Virgo Wands his/her country of natiOnalky O Yes ?allo Address of primary residence: for 5 years or mete? Profession/Occupation: Self Empotyed Tax ID / SSW Current Employer Southern Financial LLC Pose:Ion/We/Rank: President Address of employer: Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry' or an entity listed on DB-recognised exchange' (Not applicable for operating LI yes 0 No nutlet Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O Yes 0 No To the best of your knowledge, IS the Individual related Wan employee of the 08 group/(r/ 0 Family 0 Friendship eg None Faint or FnencIsixA describe) To the best of your knowledge, is the individual party to a non-banking retabonsh0 with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or O Yes fl No services)'at Yes, descnbe I If applicable, indicate which bank officers have met the Indicate where and Wien the client meet4(s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other location (specify): Date: Domicile: Business: Paul Morris O O 0 10/22/2013 O ED O O O LI OWealth Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for padres requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Private investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Surrrnarize Source of Weakly 0 Business Owner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Dewitt Source of Wealth /Detail the history of neath for each of the sources: (e.g. For trusts, how did senior accumulate wealth? For inheritance, how did family accumulate weakh'For business ovmers, how long In business, how rainy empl0yees, level of profitability' Indicate type of business, countries of major activities. important business partners) Epstein began It financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial management firm, 3. Epstein & Co., managing the assets of clients with mere than a billion in net north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management Rims Estimated Annual Income(S) 10,000,000.00 Estenated amount of investable asset.(S): 550 MM • 100 MM Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest wed RW(5): Other Known Financial Institutions: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002800 EFTA_00016274 EFTA00167026  KYC Print Page 5 of 12 Institution: Country: Est Assets Under Mgt: Institution: Gauntly: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Please indcate the farm?), situation of the indrvidual (marital status, other famty members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002801 EFTA_00016275 EFTA00167027  KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownushin S 3A. Individual Details (for all parties) Individuars Name. Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of his/her country of natIOnally El yea 'fa No Address of primary residence: for 5 years or mete? Profession/Occupation: Unger Tax ID / 5511: Current Employer Southern Financial LLC Pose:Ion/We/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senio executive of a DE -recognized regulated entity in the financial ndustry> or an entity listed on C8-recognised exchange> (Not applicable for operating O Yes Wino entitles Is the individual a Politically Exposed Person (PEP)>(/ Ye4 describe) O Yes S6 No To the best of your knowledge, IS the Individual related Wan employee of the D8 group, (rt 0 Family 0 Friendship Ri None Fn)' or (nencIsixA describe ) To the best of your knowledge, is the indndual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc El Yes rA No services) vaf Pas, describe I If applicable, indicate which bank officers have met the Indicate Mitre and Wien the client meet:4(s) took place: person: Client Prtrate Client Place of Bank Officer Hornets) Bank Office: Other Location (specify): Date: Domicile: Business: O O O O O O O O u OWealth Debits for this individual are not filled in, because they are the same as for the following person: 38. 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: D Business Owner O Salary/Eamings Investment O Inheritance/Gifts DOther II Further Deseret Source of We MI /Detail the history of swath for each of the sources: (e.g. For trusts, how did settler accumulate weal h> For inheritance, how did family accumulate we Ith>For business owners, how long In business, how many employees, level of profitability> Indicate type of business, countries of major acbvities, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country-. Est Assets Under Mgt 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002802 EFTA_00016276 EFTA00167028  KYC Print Page 7 of 12 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the lidividual (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 Enbties) Legal Entity Name: Mat, Inc - 00000487266 0 Private Investment • Type of Entity El FoundatioNAssociatm D Trust R Company ❑C3Estate Purpose of Entity: O Partnership Philanthropic/Charitable 0 Commercial Type of Entity Other Purpose of Entity (specify). aver (specify): Date of Country of USN 4/12/2011 incorporation / incorporatxotregistrabon: registration: Volcker Status: Volcker Hag: Address (city, street, post 6100 Red Hook Quarter, 83 St, Thomas 00802 USVI U.S. TIN/EIN: 66-0765963 code): Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/foundabons, include information about revocability,seMor and beneficiarles,etc.: Corporation sate 1000 issued. AI issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please indicate how ownership of the legal entity is reflected: 0 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) To the best of your knovdedge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes O No services)?: Describe Nature of Entity's Primary Business and Investment Activities Investment holding company. A private company that b used to hold investements that the Nature of the business: sole owner, Jeffrey, would Ike to keep separate from other investments Countries where business is transacted: USVI Number of employees: 2 3D. Wealth Profile (Only for part es 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> Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of aSSeS/liabdit/eS): Capital contribution of $1000 from Jeffrey Epstein Estimated gross receipts M($): Estimated net profit ow: Estimated investable assets ($): <51 MM Potential Amount to be Invested with PWM ($): 100,000.00 Other Known Francial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: I 100,000.00 Insbtution: Country: Est. Assets Under Mgt: 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002803 EFTA_00016277 EFTA00167029  KYC Print Page 8 of 12 Institution: County: Est Assets Under Mgt I Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002804 EFTA_00016278 EFTA00167030  KYC Print Page 9 of 12 DB PWM GLOBAL ICYC/NCA: US/LatAm/Infl PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center Fr NY .4 C Offshore l ziil modal° Si High Risk jGwen Hill NY/Offshcre isk (Compliance Signature) O DB Employee O DB Managed PIC • DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provided 7.4 Drivers License 7.4 Passport • flabonal/State ID O Other Checklist d names (individuals and/cr entities) that were submitted for database searches is B. attached •14 Yes O No C. Please Indicate the results <I the database searches performed RDC searches complete RI Yes O No negative results found • Yes 0 No PCR checks complete 2 Yes O No negative results found 0 Yes O No OFAC checks complete 2 Yes N No negative testa found • YeS 0 No BIS searches complete (Lexis/Nexis, Pasties, Reuters, Dow Jones, MI 121Yes • No negative resuRs found • Yes 0 No Denial Orders checks complete L'a Yes 0 No negative results found M Yes @No Martindale-Hubbell searched (Lawyers/Law Firms only) 0 yes 2 No negative results found • Yes 0 No Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved In case #1133377 Negative media: only references Darrel briefly as a lawyer who helped subdivided a townhouse. JEFFREY EPSTEIN: KYC Approved and all pertaining documents in case I:1121.718 and 01082293. In the attached legal proceedings, one is a false postive for Jeffrey S. D. Epstein (not Jeffrey E. Epstein) and the other contains no new information. The case relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KYCs. MORT INC: All negative media does not pertain to our client. MI court cases do not pertain to our client E. To the best of your knowledge, has the client ever been convicted of a criminal offense' Yes O No To the best of your knowledge, has the customer ever been involved in any past Itigabon against Deutsche Bank AG or any of ts subsidiaries or is the customer threatening litigation against F. Deutsche Bank AG or any of ts subsidiaries' of yes, peewee details beicav and eenlad Qualify 0 Yes @ No Milt an'IntanfVor the Redrifatory Control Group andnotify Corrpione• immediately) Does the client or related party have any financial or other association / interactions within G. countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes RI No any &NOS' or other association/ interactions within high H. Does the client or related party have ra M Yes MI No risk countries' I. Corporate Documentation Attached (Legal Entities Only) 2 Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) O Yes • No 74 Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary/the nature/contents of the nomEnglish Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Counties? O Yes 2 No Is the account structure unusualy complex' 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002805 EFTA_00016279 EFTA00167031  KYC Print Page 10 of 12 Oyes No Is there any inclicabon the client set up a non operabng company expressly for the purpose of transferring shares to third parties, ❑Yes @No Is there any indrcabon bus could be a prohibited business relabonship7 ❑ yes Elio Are the bearer shares identified subject to acceptable controls, ❑Yes EaNo Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002806 EFTA_00016280 EFTA00167032  KYC Print Page 11 of 12 PA Can Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 10/512015 Paul Morris Office Director/Business Head: Andrew F Gallivan (Signature) 10/5/2015 Andrew F Galivan Regional Office Director: (Signature) MIL Business Risk: (Signature) AML Compliance: (Signature) Drnutra Manley Dirritra Manley 10/5/2015 Gwen Hill Gwen HUI 10/5/2015 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CEP): (Signature) Account Manager. (Signature) Global Market Team Head (Signature) FGMTH),Sub-Market Team Head Sf1TH) AML Business Risk: (Signature) ANL Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENn Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionals1(I) (CEP is)shouldestablish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, background and character. Due diligence obtainedon the client must be appropriately documented by the CFP. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepan ofthe client(s) and that I have followed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CPT's) include: Relationship Managers. Wealth Advisors. &Mg? Officers. Brokers. Client Managers, etc. s https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002807 EFTA_00016281 EFTA00167033  KYC Print Page 12 of 12 I Deutsche Bank Amerkas New York nil I 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002808 EFTA_00016282 EFTA00167034