EFTA01480771.pdf

Client known to whom (JPMorgan employees), how well, and Chant has been asked to exit the firm - In progress. how long: Overall PEUPWM relationship size and type of accounts: Chant has been asked to exit the firm • in progress. Is this a shared client, what other LOB has a relationship with Client has been asked to exit this rum - in progress 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 Client has been asked lo exit the firm - in progress. reason for the meeting? Describe any significant changes in the client's information Client hes been asked to exit the firm - in progress. 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 has been asked to exit the firm - in progress. period reviewed and explain the purpose I use of the funds: Wire Activity: Summarize client wire activity during the Client has been asked 10 exit the firm - in progress. period reviewed and explain the purpose I use of the funds, 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? Was the nature, value, and volume of actual transaction Yes activity consistent with expected transaction activity? Was any unusual or potentially suspicious transaction No activity detected? Additional Comments Client aelNity related to exiting assets and accounts from JPX." PB at request of sr mpmt. Expected Activity Deposit Accounts) Transaction Types Expected Activity Levels Anticipated Dollar Amount Totals per Month Cash Deposes Low (I 10; <S10.000 Cash Withdrawals Low (1-10) <$10.000 Cheek Deposits Low (1-10) $10000 TO 550.000 Checks Paid Low (1-10) 510.000 TO 550.000 Incoming Wires (Domestic) Low (1-10) 550.001 70 5100.000 Outgoing Wires (Domestic) Low (1.10) $50.071 TO 5100.000 incoming Wires (Intemationai) Outgoing Wires (Intomational) ACH Deposits ACH Payments Internal Transfer (Debits/Credits) Low (1.10) $50.001 TO $100.000 Asset Purchases/Sales What Is the Initial/ongoing source of fund ng for the client's Deposit Accoungs)? Initial funding amount 10.000.000 wire and the ongoing will come from his personal account at the the PEI What is the purposenntended use of account(s)? Please provide a detailed description of how the Deposit Accoungs) will be used by the client. The purpose is to have a checking account for trust to pay any expenses the trust incurrs. Review the activity for the period overall and explain how the client's transaction profile agrees with or doesn't agree with expectations for the client based on the client relationship (purpose of accounts, occupation, business activity, etc.): Low rnonthy activity. Was expected activity for the client modified in the transaction activity section of the KYC ticket? Yes II modified, explain. Lowered the oxpocled activity level Additional Client Information Please include any additional information that would further explain your knowledge of the client (family tree/history, public information welnites. etc. This is another part of an existing client relationship with Jeffrey Epstein. The client has requested the opening of a checking account for trust This trust is for the benefit of ' E•• sin. Comment History Creation Date Entered B Comment Preview CEO • royal 11/27/2013 11 03 AM JOHN R DUFFY a•,. eyed to facilitate client exit Approval History 121=1211111Si noff Date Owner SID Owner Name Confidential Treatment Requested by JPM-SDNY-00002992 JPMorgan Chase CONFIDENTIAL SDNY_GM_00272190 EFTA01480771