EFTA01382243.pdf

Deutsche Bank Trust Company Americas Deutsche Bank Wealth Management P rk A n 4th Fl 10154-0004 New York. NY. USA From: Cynthia Rodriguez Sent: Friday, February 09 2018 3:18 PM To: Patrick Campion Cc: Dana Ponzio < Subject: RUSH EXCO Approval Needed: KYC Case 01898372 [I] Importance: High Classification: For Internal use only Hello, I am requesting Exco Approval for a new account opening for current OS client Jeffrey Epstein. RM Name Stewart Oldfield Business Line US Onshore GCIS # / KYC # New or Existing Existing relationship since 8/26/2013. A total of 30 deposit accounts and 3 money Relationship? market accounts for multiple entities, 5 brokerage accounts and 1 custody If yes. please include relationahip account. Total AUMs $224mn. since date. approx # of accounts. AUM. etc.) Legal name of Account The 2017 Caterpillar Trust Holder(s) Name of UBO(s) Jeffrey Epstein (Please include U803 who own 25% end more: If there are multiple layers. please include description of ownership structure) Description of Type of We are opening a deposit account for The 2017 Caterpillar Trust. The account will account being opened be used to pay annual annuity payments with detailed purpose of the accounts (Please include SOW information/ Geographic location/ For Entity Accounts: Description of the entity and background information on the U80) Reason for High Risk This relationship is deemed high risk due to multiple court cases on Jeffrey Epstein, involving 22 April 2004 SEC filed a settled civil fraud action for illegal insider trading in three publicly traded Massachusetts banks. Final judgement permanently enjoins him from violating the antifruad provisions and he agreed to pay a total of $72532.06 in disgorgement of trading profits. prejudgment interest and civil penalties. Epstein was sentenced to 21 months in federal prison for three counts of fraud, sexually assaulting a girl and solicitation of prostitution. These alerts were previously approved by senior management and AML Compliance. Prior clearance is attached as a reference CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081525 CONFIDENTIAL SDNY_GM_00227709 EFTA01382243