EFTA01364147.pdf

From: Cynthia Rodriguez Sent: 2/9/2018 3:17:4 To: Patrick Campion CC: Dana Ponzio Subject: RUSH EXCO Approval Needed: KYC Case lil Importance: High Classification: For internal use only Hello, I am requesting Exco Approval for a new account opening for current DB 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 account. If yes. please include relationahip Total AUMs $224mn. since date, approx 0 of accounts, AUM. etc.) Legal name of Account The 2017 Caterpillar Trust Holder(s) Name of UBO(s) Jeffrey Epstein (Please include UBOs who own 25% and 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 locatko/ For Entity Accounts: Description of the entity and background information on the U60) 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 PEP (Y/N) Yes, close affiliation to Bill Clinton and Prince Andrew If yes. include details Any negative media Yes and/or court cases? Include ALL negative media .5 court cases If Yes, please give details Aside from the court cases listed in the reason for high risk, all other alerts were false positives and no new court cases or negative media has come up for this CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0054670 CONFIDENTIAL SDNY_GM_00200854 EFTA01364147