EFTA01382027.pdf

K YC Print DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B El Relationship Name EPSTEIN, JEFFREY RELATIONSHIP Risk Rating Comments: Booking Center O NY • • Offshore O Moderate ri i_i High Risk Offshore NY/O Risk (Compliance Signature) O DB Employee O DB Managed PIC DOB is Trustee/Co-Trustee O Bearer Shares 4. Attachments I A Type of Photo ID Provided • Drivers License O Passport O National/State ID ClOther B. Checklist of names (individuals and/or entities) that were submitted for database searches Is attached • Yes • No C. Please indicate the results of the database searches performed RDC searches complete • Yes • No negative results found • Yes O No PCR Checks convlete Oyes O No negative results found • Yes O No OFAC checks complete O Yes O No negative results found N Yes O No BIS searches complete (Lexis/Nexis, Fadiva, Reuters, Dow Jones, 086) O Yes O No negative results found • Yes O No Denial Orders checks complete • Yes • No negative results found • Yes O No Martindale-Hubbell searched (Lawyers/Law Arms only) • Yes • No negative results found • Yes In No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: RDC Alert #1 -- Cleared & APPROVED by Chip Packard, AML Compliance, and Pat Harris PCR Alert It1/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: No negative media D. Court Case -- Not our client. FINANCIAL INFOMATICS INC: No negative media No court cases 3. Epstein & Co. AM Negative Media Is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been closed FINANCIAL TRUST & co RDC/PCR alert Is associated with Southern Ananclal, the company it merged Into. This alert has been cleared by Compliance and is attached Court Cases are dosed E. To the best of your knowledge, has the client ever been convicted of a criminal offense? O Yes • No To the best of your knew/edge, has the customer ever been involved in any past litigation against F Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against Deutsche . Bank AG or any of its subsidiaries? (If Yes, provide details below and contact Quality Mgt. mr Yes O No (Latilm/Int1) or the Regulatory Control Group and now? Compliance immediately) 6. Does the client or related party have any financial or other association / interactions within countries .., or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? orr Yes • No H. Does the dent or related party have any financial or other association/ interactions within high risk m me Yes • No countries? blips: dbforcepb.my.saltsforce.com:...Rveriqb3INeTR5TXpWYSxhWjA IcjIlYllcuaXNvemlMcjRwem I J1.11XWntiNROpo&autoMapValues 117 10 2019 ILIBI7AM) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0081248 CONFIDENTIAL SDNY_GM_00227432 EFTA01382027