EFTA01481894.pdf

USCG Due Diligence Report - Fiduciary DDR Name: The Haze Trust — DDR Status: Process Completed Banker Information Banker: Paul V Morris/JPMCHASE LE/OU: Banker SID: Banker BAC: Banker FNEN: Banker History: 102/29338 N256838 8634--CHBG 99 DM ID Link Information The DM for this DDR is DM Name -JEFFREY E EPSTEIN CAS ID - 9710670708. The following DDR's are associated with this Decision Maker . DDR Name 116 East 65th St., LLC Darren K. Indyke PLLC EMMCAC, LLC Epstein, Jeffrey Financial Trust Company, Inc. Financial Trust Company, Inc. Freedom Air International, Inc. HBRK Associates Inc. Hyperion Air, Inc. I-Correct.com LLC Indyke, Darren K Jege, Inc. LYN & JOJO LLC MAX Foundation New York Strategy Group, LLC Plan D, Inc. The 2007 Jeffrey E Epstein Insurance Trust #2 - November 1, 2007 The 2007 Jeffrey E Epstein Insurance Trust #3 dtd November 1, 2007 The 2007 Jeffrey E. Epstein Insurance Trust #1 Dtd November 1, 2007 The C.O.U.Q. Foundation, Inc. The Haze Trust Trust/Estate Name / Contact Information Banker Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V EFTA01481894 Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Morris, Paul V Security Services Search Date 02/02/2009 10/17/2008 02/08/2004 08/06/2004 03/07/2011 08/11/1999 05/21/2003 03/11/2010 10/17/2008 02/03/2009 01/30/2009 01/15/2010 02/03/2009 07/31/2006 02/08/2004 12/10/2009 04/16/2003 01/30/2009 12/01/2008 12/02/2008 11/25/2008 01/28/2004 Full Legal Entity Name: Legal Entity: The Haze Trust Trust JPMC Internal Use Only EFTA01481895 Trust Tax ID # 137185414 You must ensure that a copy of an IRS application for tax id has been received from the client as evidence per Private Bank Policy. Trust / Estate Situs (Domicile): NY JPM Executor or Trustee? Fiduciary Manager Non 3PM Trustee(s) / Executor(s): Complete this section for Non-JPM trustees / executors. Primary Non JPM Trustee/Executor is an List the following information for the Primary Non 3PM trustee / executor.If an Organization, please list under "Last Name" section and mark "First name" with a dash (-). Last Name : First name : Middle Name/Initial: Address Line 1: Address Line 2: City: State Province: Country: Postal/Zip Code: Contact Phone: Date of Birth :(mm/dd/yyyy) Epstein Jeffrey 6100 Red Hook Quarter B3 xx xx What form of goverment issued identification document did you obtain for the files? Driver's License Tax ID / Social Security Number 090443348 Passport/Drivers License # United States Virgin Islands D/L - DD C-000000029913 - CI - 0000025874 List any additional Non JPM trustees / executors in the following table. Name Date of Birth (mm/dd/yyyy) Darren K. Indyke Grantor of Trust / Estate Assets: List the following information for the grantor. EFTA01481896 Grantor is an If an Organization, Please list the legal name under "Last Name" section and mark "First name" with a dash (-). Is the Grantor Deceased ? Last Name : First name : Middle Name/Initial: Address Line 1: Address Line 2: City: State: Province: Epstein Jeffrey 6100 Red Hook Quarter B3 xx XX St. Thomas Driver's License Form of Govt Issued ID Obtained Passport # / DL # Tax ID New Jerse D/L EFTA01481897 Country: Postal/Zip Code: Contact Phone: Date of Birth : mm/dd/ What form of goverment issued identification document did you obtain for the files? Driver's License If the grantor is deceased, please select "Other" and input a date of death. 090443348 Tax ID / Social Security Number Passport/Drivers License # You must ensure that a copy of an IRS application for tax id has been received from the client as evidence per Private Bank Policy. US Virgin Island D/L - DD - C-00000029913 - CI - 0000025874 List any additional grantors in the following table.If the grantor is deceased, indicate this in the Name field .If an Organization, provide the legal name. Name Date of Birth (mm/dd/yyyy) Beneficiary (-ies): Name Jeffrey Epstein Introduction Information Introduction Type: Specific Information 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 Jeffrey Epstein. Met with Non JPM Trustee(s)/ Executor(s) ? Background / Financial Information Occupation, Business or Employer of Non-JPM Trustee(s)/Executor(s) Profession/Business Type: Trust's/Estate's Value: $ 50.00 (USD millions) Source Of Wealth/Assets of the trust: Other (Provide detailed and specific information) Jeffrey Epstein is a financial advisor - he has made his wealth managing money for wealthy individuals. Relationship to Grantor,Trustee/Executor Self Form of Govt Issued ID Obtained EFTA01481898 Passport # / DL # Tax ID Related Client A/C Other The source of wealth derives from distributions, funding from other sources - personal investments Transaction Profile/Expected Account Activity What is the purpose/intended use of this account? What is the expected source of account funding ? Approximate $ amount to fund the account Checking account for trust. Wire 10,000,000 Please select each "Product Type" that applies. Within each product type, please check ALL transaction types that apply and provide a description of expected account activity. (document expected sources of inflows and destinations of transfers,countries, and types of payors/payees.Include where is the money coming from - example : A specific bank or firm and purpose of specific transactions, if known) Product Type - Select all that apply Transaction Types - Select all that apply and expected activity level ( L = 1-5, M = 6-12, H =>12 transactions per month) Deposit/Current Accounts (Checking, Savings, Money Market) Cash ( withdrawals/deposits) Anticipated $ Amount Totals per month — Please provide at least an estimate Below $10000 EFTA01481899 Check deposits / Check paid - Below $100000 Wire Incoming & Outgoing Internal Transfers Other Please describe in detail expected account activity for this product : Investment Products (Custody,Brokerage,Agency,Margin) Low monthly activity Below $1MM Below $1MM Fiduciary (Investment Mgmt. / Trust) Credit type facilities (Line of Credit, Mortgage, Letter of Credit) Non-JPM Trustee(s)/Executor(s) Checks Date Background Check (Required If Check Carried Out) 04/22/2010 Comments (Required If Check Carried Out) Jeffrey Epstein is an existing client. Darren Indyke is the attorney for Jeffrey Epstein and an exisiting client. Grantor Checks If A Background Check Has Been Carried Out, Then Both The Date Of The Check And Comments From The Findings Of That Check Are Required. At least one Background Check needs to be performed. At least one Background Check needs to be performed OUTSIDE THE MORGAN NETWORK (Third Party Validation) Background Check Date (Required If Check Carried Out) 04/22/2010 Comments Jeffrey Epstein is an existing client. EFTA01481900 Required Security Services Checks Security Search Type: Note for Security Services: Please list any specific search requests/instructions to Security Services here Security Services Information A Security Services Check is REQUIRED for New Clients and Prospects This section to be completed by the Security Services Group: List Individuals and Corporate Entities Investigated: Attachment: Search Type Is Further Review by Banker Require d? Company Information Corporate Records Other Database Searches (RDC/CDC/MIS) Internal Database Search (CSSS/FPS) State Court Searches Federal Court Searches Personal Particulars Publications Regulatory Sanctions OFAC/Control List Search Has this been identified as a Red Dot DDR? : Security Service Details: Banker Response: None Expense No.: 102/29338 Total Costs: Signed by: Dated: Summary Summary Of Findings: Anticipated Product(s) 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 Jeffrey Epstein. Deposits Client Hierarchy Assignments EFTA01481901 GRAY SHADED AREA CONTAINS SPN/CAS ID ASSIGNMENT INFORMATION EFTA01481902 Banker SID Banker BAC: FNEN: N256838 Does the DDR have Multiple Entities? 8634--CHBG 99 No Client Hierarchy and Additional Entity Assignment: Name The Haze Trust Linked to DM Name JEFFREY E EPSTEIN Date of Birth No Tax ID # Existing CAS Id SPN No Contact Information for each entity named within the Client Hierarchy Table: Associated Entity Goverment issued I.D Obtained The Haze Trust Do any of the above entities require a joint SPN? Select Yes, if multiple entities will share the same account (OMNI, CASII or Olympic) Does the DDR have Multiple Owners? No This area is used to document individuals who DO NOT require a new CAS or SPN, but have authority over the entity or entities for which this DDR was created. Individuals documented within the above client hierarchy area do not need to be repeated in this section Name Goverment issued I.D Obtained Tax ID # Date of Birth Tax ID # 137185414 Linking to DM Id 9710670 EFTA01481903 708 CAS ID 0221477308 Citizenship Attention Address Line 1 State Citizenship Zip Address Line 2 Province City Country Approval Information Public/High Profile Figure No High Risk Jurisdiction High Risk Business Is this a Foreign Bank? "Foreign Bank" as defined in the USA PATRIOT Act. Banker: LE/OU: Senior Manager: Paul V Morris/JPMCHASE 102/29338 Mary C Casey/JPMCHASE No No No Annual / Periodic Review Information EFTA01481904 Annual/Periodic Review Due in: 36 months Periodic Review Comments : Temporary Waiver Information Waiver Status: Reason for Waiver: Waiver Requested By: Date of Waiver Request: Approver for Waiver: Waiver Approved On: DDR Complete The Senior Manager is out of the office and the Banker is unable to find another senior manager to approve the DDR. Debra White 04/22/2010 Elizabeth X Hogan 04/22/2010 Banker Approval Information Sponsorship affirmation - Based on my due diligence and the information provided , I approve and accept sponsorship of The Haze Trust — as a Client from inception and throughout the client relationship. Paul V Morris 07/14/2010 03:50:48 PM Senior Manager Approval Information Based on the information provided and the approval granted by Paul V Morris, I approve the acceptance of The Haze Trust — as a Client. Thomas K. Southmayd 07/22/2010 10:26:20 AM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 04/22/2010 Last Modified: 07/22/2010 Submitted: 04/22/2010 11:34:50 AM Audit History 5. Senior Manager Approved on Behalf of Mary C Casey because designated Senior Manager is Senior manager unavailable. performed by: Thomas K. Southmayd on: 07/22/2010 10:26:26 AM 4. 'Banker Approval' performed by: Paul V Morris on: 07/14/2010 03:50:54 PM 3. Button: 'Approve Waiver' performed by: Elizabeth X Hogan on: 04/22/2010 11:44:18 AM 2. Button :'Request Waiver' performed by: Debra White on: 04/22/2010 11:36:05 AM 1. Submitted for Banker Approval performed by: Debra White on: 04/22/2010 11:34:51 AM Converted Tracking Document History: EFTA01481905 By: Debra White By: Thomas K. Southmayd By: Debra White EFTA01481906