EFTA01253311.pdf

KYC Print Page I of I I DB PWM GLOBAL KYC/NCA: PART A KYC Case * : 01161376 Status : 6. Approved One sheet must be established per relationshi • list all accounts included in the relationshi 1. Relationship Details Relabonship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Paul Morris New Mkt Relationship In Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relations p exists, provide reason for new profile and attach old profile: 0 Client Referral In RM Prospect I O Intermediary/PIM O Other Source (CIB, etc.) How Was the Client(s) Introduced, tow long has the RII personally known the Please provide debts (e.g. name of referral source, how many years ROI personally as known client, etc.): client" works for NES, LLC which is owned by Jeffrey Epstein. Jeffrey introduced to us Does Deutsche Bank pay a • Yes I n No retrocession or similar compensation to a third party for the Introduction of this (ff Yes, describe): relationship' list al existing and new accounts InvoNed In this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) I El and Karyna Studds 12/16p013 2 a and Karyna Shuliak -- Money Market 12/16/2013 who is the primary contact person for the RH' (Note: Preferred method of contact This person needs to have (Mckate Phone no., fax no., signatory rights and/or e-mail address, etc.): information nght for the accounts.): SONY_GM_000398.37 https://dbforcepb.my.salesforCCINErlIDailIJIAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002661 EFTA_00150446 EFTA01253311  KYC Print Page 2 of 11 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: and Karyna Shuliak Acct Number (A available) Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio man ent, advisory account custody servies, long-term Evestnient, payment/expense account)' Checking account for the daily use of and Karyna Indcate from where the assets are expected to arrive O 08 Group: Same Booking Center (indicate account number): 0 08 Group: Other Booking Center (indicate D8 location and account details): 21 Other Institution (Indicate name & baton): Palagan. New York O Physical Deposits (specify cash, secuntes, cheques, ...): What b the expected We and frequency of regular inflows and outflows for the account (indicate estimated number and vokime p r month)': Roughly 10 inflows and outflows per month ranging from $100 to S10,000 What i the expected volume of assets and currency for the account approx. 90 days after I IDDDO I Currency I USO Opening, What i the expected volume of assets and currency for the account approx. one year after 1 10000 ICurrency I USD opening' Does/will the client have Assets Under Management (AuM) within 08 under Ea. 3M' O Yes 10 No Please list all parties related to the account. For each party: • Check d a source of wealth descnption is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1can be selected). • If none of the check boxes apply, describe the party relation to the account hi the 'Other' column. • Always describe the relationship between the parties n the last column. • Please drill down to the ultimate/underlying Beneficiai Owner(s). .epal7escriptice accounWIC Seeks' of Jltimate Signatornimted ancial Significant sgal Grantor/Settiortounding Other Enter/ Source Holder Owneitrust I Reneficia r Full POA ntermediaryShatelsoklercepresattative >once (please of Wealth Founder of anner POA KM) '>=25%) describe required Foundation Ion-PIC other roles entity and/or Parties :radiate ndcate related ownership relatonsnip to this x:") account >arises Karyna mil 1 M IR) • O O 9 O O O O • Mohair I•. 1 2 O El e O D O EJ O O O O O SDNY_GM_00039838 Ilttps://dbforcepb.my.salesforcCaNtaIDEsailiAL000000D9Ditice... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002662 EF1'A_00150447 EFTA01253312  KYC Print Page 3 of 11 2. Account Ownership Summary Account Marne: and Nary ^a Shul ak • - money Market Acct. Number (il avaseaM). Account Manager: Paul Morris What e the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term nvesbnent, payment/expense account), Money Market account to hold their Joint funds and earn interest Indicate from where the assets are expected to arrive, O OS Group: Same Booking Center (indicate account number): O 06 Group: Other Bookng Center (Indicate DB location and account details): tr4 Other Institution (Indkate name & location): 1PHorgan. New York O Physical Deposits (specify cash, securibes, cheques, ...): What s the expected sae and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)': Roughly 1-3 inflows and outflows per month ranging from $100 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after 1 10000 'Currency I USD opening' What is the expected volume of asses and currency for the account approx. one year after 10000 I Currency I USD opening, Does/will the client have Assets Under Management (Aunt) within DB under Eur. 3M7 iii Yes RN° Please Nst all parties related to the account For each party: • Check if a source of wealth description Is required for the party. • Check the appropriate bar to describe the relationship of the party to this account (> Ian be selected). • f none of the check boxes apply, describe the party' relation to the account In the 'Other column. • Alvays describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner( ). ,egal 'Description AccounWIC Sad:ref Jitimate Signatory.imItedIRnancial Significant oegal Grantor/SeWor rounding ther Entityof Source 'loider Owneernat/ Benefklaior Full 'OA Intermediary Sharehoklerkepresentattre Donor ;please of Wealth Founder of 3wner POA (mm) >=2596) describe required Foundation lon-PIC other roles entity and/or Parties Skate imitate related ownership elationship Fo this 36) Setween *count >arks) Karyna Di • • 1 O El St Wyk w O 5 • O O O • 2 O 0 El O O O O O Cl O • • SDNY_GM_00039839 ps://dbforcepb.my.salesforcCLINEJIDatilliAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002663 EFTA_00150448 EFTA01253313  KYC Print Page 4 of 11 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summa 3A. Individual Details (for all parties) Ind/Mugs Name: - Date of Brth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of hls/her country of nabonality ElYrs ®No Address of primary residence: fa S ye.ars or more? Professlon/Occupabon: Tax ID / SSN: Current Employer: NES, LLC PositonMtle/Ranio Address of employer: 6100 Red Hook Quarter, 83 St Thomas USVI 00802 Does the person work as senior executfte of a DEr-recognized regulated entity in the financial ndusbr or an enbty listed on DB-recognised exchange? (Not applicable for operating Ores ON° entitles Is the indrodual a Politically Exposed Person (PEP)'(/ Yes describe) Ores ONO To the best of your knowledge, is the individual related to an employee of the DB group, (rf Fan* at Friendship, desente) Opaffiey OFrlendshlp r. None To the best of your knowledge, is the indrodual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or OYes EA No services)>ff Yes/des-n*6e) If applicable, Indicate winch bank officers have met the Indicate where and when the client meeting(s took place: person: Client Prfrate Client Place of Bank Officer flames) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris • D 74 12,3./2013 n • O r-7 O ri O Wealth Details for this Individual are not filled in, because they are the same as for the fo5croIng person 3B. Wealth Details (Only for parties requiring source of wealth description as mo cated in Se: bon 2) Nature of the Individual's Business: LLC Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: Business owner gi Salary/Earnings • Investment O Inheritance/Gifts L_IOther, I Further Describe Source of Wealth /Detad the history d wealth for each of the sources: (e.g. For trusts, how did settkr accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, howalress, how many employees, level of profitablityi Indicate type of business, counties of major activities, important bus/mess partners.) = works for NES, LLC wt.kt legal address for NES is in the USVI but the home Is located at 9 East 71 st iiiiiieShe makes sure that all operations run smoothly. This account Is not being created to run the household but for and Karyna's personal funds. Estimated Annual Income(S): 150,000.00 Estimated amount of investabk assets(S): <51 MM Estimated Net Worth(S): <$1 MM Amount of assets planned to invest with PWM(S): 20,000.00 Odier Known Financial Institutions: Institutice: I JPMorgan 1Country: NSA 'Est Assets Under Mgt 160,003.00 SDNY_GM_00039840 Imps://dbforcepb.my.salesforcaraNEJIDschilidiA10000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002664 EF1'A_00150449 EFTA01253314  KYC Print Page 5 of I I Ins/Martial: Country: Est Assets Under Mgt: Insbtutlea: Country: Est. Assets Under Mgt: Please Indicate the (amity situation of the Individual (marital status, other family members, etc.): SDNY_GM_0003984 https://dbforeepb.my.salesforeCLINErlIFIEgrbadiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002665 EFTA_00150450 EFTA01253315  KYC Print Page 6 of I I One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Karyna Shullak - Date c( Birth: Country of Residence: USA County of Citizenship: Slovaida Has client resided outside of his/her country of nabonality O yn ®No Address of primary residence: fa 5 years or morel ProfesocinfOccupatien: Student Tax ID/ SSN: Current Employer: N/A Position/Me/Rank N/A Address of employer: Does the person work as sent. executNe el a DEfirecognaed regulated enbty in the financial ndustry' or an enbty listed on DE-recognised exchange' (Not applicable for operating Oyes ®No entities Is the individual a Politically Exposed Person (PEP)>(# Yes, desert.) OYU ONO To the best of your knowledge, is the individual related to an employee of the DB group7(t/ OFamlY OFriendsho r4 None Faint of Therodsho, descnbe) To the best of your knowledge, is the rndreidual party to a non-banking relabonsho with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or [.,_ Yes No servIces)> e Yes,descnbe ) If applicable, Indicate which bank officers have met the Indicate where and %ten the client meetkig(s took place: person: Client Prerate Client Place of Other Bank Officer flame(s) Bank Office: locabon (specify): Date: Deenkile: /Business: Paul Morris • O 74 12e3:2013 LI • O r- 1 Lj O O • Wealth Details for this individual are nct filled in, because they are the same as for the folbwing person: 3B. Wealth Details (Only for parbes requinng source of ‘vealdi description as ridcated in Section 2) Nature c( true Individuals Business: Student Primary County of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds> Summarize Source of Wealth: • Business Omer O Salary/Eamings • Investment OInheritance/Gifts Oahe: Further Describe Source of Wealth /Detai the history of weath for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate we Ith?For business owners, hoer long In business, how many employees, level of profitability> Indicate tyviarnis countries of major actMties, Inportant business partners.) Karyna does not have an inmate of her oval. Her lifestyle is supported by Estimated Annual Income(S): Estimated amount of Investabk assets($): <$1 MM Estimated Net Worth($): Amount of assets planned to Invest with PWM($): Other Known ;uncial Institutions: Insbtution: Country: Est Assets Under Mgt: Insbbsticri: Country: Est Assets Under Mgt: SONY_GM_00039842 https://dbforcepb.my.salesforcaaNtErtpagaliA19000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002666 EF1'A_0015045 I EFTA01253316  KYC Print Page 7 of I I Instdubon Country Est Assets Under hIgt: Please inclicat the family stuabon of the individual (marks] status, other family members, etc.): • SDNY_GM_00039843 hit ps://dbforcepb.my.salesforcaraNtErilEardiAL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) DB-SDNY-0002667 EFTA_00150452 EFTA01253317  KYC Print Page 8 of 1 I DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUWERN FINANCIAL RELATIONSHIP Risk Rating Conimenis: Booking Center El Hy NY/0ffshor E Offshore Risk D wderate 121High Risk (Compliance *nature) 0 DB Employee 0 DB Managed PIC • DB is Trustee/Co-Trustee 0 Bearer Shares 4. Attachments A. Type of Photo ID Provided RI Drivers License 0 Passport 0 National/State ID 0 Other Checklist of names (individuals and/or entities) that were submitted for database searches is B. attached 0 Yes 74 No C. Please Indicate the results of the database searches performed RDC searches complete 121Yes 0 No negative results found 0 Yes RINo PCR checks complete 21Yes 0 No negative results found 0 Yes J No OFAC checks complete .74 Yes 0 No negative results found 0 Yes RINo BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, ChB) gl Yes 0 No negative results found • yes FS No Denial Orders checks complete 12 Yes O No negative results found O Yes 0 No Martindale-Hubbell searched (LawyersAaw Firms only) O Yes El No negative results found Oyes • No Please summarize any negative results from the database searches indicated above: No Negative Media No Court Cases ICARYNA SHUUAK: D. No Negative Media No Court Cases NES, LLC: Previously Mt approved. See Case 1:01141322 for relevant attachments E. To the best of your knowledge, has the client ever been convicted of a criminal offense? 0 Yes RI No To the best of your knoWedge, has the customer ever been involved in any past lidgatbn ageing Deutsche Bank AG or any of its subsidiaries or S the customer threatening litigation against F. • Yes RI No Deutsche Bank AG or any of Its subsidiaries? (7, Yes, prow* details below end contra Quafty Att. (LatAntantl) or the RegulatoryContra/Group endnotify Conweance immediately) Does the client or related party have any financial or other association / interactions within G. countries or regimes sanctioned by the Office of Foreign Assets Control (MAC)? 0 Yes 7. No Does the client or related party have any financial or other association/ Interactkes within high Dyes 74 H. No risk countries? I. Corporate Documentation Attached (Legal Entities 00) 121Yes • No ONot Amicable I. Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No Not Appicable K. If lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-Engfish Documentation: L. Special Risk Factors Does the account have Nexus to Special Risk Countries? O Yes RINo Is the account structure unusually complex? 0 Yes RINo SDNY_GM_00039844 https://dbforcepb.my.salesforca;INErilDrairdiA1000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002668 EFTA_00150453 EFTA01253318  KYC Print Page 9 of 11 Is there any mdcabon the client set up a non operabnd company O Yes EZI No expressly to the purpose of transfernng shares to third parties' Is there any Indication this could be a prohibited business relationship' El yes NO Art the bearer shares identified subject to acceptable centrals' El yes ElNo SONY_GM_00039845 lit t ps://dbforcepb.my.salesforcaINEJIDLNIdiAlL000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002669 EF1'A_00150454 EFTA01253319  KYC Print Page 10 of 11 M. Case Comments Created By Date Comments Janke FrankIn 12/13/1131:27 PM Plea© see KYC 1052293 for information regarding Mr. Epstein, a current PB client. works for NES, LLC and is the . NES, LLC is cnvned by Mr. Epstein, and based on his high irfir mofile, we also gave a high risk to Melisa Venegas 12/13/113 1239 AM k We haven't found any negative Infornatror articles linkingking to Mr. Epstein. This account is not being created to run the household but for lot and Karyna's personal funds. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) 12/10/2013 Paul Flores Office Director/BusIness Head- Brian II. Biggar (Signature) 12/10/2013 Brian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Sgnature) Meese Venegas Mehra Venegas 12'13 2013 MIL Compliance: (Sgnature) 3 Franklin ofo/o J. Lighttiody 3 Franklin citio 3. Llghtbody 12/13:2013 LATAM/ INTERNATIONAL APPROVALS Client Facing Preasional (CFP): (Signature) Accost Manager: (Signature) Global Market Team Head (Signature) (GMT)0/SuMMadet Team Head (94TSO: Mt Business Risk: (Signature) AML Comp n (Sinatuir; PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so, Client Facing Professionalsl(1) (CFP'S) should establish andmaintain business relationships only withpersons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on the client must be appropriately documentedby the CFP. It is the responsibility ofCF7"s to demonstrate that they know their client both at the inception ofa relationship and on an ongoing basis. DECLARATIONFOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge andbeliefthe above information is correct and up to date. I confirm that 1have no suspicions relating to the money laundering or SDNY_GM_00039846 t ps://dbforcepb.my.salesforCQUEJIDErNi (TEA L000000D9Ditice... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED R CRIM. P. 6(e) DB-SDNY-0002670 EFTA_00150455 EFTA01253320  KYC Print Page 1 I of I I unethical activities on the part ofthe client(s) and that I have followedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (CFP is) include: Relationship Managers, Wealth Advisors, Product Officers. Brokers, Client Managers. etc. SDNY_GM_00039847 https://dbforcepb.my.salesforCCINBIDailIJIA10000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002671 EF1'A_00150456 EFTA01253321