EFTA00166934.pdf

KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A KYC Case 1 : 01195147 Stems : 6. Approved One sheet must be established per relationship list all accounts included in the relationshi 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP I Bodong Center: I New York Relationship Manager: Paul Morro 0 New PWM Relabonshp 10 Existing PWM Relabonshp Relationship to PWM: If edging, please indicate since when the relations p exists, provide reason for new profile and attach old profile: Update d approved KYC 1147850 to add Darren Indyke as an authonzed signer. Darren has been approved in KYC #1133377 0 Client Referral I RU RM Prospect II 0 Intermediary/PIM II 0 Other Source (CD3, etc.) How Was the Client(s) Introduced" How long has the Please provide details (e.g. name of referral source, how many years RM personally has known dent, etc.): Jeffrey Epstein RM personally Mown the is a current client of the Bank. Wants to open a new account Introduction detais of Paul and Jeffrey: Jeffrey Epstein was a client' tent of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgari. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank Does Deutsche Bank pay a 0 Yes I D No retrocession or similar compensation to a third party for the introduction of this (1/ Yes, desmbe, relationship' list all existing and new accou is evolved in this relationship Legal Entity Account Name / Number Opening Date (interidecVactual) Amount(s) 1 0 Mod, Inc 11/12/2013 2 2 Mort, Inc — Money Market 11/12/2013 Who is the primary contact person for the RM' (Note: Preferred method of contact This person needs to have Harry Beller (indicate phone no., fax no., senator, rights and/or e-mail address, etc.): information right for the accounts.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0002708 EFFA_00016182 EFTA00166934  KYC Print Page 2 of 14 One sheet must be established for each scooted to be o 2. Account Ownersh p Summary Account Name: Mat, Inc Acct. Number (ifevadable) Account Manager: Paul Moms What s the purpose of the account (e.g. portfolio management, advisory account, custody services, law-term investment, payment/expense account)/ Checkeig account to hold assets fix the company. Indicate from inhere the assets are expected to arrive' • DB Group: Same Booking Center (Indicate account number): 0 06 Group: Other Booking Center (indicate DB location and account details): O Other InstlbAlon (Indicate name & location): )PMorgan. New York O Physical Deposit (specify cash, securities, cheques, ...): What is the expected size and frequency of regular inflows and outflows for the account (Indicate estimated number and volume per month)': Roughly 10 inflows and outflows per month ranging from $1,000 to $10,000 'Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 150000 'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening' Does/wi the client have Assets Under Management (AuM) within DB under Eur. 3M' O Yes 0 No Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to Mks account (> I can be selected). • If none of the check boxes apply, describe the parties relation to the account In the "Other" mint • Always describe the relationship between the pate in the last column. • Please drill down to the ultimate/ nderlyaw Beneficial Owner( ). _eget Description AccountinC Bettor of Jklmate Signatory AmiteciFinancial SgMhcant ..egal Grantor/Setdcrioundmg Other Intitycf Source Molder OwnerTrust / Benefkialor Full ?OA IntermediaryShareholder Representative Donor (please of Wealth Founder of Owner POA (FIM) (>454e) describe required Foundation Non-PIC other roles entity and/cc Parties (indicate indicate related ownership relationship to this %) between account\ oarbes) 1 O O Hain' Seller O OO O a • O O O O 2 2 ort O O 2 InMc Ea O • O O O O O Sertrey in DO 3 lii 2 Epstein J 0 El ll • O • 4 O O IDar ke n`-' O O O 2 O O O O O https://dbforcepb.my. sal esforce.com/seMet/servlet.Integration?lid=01N30000000D9Di&e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002709 EFTA_00016183 EFTA00166935  KYC Print Page 3 of 14 2. Account Ownership Summary Account Name: Mort, Inc — Money Market Acct. Number (I amiable" Account Manager: Paul Morris What is the purpose of the account (e.g. portfolio managern nt, advisory account custody services, long-term investment payment/expense account)' Money Market account to hold assets for the company and to earn interest Indicate from where the assets are expected to arrive? • DB Group: Same Booking Center (indicate account number): O DB Group: Other Booking Center (Indicate DB location and account details): M Other Institution (Indicate name & kcation): )Phlorgan, New York El Physical Deposits (specify cash, securities, cheques, .•.): What Is the expected size and frequency of render inflows and outflows for the account (indicate estimated number and volume p r mcnth)'+: Roughly 1-3 Inflows and outflows per month ranging from $1000 to $10,000 'Currency I USD What is the expected volume of assets and currency for the account approx. 90 days after opening' I 150000 I Currency I USD What 4 the expected volume of assets and currency for the account approx. one year after *Penne Does/we the client have Assets Under Management (AuM) within DB under Eur. 3M! O Yes g No Please list all parties related to the account. For each party: • Check If a source of wealth description is required for the party. • Check the appropriate box to describe the relationsNp of the party to the; account (> 1can be selected). • f none of the check boxes apply, describe the palls relation to the account In the 'Other column. • Alvan describe the relationship between the parties ii the last column. • Please drill down to the ultimate/ nderlYrig Beneficial Owner( ). _egal Description AccounIPIC Settlor of Jltimate Signatory Jmiteciinancial Significant -egal Grantor/Settkrfounding Other Intityof Source Holder OwnerTrust / Benelkialbr Ni ?OA IntemiedlaryStiareholder Representative Donor (please of Wealth Founder of 'Finer POA (FIR) (>=25%) describe requked Foundation Non-PIC other roles entity and/cr Parties (indicate indicate related ownership relationship to this %) between account parties) 1 2 5 mort, Ei O O O • O • O O O Inc Harry ri O O 2 O O ❑ O • O O O O O Beller k—1 Jeffrey n O O 3 O 2 Epstein k--' g 2 O O O O O O 4❑• Darren en O O Indyke " O O DO O • O https://dbforcepb.my. sal esforce.com/seMet/servl et. Integration?lid=01N30000000D9Di &e 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) D6-SDNY-0002710 EFTA_00016184 EFTA00166936  KYC Print Page 4 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownenhin Summa 3A. Individual Details (for all parties) Individuars Name: Jeffrey Epstein - Date of Bete 1/20/1953 Country of Residence: USVI Country of Citizenship: USA Has client resided outside of Litre Salk lames Saint Thomas 00802 US Virgo Wands his/her country of natIOnalky O Yes ?allo Address of primary residence: for 5 years or mete? Profession/Occupation: Self Empotyed Tax ID / 5511: Current Employer Southern Financial LLC Position/Title/Rank: President Address of employer: Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry' a an entity listed on DB-recognised exchange' (Not applicable for operating L.J Yes 0 No nutlet Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O yes 0 No To the best of your knowledge, is the Individual related to an employee of the 06 group'(' D Family 0 Friendship IN None Faint or FnencIsixA describe) To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc ❑O Yes TA No services)'(' Yes, descnbe I If applicable, indicate with bank celkers have met the Indicate where and Wien the client meet4(s) took place: person: Client Prirate Client Place of Bank Officer Name(s) Bank Office: Other locabon (specify): Date: Domicile: Business: Paul Morris O O 0 10/22/3)13 O El O O O u OWealth Debits for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Prwate investments Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds' Surrrnarize Source of Weakly 0 Business Owner O Sa lary/Eamings J Investment O Inheritance/Gifts • Other: Further Descrte Source of Wealth /Detail the history of neath for each of the sources: (e.g. Fee trusts, how did set or &cumulate wealth? For inheritance, how did family accumulate wealth'For business ovmers, how long In business, how many employees, level of profitability' indicate type of business, countries of major activities. important business partners.) Epstein began It financial career in 1976 as an options trader at Bear Steams and became a partners n 1980. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than a billion in net north. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of SL Thomas in the US Virgin Islands. All of his clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stearns and his financial management Rims Estimated Annual Income(S) 10,000,000.00 Estinated amount of investable asseb(S): 550 MM • 100 MN Estimated Net Worth(S): $100 MM - 500 mil Amount of assets planned to invest ioth RW(5): Other Known Financial Institutions: Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002711 EFTA_00016185 EFTA00166937  KYC Print Page 5 of 14 Institution: Country: Est Assets Under Mgt: Institution: Gauntly: Est Assets Under Mgt: Institution: Country: Est Assets Under Mgt: Please indcate the farm?), situation of the indrvidual (marital status, other famty members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002712 EFTA_00016186 EFTA00166938  KYC Print Page 6 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownarshi Summa 3A. Individual Details (for all parties) Individual's Name. Harry Beller - Date of Beth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of Address of pnrnary residence: his/her country of natiOnalty El yes 'IA No for 5 years or mire? Profession/Occupation: Accountant Tax ID / SSfl: Current Employer: HEIRK Associates, Inc Position/Trtle/Rank: Address of employer: Does the person work as senio executive of a CO-recognized regulated entity in the financial ndustry' a an entity listed on OB-recognised exchange' (Not applicable for operating O Yes Wi No nutlet Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O Yes 0 No To the best of your knowledge, is the Individual related to an employee of the 06 group"(r/ 0 Family 0 Friendship Ri None Faint or FnencIsixA describe ) To the best of your knowledge, is the individual party to a non-banking relabonshp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc O Yes rA No services)'at Yes, desrnbe I If applicable, indicate With bank cericers have met the Indicate where and Wien the client meets (s) took place: person: Client Private Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: Paul Morris O O 0 11/4/2013 O ED O O O LI El Wealth Debi. for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Primary Country of source of wealth/source of Funds' Primary industry of source of Wealth/Source of Funds' Summarize Source of Wealth: OBusiness Owner O Salary/Eamings i I Investment O Inheritance/Gifts 00ther: Further Destrke Source of We Rh /Detail the history of weath for each of the sources: (e.g. For trusts, how did settla accumulate wealth' For inheritance, how did family accumulate we Ith'For business 'isomers how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvitles, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets(S): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Insbtubon: Country-. Est Assets Under Mgt Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002713 EFTA_00016187 EFTA00166939  KYC Print Page 7 of 14 Insbtution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (marital status, other family members, etc.): Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SIDNY-0002714 EFTA_00016188 EFTA00166940  KYC Print Page 8 of 14 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership S 3A. Individual Details (for all parties) Individual's Name. Darren Indyke - Date of Birth: Country of Residence: USA Country of Citizenship: USA Has client resided outside of hEpher country of t ationalty El yop 'IA No Address of unman, residence: for 5 years or mete? Profession/Occupation: Lawyer Tax 10 / 5511: Current Employer Southern Financial LLC Position/Title/Rank: Address of employer: 575 Lexington Ave, 4th Fl New York NY USA 10022 Does the person work as senio executive of a 06-recognized regulated entity in the financial ndustry> or an entity listed on CB-recognised exchange' (Not applicable for operating O Yes Who entitles Is the individual a Politically Exposed Person (PEP)'(/ Yes, describe) O Yes W No To the best of your knowledge, IS the Individual related to an employee of the DB groupv(r/ 0 Family El Friendship Ri None Fn)' or (nencIsixA describe ) To the best of your knowledge, is the individual party to a non-banking relabccishp with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods cc El Yes rA No services)'() Yes, desrnbe I If applicable, indicate which bank officers have met the Indicate Mitre and Wien the client meet:4(s) took place: person: Client PrNate Client Place of Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: Business: O O O O El El O O LI El Wealth Debits for this individual are not filled in, because they are the same as for the following person: 3$. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individuals Business: Primary Country of source of wealth/source of Funds> Primary industry of source of Wealbi/Source of Funds' Summarize Source of Weakly D Business Owner O Salary/Eamings II Investment O Inheritance/Gifts 00ther Further Desert! Source of We Rh /Detail the history of weath for each of the sources: (e.g. For trusts, how did set or accumulate wealth' For inheritance, how did family accumulate we Ith>For business onmers, how long In business, how many employees, level of profitability' Indicate type of business, countries of major acbvibes, important business partners.) Estimated Annual Incorne(f): Estimated amount of Investable assets($): Estimated Net Worth(S): Amount of assets planned to invest with PWM(S): Other Known Financial Institutions: Institution: Country: Est Assets Under Mgt: Institution: Country-. Est Assets Under Mgt Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002715 EFTA_00016189 EFTA00166941  KYC Print Page 9 of 14 Institution: Country: Est Assets Under Mgt Please indicate the family situation of the ndividual (marital status, other family members, etc.): One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Enbbes) Legal Entity Name: Mat, Inc - 0 Private Investment • CI Foundation/A:swab«, OTrust R Company ❑ElEstate Type of Entity Purpose of Entity: O Partnership Philanthropic/Charitable 0 Commercial Type of Entity Other Purpose of Entity (specify). Corer (specify): Date of Country of USN 4/12/2011 incorporation / incorwatxinfregistrabon: registration: Volcker Status: Volcker Hag: Address (city, street, post 6100 Red Hook Quarter, 83 St, Thomas 00802 USVI U.S. TIN/EIN: code): Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts/founclabons, include information about revocability,setbor and benefIclarles,etc.: Corporation sate 1000 issued. AI issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner. Please indicate how ownership of the legal entity is reflected: 0 Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain Dan the direct owner of the entity to the ultimate beneficial owner (if not the same persons) To the best of your km:Wedge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or Yes O No services)?: Describe Nature of Entity's Primary Business and Investment Activities Investment holding company. A private company that is used to hold investements that the Nature of the business: sole owner, Jeffrey, would Ike to keep separate from other investments Countries whet business is transacted: USVI Number of employees: 2 3D. Wealth Profile (Only for part es requiring source of wealth description as indicated in Section 2) Printery Country of source of vreakh/source of Funds' Primary Industry of source of Wealth/Source of Funds> Provide Evidence of Corporate Asst (e.g. balance sheet cc equWalent summary of assets/liabeitles): Capital contribution of $1000 from Jeffrey Epstein Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): <51 MM Potential Amount to be Invested with PWM ($): 100,000.00 Other Known Francial Institutions: Institution: JPMorgan Country: USA Est Assets Under Mgt: I 100,000.00 Insbtution: Country: Est. Assets Under Mgt: https://dbforcepb.my.salesforee.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0002716 EFTA_00016190 EFTA00166942  KYC Print Page 10 of 14 Institution: County: at Assets Under Mgt I Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002717 EFTA_00016191 EFTA00166943  KYC Print Page 1 1 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Bookng Center ry ..4 NY O 0 Offshore NrgI HWerat 121High fuse Jacqueline Lightbody NY/Offslxre (Compliance Signature) O DB Employee O DB Managed PIC 17 08 is Trustee/Co-Trustee • Bearer Shares 4. Attachments A. Type of Photo ID Provided 5 Drivers license In Passport • Nabonal/State ID O Other Checklist of names (individualsand/cr entities) that were submitted for database searches is B. El Yes O No attached C. Please Indicate the results of the database searches performed RDC seardies complete @Yes • No negative results found @Yes O No PCR checks complete @Yes O No negative results found 0 Yes O No OfAC checks complete 21Yes • No negative results found O Yes 0 No BIS searches complete (Lexis/Nexis, Footle., Reuters, Dow Jones. Dm 21Yes • No negative results found • US ®No Denial Orders checks complete @Yes Otto negabve results found Oyes ElNo Martindale-Hubbell searched (Lawyers/Law Firms only) 0 Yes tr# No negative results found • Yes 0 No Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377 JEFFREY EPSTEM: KYC Approved and al pertaining documents in case x:1121718 and 01082293 D. HARRY SELLER: KYC approved In case #:01133377 and 01133624 MORT INC: All negative media does not pertan to our client. All court cases do not pertain to our client E To the best of your knowledge, has the client ever been convicted of a criminal offense' @Yes • No To the best of your knowledge, has the customer ever been involved Many past Ibgabon againt F Deutsche Bank AG or any of As subsido nes or is the customer threatening litigation against Deutsche Bank AG or any of its subsidiaries' (if Yes, provide details below and canted Quakly E YtS a No Mgt aetAnlant7) or the Regulatory Control Group andnobly Corrtobnot imnvdieletY) G. Does the client or related party have any financial or other assoclabon / interact:As within countries or regimes sanctioned by the Office of Foreign Assets Control (MC)? ❑ Yes @NO 0 H. Does the client or related party have any financial a other association/ interactions within high 0 yes 2 No risk countries' I. Corporate Documentation Attached (Legal Entities Only) 5 Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No El Net Applicable K. I/ Leis/Nevis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an Engash summary of the nature/content of the non-English Documentation: L Special Risk Factors Does the account have Nexus to Special Risk Counties? OYes No Is ttie account structure unusually complex' https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002718 EFFA_00016192 EFTA00166944  KYC Print Page 12 of 14 Oyes No Is there any inclicabon the client set up a non operabng company expressly for the purpose of transferring shares to third parties, ❑Yes @No Is there any indrcabon bus could be a prohibited business relabonship7 oyes ONO Are the bearer shares identified subject to acceptable controls, ❑Yes EaNo Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002719 EFTA_00016193 EFTA00166945  KYC Print Page 13 of 14 M. Case Comments Created By Date Comments 1 page of DB Certificate of LIG Resoktban with the 2nd that did not list all signers, is acceptable. The only Jacqueline Ugtody W14/114 3:12 PM sevlsion was the 2nd page w*h the cared signers that Is attached separately. ONSHORE APPROVALS Clent Facing Professional (CFP): Paul Morris Signature) 2/24/2014 Saul Moms Office Director/Business Head: Brian M. Biggar (Signature) 2/24/2014 3rian H. Biggar Regional Office Director: (Signature) MIL Business Risk: (Signature) MIL Compliance: (*imbue) Gwen Hill orb/o Janke Franldin Gwen Hill ortalo Janice Franklin 3/14/2014 Jacqueline Ughtbaty Jacqueline Lightbody 3/14/2014 LATAM/INTERNATIONAL APPROVALS Client Facile Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (Gt4TH)/Sub-Market Team Head SMT14): MIL Business Risk: (Signature) an% Compliance: (Signahne) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT• Deutsche Rank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests ofits clients. To do so. Client Facing Professionals)(!) (CFP's) shouldestablish andmaintain business relationships only withpersons who sail* our high standards ofsuitability. background and character. Due diligence obtainedon the client must be appropriately documented by the CFP. It is the responsibility ofCFP'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 dale. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that have followed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PIVMGlobal KYC Policy Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002720 EFTA_00016194 EFTA00166946  KYC Print Page 14 of 14 (1) Client Facing Professionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers. Brokers, Client Managers, etc. Deutsche Bank Americas New York https://dbforcepb.my.salesforce.com/servlet/serviet.Integration?lid=01N30000000D9Di&e... 7/30/2019 CONFIDENTIAL — P