EFTA01404045.pdf

KYC Print Page 1 of 10 DB PWM GLOBAL KYC/NCA: PART A KYC Case # : 01121881 One sheet must be established per relationship list all accounts included in the relationship 1. Relationship Details Relationship Name: Relationship Manager: EPSTEIN, JEFFREY RELATIONSHIP:00000483290 Paul Morris H I I I New PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: II I Client Referral How Was the Client(s) Introduced? How long has the RM personally known the client? II III I RM Prospect IIII Intermediary/FIM IIII I Other Source (CIB, etc.) Please provide details (e g. name of referral source, how many years RM personally has known client, etc.): Jeffrey is a current client of the bank. These are new accounts. Introduction of Paul and Jeffrey: Jeffrey Epstein was a client of Paul's at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them while Paul was at JPMorgan. Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to JPMorgan Does Deutsche Bank pay a retrocession or similar compensation to a third party for the introduction of this relationship? I II Yes I (If Yes, describe): List all existing and new accounts involved in this relationship Legal Entity Account(s) 1 EFTA01404045 2 MI II I Account Name / Number Jeepers Inc Jeepers Inc Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): Opening Date (intended/actual) 9/18/2013 9/18/2013 Jeffrey Epstein Preferred method of contact(indicate phone no fax no., e-mail address, etc.): Hill I No NI I Existing PWM Relationship Booking Center: New York Status : 6. Approved https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404046 KYC Print Page 2 of 10 One sheet must be established for each account to be opened 2. Account Ownership Summary Account Name: Account Manager: Jeepers Inc Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for Jeepers Inc daily liquidity needs. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): 11 What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 5-10 inflows and outflows per month ranging from $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 25,000 50,000 Currency Currency 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 this account (> 1 can be selected). I If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity EFTA01404047 Description of Source of Wealth required Parties related to this account 1 II Ill OE I II IV ill 2 IROI Mil l s Inc lleiliii lohim Iloi III I III IIIIII IiinfieriEllitirIviv III mom loHIvill m III Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD USD Acct. Number (if available): Other (please describe other roles and/or indicate EFTA01404048 relationship between parties) https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404049 KYC Print Page 3 of 10 2. Account Ownership Summary Account Name: Account Manager: Jeepers Inc Paul Morris What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Money Market account to hold Jeepers Inc's cash. Indicate from where the assets are expected to arrive? DB Group: Same Booking Center (indicate account number): DB Group: Other Booking Center (indicate DB location and account details): Other Institution (Indicate name & location): JPMorgan Chase. New York, NY Physical Deposits (specify cash, securities, cheques, ...): I II What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 1-2 inflows and outflows per month ranging from $1,000- $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? What is the expected volume of assets and currency for the account approx. one year after opening? 50,000 150,000 Currency Currency 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 this account (> 1 can be selected). I If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. I Please drill down to the ultimate/underlying Beneficial Owner(s). Legal Entity Description EFTA01404050 of Source of Wealth required Parties related to this account I 11111111 Account Holder PIC Owner Settlor of Trust / Founder of Foundation Ultimate Beneficial Owner Signatory or Full POA Limited POA Financial Intermediary (FIM) Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) USD USD Acct. Number (if available): Other (please describe other roles and/or indicate relationship between EFTA01404051 parties) https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404052 KYC Print Page 4 of 10 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: Country of Residence: Address of primary residence: Profession/Occupation: Current Employer: Address of employer: Jeffrey Epstein - 00000483289 USVI Litte Saint James Saint Thomas 00802 US Virgin Islands Self Empolyed Southern Financial LLC 6100 Red Hook Quarter B3 St. Thomas USVI 00802 Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) To the best of your knowledge, is the individual party to a non-banking relationship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)?(if Yes,describe ) If applicable, indicate which bank officers have met the person: Bank Officer Name(s) Paul Morris II Yes Family Yes HI II No alb I Friendship I[ II I No Indicate where and when the client meeting(s) took place: KOffice: IOU IOU Client Private EFTA01404053  icile: Client Place iness: uT f Wealth Details for this individual are not filled in, because they are the same as for the following person: 3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: Summarize Source of Wealth: investments Other Location (specify): Date: 8/7/2013 HRH None Tax ID / SSN: Position/Title/Rank: President Date of Birth: Countr of Citizenship: USA Business Owner Salary/Earnings Investment Inheritance/Gifts Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Epstein began his financial career in 1976 as an EFTA01404054 options trader at Bear Stearns and became a partneri 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 worth. In 1996, Epstein changed the name of his firm to The Financial Trust Company and based it on the island of St. 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 firms Estimated Annual Income (5): 10,000,000.00 Estimated Net Worth($): $100 MM - 500 MM Other Known Financial Institutions: Estimated amount of investable assets($): Amount of assets planned to invest with PWM($): $50 MM - 100 MM https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404055 KYC Print Page 5 of 10 Institution: JPMorgan Chase Country: Institution: Institution: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Single 20,000,000.00 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404056 KYC Print Page 6 of 10 One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary 3C. Legal Entity Details (For all Legal Entities) Legal Entity Name: Type of Entity: Jeepers, Inc - MOH I Foundation/Association IIDI iiiII Company IIIOI Estate Partnership Type of Entity Other specify): Country of incorporation/registration: Address (city, street, post code): United States Virgin Island Pur ose V of Entity: Purpose of Entity Other (specify): Date of incorporation / registration: 6100 Red Hook Quarter B3 St, Thomas 00802 USVI U.S. TIN/EIN: 8/18/2003 Private Investment Philanthropic/Charitable Commercial 66-0629193 Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Jeffrey Epstein is the sole shareholder of Jeepers Inc Please indicate how ownership of the legal entity is reflected: 1,000 shares of common stock are solely owned by Jeffrey Epstein MOH I Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Jeffrey Epstein is the sole EFTA01404057 shareholder of Southern Trust Company, Inc To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)? Yes MI Hi I No III II Describe Nature of Entity's Primary Business and Investment Activities Nature of the business: Countries where business is transacted: Number of employees: USA, USVI 3 3D. Wealth Profile (Only for parties requiring source of wealth description as indicated in Section 2) Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): Jeepers Inc was started to hold the personal investments of Jeffrey Epstein. The company began with 1,000 shares of common stock at no par value. Its revenue comes from the gains of the investments it holds. Estimated gross receipts p.a.($): Estimated net profit p.a. ($): Estimated investable assets ($): Potential Amount to be invested with PWM ($): Other Known Financial Institutions: Institution: JP Morgan Chase Institution: Institution: 400,000.00 200,000.00 $20 MM - 50 MM 200,000.00 Jeepers Inc is a private company that holds investments of its owner, Jeffrey Epstein. Country: Country: Country: USA Est. Assets Under Mgt: Est. Assets Under Mgt: Est. Assets Under Mgt: 28,000,000.00 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404058 KYC Print Page 7 of 10 https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404059 KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B Relationship Name Booking Center EPSTEIN, JEFFREY RELATIONSHIP NY DB Employee NY/Offshore Offshore DB Managed PIC Moderate II II I I High Risk Gwen Hill (Compliance Signature) IIII DB is Trustee/Co-Trustee 4 Attachments A Type of Photo ID Provided B Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete PCR checks complete OFAC checks complete BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) Denial Orders checks complete Martindale-Hubbell searched (Lawyers/Law Firms only) II I Drivers License Passport National/State ID Other 10 I II No Yes No II II negative results found Yes No II II negative results found EFTA01404060  IIYesNoll negative results found IIYesNoll negative results found IIYesNoll negative results found I Yes negative results found Please summarize any negative results from the database searches indicated above: D JEFFREY EPSTEIN: Jeffrey was approved in KYC #01082293 His PCR/RDC alerts and clearances and all documentation is contained in the above mentioned KYC JEEPERS, INC No Negative Media All court cases are not our client. The court cases refer to a Jeepers Inc in Arizona and one in North Carolina. Our client is based in the US Virgin Islands E. To the best of your knowled e, has the client ever been convicted of a criminal offense? Yes IIIIIII'IIII1 No F To the best of your knowledge, has the customer ever been involved in any past litigation against 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. (LatAm/Int'l) or the Regulatory Control Group and notify Compliance immediately) G 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)? H. Does the client or related party have any financial or other association/ interactions within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) J. Undisclosed Principal Form Complete (Intermediaries Only) NI I Yes NI I Yes Ndlll II EllI Yes N~III II EFTA01404061  I Yes No iii I Yes No I Yes No III Bearer Shares Yes IIN No la Yes No No Yes I I Yes No Not Applicable Yes No Not Applicable I IIIMH I III III 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-English Documentation: https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=509609... 9/20/2013 EFTA01404062 KYC Print Page 9 of 10 M. Case Comments No records to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris Office Director/Business Head: Regional Office Director: AML Business Risk: (Signature) Brian M. Biggar (Signature) Paul Morris (Signature) Brian M. Biggar (Signature) 9/4/2013 9/4/2013 AML Compliance: Janice Franklin Gwen Hill (Signature) Janice Franklin Gwen Hill LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP): Account Manager: Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH): AML Business Risk: (Signature) (Signature) (Signature) (Signature) 9/6/2013 9/6/2013 AML Compliance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404063 KYC Print Page 10 of 10 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionalsl(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York https://na4.salesforce.com/servlet/servlet.Integration?- lid=01N30000000D9Di&eid=500600... 9/20/2013 EFTA01404064