EFTA01360597.pdf

KYC Print Page 8 of 10 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elabonship Name EPSTEIN, JEFFREY RELATIONSHIP oking Center F NY F NY/Offshore F Offshore r Moderate rr: High Risk Given Hill Risk (Compliance Signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee r Bearer Shares 4. Attachments A. Type of Photo ID Provided P7 Drivers License F Passport F Nabonal/State ID F Other Checklist of names (individuals and/or entities) that were submitted for database B. F Yes F No searches is attached C. Please indicate the results of the database searches performed ROC searches complete F \tes t— No negative results found F Yes 17 No PCR checks complete F Yes F No negative results found F Yes F No OFAC checks complete F yes FNO negative results found F Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, yes r No D&B) r negative results found F Yes F No Denial Orders checks complete r Yes r No negative results found r Yes 17 No Martindale-Hubbell searched (Lawyers/Law Firms only) r yes Fry', negative results found F Yes F No Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Jeffrey was approved in KYC *01082293 His PCR/ROC alerts and clearances and at documentation is contained in the above mentioned KYC D. 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 knowledge, has the client ever been convicted of a criminal offense? F yes r No To the best of your knowledge, has the customer ever been involved In any past ligation against Deutsche Bank AG or any of its subsidiaries or s the customer F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, F Yes F No provide details below and contact Quality Mgt (Lat4m/Intl)or die Regulatory Control Group andnotify Compliance immediately) G Does the client or related party have any financial or other association / interactions i-- w ' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' ' es ' No Does the client or related party have any financial or other association/ interactions within high risk countries? F Yes F No I. Corporate Documentation Attached (Legal Entities Only) F Yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No i;" Not Applicable 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?'id=01N30000000D9Di&eid=500600... 9/20/2013 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0049048 CONFIDENTIAL SDNY_GM_00195232 EFTA01360597