EFTA01255026.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 relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHERN FINANCIAL RELATIONSHIP Booking Center: New York Relationship Manager: Paul Morris 17 New PWM Relationship F Existing PWM Relationship Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: How Was the Oient(s) 17 Client Referral F RM Prospect I- Intermediary/FIM r- Other Source (CIB, etc.) Introduced? How long has the RM personally known Pleaseprovide details e.g. name of referral source, how many years RM personalty has known client the dient? etc.): works for M. which is owned by Jeffrey Epstein. Jeffrey introduced to us Does Deutsche Bank pay a F Yes F No retrocession or similar compensation to a third party for the Introduction (If yes, desaibe). of this relationship? List all existing and new accounts involved in this relationship Legal Entity Account Name / Number Opening Date (intended/actual) Account(s) 1 F and Karyna Shuliak 12/16/2013 2 f and Karyna Shuliak -- Money Market 12/16/2013 Who is the primary ciiiiiicit person for the RM' (Nme Preferred method of This person needs to hare contact(indicate phone signatory rights and/or no., fax no., email Information right for the address, etc.): accounts.): SDNY_GM_00053523 https://na4.salesforce.com/serviet CONFIDENTIAL — PURSUANT TO FED. R. Ft) PlifirfEWITACL0D9Di&amp;eid=5 12/17/2013 DB-SONY-0016347 EFTA_00164104 EFTA01255026  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 Ofavailable). Account Manager: Paul Morris What is the purpose of the account (e.g. portfoliosn ement, advisory account, custody services, long-term investment, payment/expense account)? Checking account for the daily use of and Karyna Indicate from where the assets are expected to arrive? F DB Group: Same Booking Center (indicate account number): F DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): 3PMorgan. New York F Physical Deposits (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 r nging from $100 to $10,000 What is the expected volume of assets and currency for 10000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 10000 Currency USD the account approx. one year after opening? 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). • If none of the check boxes apply, describe the party's relation to the account in the Other column. • Abney describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). Legal5escription AccountPIC Settler of slItimate Signatory..imitec nanaal Significant Entityof Source Holder OwnerTrust / Beneficialor Full POA IntermediarySharehoider of Wealth =minder of Owner ?OA (FIM) (>=25%) required •:ouriliation Non-PLC Dther (please entity describe other roles (indicate and/or indicate Parties related to ownership relationship between is account .q%) )arties) 1 F F Karyna Shuliak F r F F F F F 2 r- F F F F F F F F SDNY_GM_00053524 https://na4.salesforce.com/servlet lifirfEWITACL0D9Di&amp:eid=5 12/17/2013 CONFIDENTIAL — PURSUANT TO FED. R. PEE DB-SDNY-0016348 EFTA_00 I 64 I 05 EFTA01255027  KYC Print Page 3 of 11 2. Account Ownership Summary Account Name: and Karyna Shuliak -- Money Market Acct. Number (ifavailable). Account Manager: 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 their Joint funds and earn interest Indicate from where the assets are expected to arrive? 7 08 Group: Same Booking Center (indicate account number): 7 DB Group: Other Booking Center (indicate DB location and account details): F Other Institution (Indicate name & location): JPMorgan. New York 7 Physical Deposits (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 1-3 inflows and outflows per month ranging from $100 to $10,000 What is the expected volume of assets and currency for 10000 Currency USD the account approx. 90 days after opening? What is the expected volume of assets and currency for 10000 Currency USD the account approx. one year after opening? 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). • If none of the check boxes apply, describe the party's relation to the account in the 'Other column. • Alway describe the relationship between the parties in the last column. • Please drill down to the ultimate/unde ying Beneficial Owner(s). Legal Description AccountPIC Settfor of _Iltimate Signatory_imitedflnancial Significant Entity of Source Holder OwnerTrust / Beneficiabr Full POA IntermediaryShareholder of Weakh Founder of Owner POA (FIM) r>-25%) required Foundation Non-PIC Other (please entity Jescribe other roles (indicate and/or indicate p ates related to ownership relationship between i s account %) ,arbes) 1 F F Karyna Shuliak F F F F F F F 2 r F F F F r F F r SDNY_GM_00053525 https://na4.salesforce.com/servlet lifirrEepAt0D9Di&amp:eid=5 DB17/2013 CONFIDENTIAL - PURSUANT TO FED. R. 12/SONY-0016349 - EFTA_OO1641O6 EFTA01255028  KYC Print Page 4 of I 1 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary 3A. Individual Details (for all parties) Individual's Name: - Date of Birth: Country of Residence: USA Country of Citizenship: USA Address of primary residence: Profession/Occupation: Tax ID / SSN: Current Employer: In Position/Title/Rank: Address of employer: Is the individual a Politically Exposed Person (PEP)?(if yes, descnbe) r- Yes 17 No To the best of your knowledge, is the individual related to an employee of the DB F Family F Friendship F None group?(if Family a- Frenarstvp, descnbe) To the best of your knowledge, is the individual party to a non-banking relationship y— yes '— with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of ' Ito No goods or services)?(if Yes,descnbe) If applicable, indicate which bank officers have met the Indicate where and when the client meeting(s) took place: person: Client Private ClieM Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: Paul Moms r r F 12/3/2013 r r r F r r F Wealth Details for this individual are not filled in, because they are the same as for the following person: 38. Wealth Details (Only for partie requiring source of wealth description as indicated in Section 2) Nature of the Individual's Business: LLC F Business Owner F Salary/Eamings F Investment F Inheritance/Gifts Summarize Source of Wealth: r- Other: 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 empl level of profitability? Indicate type of business, countries of major activities, important business ht Siners.) works for which is the that M. M is used to run Jeffrey Epstein's New York City home. The legal address for his in the USVI but the home is located at 9 East 71 st is the head of the household and any maids chefs, etc report to her. She 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 150,000.00 Estimated amount of investable assets.($): <$1 MM (S): Estimated Net Worth(S): <$1 MM Amount of assets planned to invest with PWM(S): 20,000.00 Other Known Financial Institutions: Atb) SDNY_GM_00053526 Imps://na4.salesforce.com/servle lifirfEISMAND9Di&amp;eid=5 12/17/2013 CONFIDENTIAL — PURSUANT TO FED. R. DB-SONY-0016350 EFTA_00164107 EFTA01255029  KYC Print Page 5 of 1 1 Institution: JPMorgan Country: USA Est. Assets Under Mgt: 60,000.00 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the (amity situation of the individual (mental status, other family members, etc.): Married to Karyna Shuliak SDNY_GM_00053527 https://na4.salesforce.com/servle lifirfEltieAt0D9Di&amp;eid=5 DB17/2013 CONFIDENTIAL — PURSUANT TO FED. R. 12/SDNY-0016351 - EFTA_00 1 641 08 EFTA01255030  KYC Print Page 6 of 11 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 Shuliak - Date of Birth: Country of Residence: USA Country of Citizenship: Slovakia Address of primary residence: Profession/Occupation: Student Tax ID / SSN: Current Employer: N/A Position/Title/Rank: N/A Address of employer: F, No Is the individual a Politically Exposed Person (PEP), (f Yes, describe) r- You To the best of your knowledge, is the individual related to an employee of the DB F Family r Friendship F None group7(ifFamdy or Fnendshp, dcscnbc) To the best of your knowledge, is the individual party to a non-banking relationship r yes F No with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services)7(if Yesciescnbe) If applicable, indicate which bank officers have met the Indicate whe e and when the client meeting(s) took place: person: Client Private Client Place Bank Officer Name(s) Bank Office: Other Location (specify): Date: Domicile: of Business: Paul Morris r F F 12/3/2013 F r r r r r r 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: Student Summarize Source of Wealth: r Business Owner F Salary/Eamings F Investment r- Inheritance/Gifts F Other: Further Describe Source of Wealth /Detail the history of vealth 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, count' f ma r vibes, important business partners.) Karyna does not have an income of her own. Her lifestyle is supported by her wife, Estimated Annual Income Estimated amount of investable azets($): <$1 MM ($): Estimated Net Worth($): Amount of assets planned to invest with PWM($): Other Known Financial Institutions: Institution: Country: Est. Assets Under Mgt: SDNY_Ghl_00053528 hups://na4.salesforce.com/servle frittliDefrpACE)139Di&amp;eid=5... 12/17/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SDNY-0016352 EFTA_00164109 EFTA01255031  KYC Print Page 7 of 11 Institution: Country: Est. Assets Under Mgt: Institution: Country: Est. Assets Under Mgt: Please indicate the family situation of the individual (marital status, other family members, etc.): Married to SDNY_GM_00053529 lut s://na4 CONFIDENpTIAL - PURSUANT .salesforce.com/seryle TO FED. R. e e Fi t) PIDEITITAt 0D9Di&ainp;eid=5 12/17/2013 DB-SDNY-0016353 EFTA_00164I I0 EFTA01255032  KYC Print Page 8 of 11 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center F NY I- NY/Offshore I— Offshore 1- Moderate iv --: High Risk Risk (Compliance Signature) DB Employee DB Managed PIC 1— De is Trustee/Co-Trustee 1— Bearer Shares 4. Attachment A. Type of Photo ID Provided F Drivers License F Passport f— National/State ID f— Other Checklist of names (individuals and/or entities) that were submitted for database B. searches is attached r Yes F No C. Please indicate the results of the database searches performed RDC searches complete r Yes ENO negative results found r- yes F NO PCR checks complete F yes f- No negative results found I— yes Frio OFAC checks complete F Yes 1- No negative results found 1-- Yes F NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) r yes i-- No negative results found r Yes F No Denial Orders checks complete F Yes r No negative results found rYes r•.-, NO Martindale-Hubbell searched (Lawyers/Law Firms only) r Yes F No negative results found 1— Yes f— No Please summarize any negative results from the database searches indicated above: No Negative Media No Court Cases KARYNA SHUUAK: D. No Negative Media No Court Cases M . Previously KYC approved. See Case #:01141322 for relevant attachments E. To the best of your knowledge, has the client ever been convicted of a criminal offense? r Yes F No 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 F. threatening litigation against Deutsche Bank AG or any of its subsidiaries? (If Yes, r Yes F No provide details below and contact Quality Mgt (Lat4m/Int1) or d7e Regulatory Control Group and notify Compliance immediatdy) the client or related party have any financial or other association / interactions 'G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? r yes F No Does the client or related party have any financial or other association/ interactions H. within high risk countries? p Yes F NO I. Corporate Documentation Attached (Legal Entities Only) F Yes 1.- No F" Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English SDNY_GM_00053530 lutps://na4.salesforce.com/servlet CONFIDENTIAL - PURSUANT TO FED. R. It plifirf El lf0ACL0D9Di&amp:eid=5 (b) I-1 12/17/2013 DB-SONY-0016354 EFTA_001641I I EFTA01255033  KYC Print Page 9 of 11 summary of the nature/contents of the non-English Documentation: Atb) SDNY_GM_00053531 https://na4.salesforce.com/servlet lifirfEtf0At0D9Di&amp:eid=5 12/17/2013 CONFIDENTIAL - PURSUANT TO FED. R. DB-SONY-0016355 EFTA 00164112 EFTA01255034  KYC Print Page 10 of 11 M. Case Comments Created By Date Comments works for and is the head of Jeffrey Epstein's household, the employees n the house report to her. is owned by Mr. Epstein, and based on his high risk profile, we Melisa Venegas 12/13/2013 12:39 Iso ave a high risk to this case. We haven't found any negative information or articles Inks AM to Mr. Epstein. This account is not being created to run the household but for and ryna's personal funds. Janice Franklin 12/13/2013 1:27 PM Please see KYC 1082293 for information regarding Mr. Epstein, a current PEI client. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris ,Signature) 12/10/2013 , aul Morris Office Director/Business Head: Brian M. Biggar (Signature) 12/10/2013 Brian M. Biggar Regional Office Director: (Signature) Aft Business Risk: (Signature) Melisa Venegas Melisa Venegas 12/13/2013 AML Compliance: (Signature) 3 Franklin o/b/o J. Lightbocty 3 Franklin o/b/o J. Lightbody 12/13/2013 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP) - (Signature) Account Manager: (Signature) Global Market Team Head (Signature) (GMTH)/Sub-Market Team Head (SNITH): AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00053532 hops://na4.salesforce.com/servlet lifirrEtetAt0D9Di&amp:eid=5 12/7/2013 CONFIDENTIAL - PURSUANT TO FED. R. Pt(b) 1—° DB-1 -0016356 EFTA 00164113 EFTA01255035  KYC Print Page 11 of 11 PRIVATE WEALTHMANAGEMENTPOLICY STATEMENT: Deutsche Bank Private Wealth Management (PWAV worldwide is committed to professionally serve the interests ofits clients. To do so, Client FacingProfessionals1(1) (CFP 's) should establish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on 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 andon an ongoing basis. DECLARATIONFOR ALL SIGNERS OF THIS FORM: To the best ofmy 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 ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWM GlobalKYC Policy (i) Client FacingProfessionals (CFP 's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Dortocho Bank Arno lcas New York SDNY_Ght00053533 hupslina4.salesforce.com/servle fristriDE13411tAL/D9Datamp;eid=5... 12/17/2013 CONFIDENTIAL - PURSUANT TO FED_ R. DB-SDNY-0016357 EFTA_00164114 EFTA01255036