EFTA01375877.pdf

KYC Print Page 31 of 34 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B Relationship Name Risk Rating Comments: 0 0 Booking Center Cil NY NY/Offshore 7 Offshore Moderate Risk High Yoonsun Chung Risk (Compliance Signature) 0 DB Employee 0 DB Managed PIC 0 DB is Trustee/Co-Trustee ❑ Bearer Shares 4. Attachments A. Type of Photo ID Provided g Dnvers License 0 Passport 0 National/State ID 0 Other Checklist of names (individuals and/or entities) that were submitted for database g yom 0 No B' searches is attached C. Please indicate the results of the database searches performed RDC searches complete P1Yes 0 No negative results found PI Yes EJ No PCR checks complete Wi Yes 0 No negative results found 0 Yes g No OFAC checks complete Yes 0 No negative results found LJ Yes WI No BIS searches complete (Lexis/Nexls, Factiva, Reuters, Dow f—A ttfej yes • No negative results found Ches g No Jones, D&B) Denial Orders checks complete l- Yes 0 No negative results found Dyes g No Martindale-Hubbell searched (Lawyers/Law Arms only) 0 yes g No negative results found 0 Yes 0 No Please summarize any negative results from the database searches indicated above: In the attached legal proceedings, one is a false positive for Jeffrey S. Epstein (not Jeffrey E. Epstein) and the other contains no new information. relates to jurisdiction over disclosing correspondence from a previous trial that was addressed in previous KYC case The name in iff f r 6 referencing a and ante wi e court cases regarding 171 and from These are false positives and not a match with the in this kyc. • • is also a false positive as it lists the defendant a - that is noted in this KYC. To the best of your knowledge, has the dient ever been convicted of a criminal n E LJ Yes g No offense? 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, 0 Yes Eel No provide details below and contact Quality Mgt (taMm/Int7Jor the Regulatory Control Croup and notify Compliance Immedately) Does the client or related party have any financial or other association / G. interactions within countries or regimes sanctioned by the Office of Foreign Assets 0 yes R No Control (OFAC)? Does the client or related party have any financial or other association/ H. 0 Yes g No interactions within high risk countries? I. Corporate Documentation Attached (Legal Entities Only) g Yes 0 No • Not Applicable 1 Undisclosed Principal Form Complete (Intermediaries Only) 0 Yes 0 No RI Not Applicable K. https://dbforcepb.my.salesforce.com/servlet/sennet.Integration?lid .. 8/2/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0071519 CONFIDENTIAL SDNY_GM_00217703 EFTA01375877