KYC Print¶
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DB PWM GLOBAL KYC/NCA: PART A¶
1. Relationship Details¶
| Relationship Name: | EPSTEIN, JEFFREY RELATIONSHIP:00000483290 | Booking Center: | New York |
|---|---|---|---|
| Relationship Manager: | Paul Morris | ||
| Relationship to PWM: | ✓ New PWM Relationship | □ Existing PWM Relationship | |
| If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: | |||
| How Was the Client(s) Introduced? How long has the RM personally known the client? | ☐ Client Referral | ☑RM Prospect | ☐ Intermediary/FIM |
| Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details 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 JP Morgan. 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 retrocession or similar compensation to a third party for the introduction of this relationship? | ☐ Yes | ☑ No | |
| (If Yes, describe): |
List all existing and new accounts involved in this relationship¶
| Legal Entity Account(s) | Account Name / Number | Opening Date (intended/actual) |
|---|---|---|
| 1 | The Haze Trust | 9/18/2013 |
| 2 | The Haze Trust | 9/18/2013 |
Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): | Jeffrey Epstein | Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): |¶
7/30/2019 DB-SDNY-0002537¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
EFTA_00016011¶
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One sheet must be established for each account to be opened¶
| 2. Account Ownership Summary | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Acct. Number (if available) | ||||||||||||
| 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)? Checking account for The Haze Trust's 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): JP Morgan Chase, New York, NY ☐ 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 5-10 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? | 25000 | Currency | USD | ||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? | 50000 | Currency | USD | ||||||||||
| Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? | ☐ Yes ☑ 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 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. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). | |||||||||||||
| Legal Entity | Description or Source of Wealth required | Account Holder | FIC Owner | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>25%) Non FIC entity (Indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| 1 | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ||
| 2 | ☑ | ☑ | Darren Indyk | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | Trustee; | |
| 3 | ☑ | ☑ | Jeffrey Epstein | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ☑ | ||
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| 2. Account Ownership Summary | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | The Haze Trust | Acct. Number (If available): | ||||||||||||
| 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 for The Haze Trust to hold its 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, ...) | ||||||||||||||
| 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 to $20,000 | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? | 50,000 | Currency | USD | |||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? | 150,000 | Currency | USD | |||||||||||
| Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? | ☐ Yes ☑ 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 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. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s). | ||||||||||||||
| Legal Entity | Description Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settion of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| 1 | ✓ | ✓ | The Haze Trust | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | ||
| 2 | □ | □ | Darren Indyk | □ | □ | □ | □ | ✓ | □ | □ | □ | □ | Trustee; | |
| 3 | □ | ✓ | Jeffrey Epstein | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | ||
| https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 |
| CONFIDENTIAL-PURSUANT TO FED.R.CRIM.P.6(e) | DB-SDNY-000253 |
EFTA_00016013¶
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶
| 3A. Individual Details (for all parties) | ||||||
|---|---|---|---|---|---|---|
| Individual's Name: | Jeffrey Epstein - 00000483289 | Date of Birth: | 1/20/1953 | |||
| Country of Residence: | USVI | Country of Citizenship: | USA | |||
| Address of primary residence: | Little Saint James Saint Thomas 00802 US Virgin Islands | Has client resided outside of his/her country of nationality for 5 years or more? | □ Yes ☑ No | |||
| Profession/Occupation: | Self Empolyed | Tax ID / SSN: | ||||
| Current Employer: | Southern Financial LLC | Position/Title/Rank: | President | |||
| Address of employer: | 6100 Red Hook Quarter B3 St. Thomas USVI 00802 | |||||
| Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities) | □ Yes ☑ No | |||||
| Is the individual a Politically Exposed Person (PEP)?(If Yes, describe) | □ Yes ☑ No | |||||
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe) | □ Family □ Friendship ☑ None | |||||
| 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) | □ Yes ☑ No | |||||
| If applicable, indicate which bank officers have met the person: | Indicate where and when the client meeting(s) took place: | |||||
| Bank Officer Name(s) | Bank Office: | Client Private Domicile: | Client Place of Business: | Other Location (specify): | Date: | |
| Paul Morris | □ | □ | ☑ | 8/7/2013 | ||
| □ | □ | □ | ||||
| □ | □ | □ | ||||
| 3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2) | |||
| Nature of the Individual's Business: | Private investments | ||
| Primary Country of source of wealth/source of Funds? | |||
| Primary industry of source of Wealth/Source of Funds? | |||
| Summarize Source of Wealth: | Business Owner Salary/Earnings Investment Inheritance/Gifts 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 employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Stearns and became a partner 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($): | 10,000,000.00 | Estimated amount of investable assets($): | $50 MM-100 MM |
| Estimated Net Worth($): | $100 MM-500 MM | Amount of assets planned to invest with PWM($): | 200,000.00 |
| Other Known Financial Institutions: | |||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
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| Institution: | JPMorgan Chase | Country: | USA | Est. Assets Under Mgt: | 23,000,000.00 |
| 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):Single | |||||
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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶
| 3A. Individual Details (for all parties) | |||||
|---|---|---|---|---|---|
| Individual's Name: | Darren Indyke | Date of Birth: | |||
| Country of Residence: | USA | Country of Citizenship: | USA | ||
| Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? | □ Yes ☑ No | |||
| Profession/Occupation: | Accountant | Tax ID / SSN: | |||
| Current Employer: | Southern Financial LLC | Position/Title/Rank: | |||
| Address of employer: | 6100 Red Hook Quarter B3 St Thomas USVI 00802 | ||||
| Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities) | □ Yes ☑ No | ||||
| Is the individual a Politically Exposed Person (PEP)?(If Yes, describe) | □ Yes ☑ No | ||||
| To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe) | □ Family □ Friendship ☑ None | ||||
| 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) | □ Yes ☑ No | ||||
| If applicable, indicate which bank officers have met the person: | Indicate where and when the client meeting(s) took place: | ||||
| Bank Officer Name(s) | Bank Office: | Client Private Domicile: | Client Place of Business: | Other Location (specify): Date: | |
| Paul Morris | □ | □ | ☑ | 9/6/2013 | |
| □ | □ | □ | |||
| □ | □ | □ | |||
| 3B. 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: | □Business Owner □Salary/Earnings □Investment □Inheritance/Gifts □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 employees,level of profitability?Indicate type of business,countries of major activities,important business partners.) | ||||||||
| Estimated Annual Income($): | Estimated amount of investable assets($): | |||||||
| Estimated Net Worth($): | Amount of assets planned to invest with PWM($): | |||||||
| Other Known Financial Institutions: | ||||||||
| Institution: | Country: | Est. Assets Under Mgt: | ||||||
| Institution: | Country: | Est. Assets Under Mgt: | ||||||
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CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
EFTA00166768¶
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| Institution: | Country: | Est. Assets Under Mgt: | |||
| Please indicate the family situation of the individual (marital status, other family members, etc.)： | |||||
| 3C. Legal Entity Details(For all Legal Entities) | |||
| Legal Entity Name: | The Haze Trust - 00000486428 | ||
| Type of Entity: | Foundation/AssociationTrustCompanyEstatePartnership | Purpose of Entity: | Private InvestmentPhilanthropic/CharitableCommercial |
| Type of Entity Other(specify): | Purpose of EntityOther(specify): | ||
| Country of Incorporation/registration: | United States Virgin Islands | Date of incorporation/registration:2/9/1999 | |
| Volcker Status: | Volcker Flag: | ||
| Address(city, street, postcode): | 6100 Red Hook Quarter B3 St, Thomas 00802 USVI | U.S.TIN/EIN:13-7185414 | |
| 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:GrantorDarren Indyk:TrusteePlease indicate how ownership of the legal entity is reflected: Jeffrey Epstein:GrantorDarren Indyk:Trustee | |||
| 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:GrantorDarren Indyk:TrusteeTo the best of your knowledge,is the entity party to a non-banking relationship withDeutsche Bank(e.g.external legal counsel,client referral source,supplier of goods orservices)?: | |||
| Describe Nature of Entity's Primary Business and Investment Activities | |||
| Nature of the business: | The trust was initially funded with $100.The trust makes and holds investments and the gains it makes from those investments is its source of revenue.The trust,in turn,puts these gains back into the trust and reinvests. | ||
| Countries where business is transacted: | USA,USVI | ||
| Number of employees: | 2 | ||
| 3D. Wealth Profile(Only for parties requiring source of wealth description as indicated In Section 2) | |||||
| Primary Country of source of wealth/source of Funds? | |||||
| Primary Industry of source of Wealth/Source of Funds? | |||||
| Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):The trust was initially funded with $100 from Jeffrey Epstein.The trust makes and holds investments and the gains it makes from those investments is its source of revenue.The trust,in turn,puts these gains back into the trust and reinvests. | |||||
| Estimated gross receipts($): | 300,000.00 | ||||
| Estimated net profit($): | 200,000.00 | ||||
| Estimated investable assets($): | $20MM-50MM | ||||
| Potential Amount to be invested with PWM($): | 200,000.00 | ||||
| Other Known Financial Institutions: | |||||
| Institution: | JPMorgan Chase | Country: | USA | Est. Assets Under Mgt: | 23,000,000.00 |
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| Institution: | Country: | Est. Assets Under Mgt: | ||
| Institution: | Country: | Est. Assets Under Mgt: |
| https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 |
| CONFIDENTIAL-PURSUANT TO FED.R.CRIM.P.6(e) | DB-SDNY-00025 |
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DB PWM GLOBAL KYC/NCA: US/LatAm/Int’l PART B¶
| Relationship Name | EPSTEIN, JEFFREY RELATIONSHIP | ||||||
| Risk Rating Comments: | |||||||
| Booking Center | NY | NY/Offshore | Offshore | Moderate Risk | High Risk | Janice Franklin | |
| (Compliance Signature) | |||||||
| DB Employee | DB Managed PIC | DB is Trustee/Co-Trustee | Bearer Shares | ||||
| 4. Attachments | ||||
|---|---|---|---|---|
| A. | Type of Photo ID Provided | ☑ Drivers License | ☑ Passport | ☐ National/State ID ☐ Other |
| B. | Checklist of names (individuals and/or entities) that were submitted for database searches is attached | ☑ Yes | ☐ No | |
| C. | Please indicate the results of the database searches performed | |||
| RDC searches complete | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| PCR checks complete | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| OFAC checks complete | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones) | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| Denial Orders checks complete | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| Martindale-Hubbell searched (Lawyers/Law Firms only) | ☑ Yes | ☐ No | negative results found ☐ Yes ☐ No | |
| Please summarize any negative results from the database searches indicated above: JEFFREY EPSTEIN: Please see KYC 01082293 for Jeffrey Epstein approval and for all Compliance approvals | ||||
| D. | Darren Indyk: No Negative Media No Court Cases | |||
| The Haze Trust | ||||
| E. | To the best of your knowledge, has the client ever been convicted of a criminal offense? ☑ Yes ☐ 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. (LabAnyIntl) 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)? ☑ Yes ☐ No | |||
| H. | Does the client or related party have any financial or other association / interactions within high risk countries? ☑ Yes ☐ No | |||
| I. | Corporate Documentation Attached (Legal Entities Only) ☑ Yes ☐ No ☐ Not Applicable | |||
| J. | Undisclosed Principal Form Complete (Intermediaries Only) ☑ Yes ☐ No ☐ 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: | |||
| L. | Special Risk Factors | |||
| Does the account have Nexus to Special Risk Countries? ☐ Yes ☐ No | ||||
| Is the account structure unusually complex? ☐ Yes ☐ No | ||||
| Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? ☐ Yes ☐ No | ||||
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
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| Is there any indication this could be a prohibited business relationship? | Yes | No |
| Are the bearer shares identified subject to acceptable controls? | Yes | No |
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| M. Case Comments | ||
| Created By | Date | Comments |
| Amanda Kirby | 9/9/113 5:13 PM | Please see KYC 01082293 for Jeffrey Epstein KYC approval and all due diligence, attachments and source of wealth |
| ONSHORE APPROVALS | |||
| Client Facing Professional(CFP): | Paul Morris | (Signature) Paul Morris | 9/5/2013 |
| Office Director/Business Head: | Mary Keaveney | (Signature) Mary Keaveney | 9/5/2013 |
| Regional Office Director: | (Signature) | ||
| AML Business Risk: | (Signature) | ||
| AML Compliance: | Jacqueline Lightbody | (Signature) | 9/10/2013 |
| Jacqueline Lightbody | |||
| Janice Franklin | Janice Franklin | 9/10/2013 | |
| LATAM/INTERNATIONAL APPROVALS | |||
| Client Facing Professional(CFP): | (Signature) | ||
| Account Manager: | (Signature) | ||
| Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH): | (Signature) | ||
| AML Business Risk: | (Signature) | ||
| AML Compliance: | (Signature) | ||
PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(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¶
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| EFTA_00016021 | | :--- | :--- |¶
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(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶
Deutsche Bank Americas New York¶
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