KYC Print¶
Page 1 of 11¶
DB PWM GLOBAL KYC/NCA: PART A¶
1. Relationship Details¶
Relationship Name: SOUTHERN FINANCIAL 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 ☐ Other Source (CIB, etc.)¶
Please provide details (e.g., name of referral source, how many years RM personally has known client, etc.):¶
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 | ✓ | 12/16/2013 | |
| 2 | ✓ | 12/16/2013 |
Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.) | | | | Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): |¶
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DB-SDNY-0002661¶
EFTA_00016135¶
EFTA00166887¶
KYC Print¶
Page 2 of 11¶
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 daily use of and 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. New York ☐ 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 ranging from $100 to $10,000 | |||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? | 10000 | Currency | USD | ||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? | 10000 | 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 of Source or Wealth required | Parties related to this account | Account Holder | PIC Owner | Settler of Trust/Pounder 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/Settter Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| 1 | □ | ✓ | ✓ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | |
| 2 | □ | ✓ | ✓ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. (e)¶
7/30/2019¶
DB-SDNY-0002662¶
EFTA_00016136¶
EFTA00166888¶
KYC Print¶
Page 3 of 11¶
2. Account Ownership Summary¶
| Account Name: | and - Money Market | 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 to hold their joint funds and earn interest¶
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. New York
- 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 the account approx. 90 days after opening?¶
10000 Currency USD¶
What is the expected volume of assets and currency for the account approx. one year after opening?¶
10000 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 of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settor 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 □ ✓¶
2 □ ✓¶
✓ □¶
✓ □¶
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DB-SDNY-0002663¶
EFTA_00016137¶
EFTA00166889¶
KYC Print¶
Page 4 of 11¶
One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶
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: | Country of Citizenship: |
| Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No |
| Profession/Occupation: | Tax ID / SSN: |
| Current Employer: | Position/Title/Rank: |
| Address of employer: |
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:¶
| Bank Officer Name(s) | Bank Office: | Client Private Dominicile: | Client Place of Business: | Other Location (specify): | Date: |
|---|---|---|---|---|---|
| Paul Morris | □ | □ | ✓ | 12/3/2013 | |
| □ | □ | □ | |||
| □ | □ | □ |
☐ 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: LLC¶
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 settler 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($): 150,000.00 Estimated amount of investable assets($): <$1 MM¶
Estimated Net Worth($): <$1 MM Amount of assets planned to invest with PWN($): 20,000.00¶
Other Known Financial Institutions:¶
Institution: JP Morgan Country: USA Est. Assets Under Mgt: 60,000.00¶
| 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-0002664 |
EFTA_00016138¶
EFTA00166890¶
KYC Print¶
Page 5 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 Karyna Shuliak | |||||
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DB-SDNY-0002665¶
EFTA_00016139¶
EFTA00166891¶
KYC Print¶
Page 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:¶
| Country of Residence: | USA |
Address of primary residence:¶
| Address of primary residence: | Has client resided outside of his/her country of nationality for 5 years or more? Yes No |
Profession/Occupation:¶
| Profession/Occupation: | Tax ID / SSN: |
Current Employer:¶
| N/A |
|---|
| Position/Title/Rank: N/A |
Address of employer:¶
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:¶
Bank Officer Name(s)¶
| Bank Office | Client Private Domestic | Client Place of Business | Other Location (specify): | Date: |
|---|---|---|---|---|
| Paul Morris | □ | □ | ✓ | 12/3/2013 |
| □ | □ | □ | ||
| □ | □ | □ |
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 settler 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($):¶
| Estimated amount of investable assets($): | <$1 MM |
|---|---|
| Estimated Net Worth($): | 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. | DB-SDNY-004 |
DB-SDNY-0002666¶
EFTA_00016140¶
EFTA00166892¶
KYC Print¶
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| Institution: | Country: | Est. Assets Under Mgt: | |||
| Please indicate the family situation of the individual (marital status, other family members, etc.): | |||||
| https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 |
|---|---|
| CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. (e) | DB-SDNY-0002 |
EFTA_00016141¶
EFTA00166893¶
KYC Print¶
Page 8 of 11¶
DB PWM GLOBAL KYC/NCA: US/LatAm/Int’l PART¶
| Relationship Name | SOUTHERN FINANCIAL RELATIONSHIP | ||||||
| Risk Rating Comments: | |||||||
| Booking Center | NY | NY/Offshore | Offshore | Moderate Risk | High Risk | ||
| (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 |
| 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 | ☑ Yes | ☐ No | negative results found | |
| PCR checks complete | ☑ Yes | ☐ No | negative results found | |
| OFAC checks complete | ☑ Yes | ☐ No | negative results found | |
| BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, | ☑ Yes | ☐ No | negative results found | |
| Denial Orders checks complete | ☑ Yes | ☐ No | negative results found | |
| Martindale-Hubbell searched (Lawyers/Law Firms only) | ☑ Yes | ☐ No | negative results found | |
| Please summarize any negative results from the database searches indicated above: No Negative Media No Court Cases | ||||
| D. | No Negative Media No Court Cases | |||
| 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. (LaeAnyInt)) or the Regulatory Control Group and notify Compliance immediately) | ☑ Yes | ☐ No | |
| 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/content of the non-English Documentation: | |||
| L. | Special Risk Factors | |||
| Does the account have Nexus to Special Risk Countries? | ||||
| Is the account structure unusually complex? | ||||
| URL | Integration? | Date |
|---|---|---|
| https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 | |
| CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. | (e) | DB-SDNY-0002 |
EFTA_00016142¶
EFTA00166894¶
KYC Print¶
Page 9 of 11¶
| Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? | Yes | No |
| Is there any indication this could be a prohibited business relationship? | Yes | No |
| Are the bearer shares identified subject to acceptable controls? | Yes | No |
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. (e)¶
7/30/2019¶
DB-SDNY-0002669¶
EFTA_00016143¶
EFTA00166895¶
KYC Print¶
Page 10 of 11¶
| M. Case Comments | ||
| Created By | Date | Comments |
| Janice Franklin | 12/13/113 1:27 PM | Please see KYC 1082293 for information regarding Mr. Epstein, a current PB client. |
| Melisa Venegas | 12/13/113 12:39 AM | |
| ONSHORE APPROVALS | |||
| Client Facing Professional(CFP): | Paul Morris | (Signature) Paul Morris | 12/10/2013 |
| Office Director/Business Head: | Brian M. Biggar | (Signature) Brian M. Biggar | 12/10/2013 |
| Regional Office Director: | (Signature) | ||
| AML Business Risk: | Melisa Venegas | (Signature) Melisa Venegas | 12/13/2013 |
| AML Compliance: | J Franklin o/b/o J. Lightbody | (Signature) J Franklin o/b/o J. Lightbody | 12/13/2013 |
| 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¶
| https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 |
|---|---|
| CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. (e) | DB-SDNY-000267 |
EFTA_00016144¶
EFTA00166896¶
KYC Print¶
Page 11 of 11¶
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://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e... | 7/30/2019 |
|---|---|
| CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. (e) | DB-SDNY-000 |
DB-SDNY-0002671¶
EFTA_00016145¶
EFTA00166897¶