KYC Print Page 1 of 14 DB PWM GLOBAL KYC/NCA: PART A # 1. Relationship Details Relationship Name: **SOUTHERN FINANCIAL RELATIONSHIP** | 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: Update of approved KYC 1147850 to add Darren Indyke as an authorized signer. Darren has been approved in KYC #1133377 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.): 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 | Mort, Inc | 11/12/2013 | | 2 | Mort, Inc -- Money Market | 11/12/2013 | Who is the primary contact person for the RM? (Note: This person needs to have signature rights and/or information right for the accounts.): Harry Beller Preferred method of contact (indicate phone no., fax no., e-mail address, etc.): https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e.. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002708 EFTA_00016182 EFTA00166934 KYC Print Page 2 of 14 One sheet must be established for each account to be opened # 2. Account Ownership Summary | Account Name: | Mort, Inc | 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 to hold assets for the company. 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 $1,000 to $10,000 What is the expected volume of assets and currency for the account approx. 90 days after opening? 50000 What is the expected volume of assets and currency for the account approx. one year after opening? Yes No Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? 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(4). | Legal Entity | Description of Source of Wealth required | Parties related to this account | Account Holder | PIC Owner | Settler of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (> 25%) Non-PIC entity (Indicate ownership %) | Legal Representative | Grantor/Settlor | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | 1. □ □ □ Harry Beller 2. ✓ ✓ Mort, Inc 3. □ ✓ Jeffrey Epstein 4. □ □ Darren Indykle
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2. Account Ownership Summary
Account Name:Mort, Inc — Money MarketAcct. Number (& 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 assets for the company and to 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): JP Morgan, 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 $1000 to $10,000
What is the expected volume of assets and currency for the account approx. 90 days after opening?CurrencyUSD
What is the expected volume of assets and currency for the account approx. one year after opening?50000CurrencyUSD
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 EntityDescription of Source of Wealth RequiredParties related to this accountAccount HolderPIC OwnerSettler of Trust / Founder of FoundationUltimate Beneficial OwnerSignatory for Full POALimited POAFinancial Intermediary (FTM)Significant Shareholder (> 25%) Non-PIC entity (indicate ownership %)Legal RepresentativeGrantor/SettterFounding DonorOther (please describe other roles and/or indicate relationship between parties)
1✓✓Mort, Inc✓□
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EFTA_00016184 EFTA00166936 KYC Print Page 4 of 14 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 EpsteinDate of Birth:1/20/1953
Country of Residence:USVICountry of Citizenship:USA
Address of primary residence:Little Saint James Saint Thomas 00802 US Virgin IslandsHas client resided outside of his/her country of nationality for 5 years or more?□ Yes ✔ No
Profession/Occupation:Self EmpolyedTax ID / SSN:
Current Employer:Southern Financial LLCPosition/Title/Rank:President
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)
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe)
To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe)
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)
If applicable, indicate which bank officers have met the person:
Bank Officer Name(s)Bank Office:Client Private Domicile:Client Place of Business:Other Location (specify):Date:
Paul Morris□□✔10/22/2013
□□□
□□□
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($):10,000,000.00Estimated amount of investable assets($):$50 MM-100 MM
Estimated Net Worth($):$100 MM-500 MMAmount of assets planned to invest with PWM($):
Other Known Financial Institutions:
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Institution:Country:Est. Assets Under Mgt:
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.)：
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DB-SDNY-0002712 EFTA_00016186 EFTA00166938 KYC Print Page 6 of 14 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: | Harry Beller - | | :--- | :--- | | Country of Residence: | USA | | Address of primary residence: | | | Profession/Occupation: | Accountant | | Current Employer: | HBRK Associates, Inc | | 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) Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe) 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) If applicable, indicate which bank officers have met the person: **Bank Officer Name(s)** - Paul Morris - □ - □ - □ Indicate where and when the client meeting(s) took place: **Bank Office:** - Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date: - 11/4/2013 --- ### 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 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($): Estimated amount of investable assets($): 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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| EFTA_00016187 | | :--- | :--- | This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text "EFTA_00016187". EFTA00166939 KYC Print Page 7 of 14
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... CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) 7/30/2019 DB-SDNY-0002714 EFTA_00016188 EFTA00166940 KYC Print Page 8 of 14 # 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 | | :--- | :--- | | Country of Residence: | USA | | Address of primary residence: | | | Profession/Occupation: | Lawyer | | Current Employer: | Southern Financial LLC | | Address of employer: | 575 Lexington Ave, 9th Fl New York NY USA 10022 | 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) Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) To the best of your knowledge, is the individual related to an employee of the DB group? (if Family or Friendship, describe) 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) 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: - | - | - | - | - | - **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($): | Amount of assets planned to invest with PWN($): | | | Other Known Financial Institutions: Institution: | Country: | Est. Assets Under Mgt: | Institution: | Country: | Est. Assets Under Mgt: |
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DB-SDNY-0002715 EFTA_00016189 EFTA00166941 KYC Print Page 9 of 14
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:Mort, Inc -
Type of Entity:☐ Foundation/Association ☐ Trust ☑ Company ☐ Estate ☐ PartnershipPurpose of Entity:☑ Private Investment ☐ Philanthropic/Charitable ☐ Commercial
Type of Entity Other (specify):Purpose of Entity Other (specify):
Country of incorporation/registration:USVIDate of incorporation / registration:4/12/2011
Volcker Status:Volcker Flag:
Address (city, street, post code):6100 Red Hook Quarter, B3 St, Thomas 00802 USVIU.S. TIN/EIN:
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.: Corporation with 1000 issued. All issued shares are owned by Jeffrey Epstein. Jeffrey Epstein is the President and sole shareholder and owner.
Please indicate how ownership of the legal entity is reflected:
☐ 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).
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?:Yes ☐ No ✓
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:Investment holding company. A private company that is used to hold investments that the sole owner, Jeffrey, would like to keep separate from other investments
Countries where business is transacted: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):Capital contribution of $1000 from Jeffrey Epstein
Estimated gross receipts p.a.($):
Estimated net profit p.a.($):
Estimated investable assets($):<$1 MM
Potential Amount to be invested with PWM($):100,000.00
Other Known Financial Institutions:
Institution:JPMorganCountry:USAEst. Assets Under Mgt:100,000.00
Institution:Country:Est. Assets Under Mgt:
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Institution:Country:Est. Assets Under Mgt:
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EFTA_00016191 EFTA00166943 KYC Print Page 11 of 14 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B
Relationship NameSOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:
Booking CenterNYNY/OffshoreOffshoreModerate RiskHigh RiskJacqueline Lightbody
(Compliance Signature)
DB EmployeeDB Managed PICDB is Trustee/Co-TrusteeBearer Shares
4. Attachments
A.Type of Photo ID ProvidedDrivers LicensePassportNational/State IDOther
B.Checklist of names (individuals and/or entities) that were submitted for database searches is attachedYesNo
C.Please indicate the results of the database searches performed
RDC searches completeYesNonegative results foundYes
PCR checks completeYesNonegative results foundYes
OFAC checks completeYesNonegative results foundYes
BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B)YesNonegative results foundYes
Denial Orders checks completeYesNonegative results foundYes
Martindale-Hubbell searched (Lawyers/Law Firms only)YesNonegative results foundYes
Please summarize any negative results from the database searches indicated above: DARREN INDYKE: KYC approved in case #1133377
JEFFREY EPSTEIN: KYC Approved and all pertaining documents in case #:1121718 and 01082293
D.HARRY BELLER: KYC approved in case #:01133377 and 01133624
MORT INC: All negative media does not pertain to our client. All court cases do not pertain to our client.
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 Agent (LackAnyIntl) 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 (OFA) 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? Yes No
Is the account structure unusually complex?
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☐ 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
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 ByDateComments
Jacqueline Lightbody3/14/114 3:12 PM1 page of DB Certificate of LLC Resolution with the 2nd that did not list all signers, is acceptable. The only revision was the 2nd page with the correct signers that is attached separately.
ONSHORE APPROVALS
Client Facing Professional(CFP):Paul Morris(Signature) Paul Morris2/24/2014
Office Director/Business Head:Brian M. Biggar(Signature) Brian M. Biggar2/24/2014
Regional Office Director:(Signature)
AML Business Risk:(Signature)
AML Compliance:Gwen Hill o/b/o Janice Franklin Jacqueline Lightbody(Signature)
Gwen Hill o/b/o Janice Franklin3/14/2014
Jacqueline Lightbody3/14/2014
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_00016194 EFTA00166946 KYC Print Page 14 of 14 (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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