KYC Print¶
Page 1 of 14¶
DB PWM GLOBAL KYC/NCA: PART A¶
1. Relationship Details¶
| Relationship Name: | EPSTEIN, JEFFREY RELATIONSHIP:00000483290 | Booking Center: | New York |
|---|---|---|---|
| Relationship Manager: | Stewart Oldfield |
| 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 KYC #01133113. Beneficiaries have changed | |||
| 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 (President of Gratitude America) is a current client of the bank and reached out to Stewart Oldfield to update the beneficiaries to his Butterfly Trust. | |||
| 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 | Butterfly Trust — Checking | 10/9/2013 | |
| 2 | Butterfly Trust — Money Market | 10/9/2013 |
Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.): | 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-0002809¶
EFTA_00016283¶
EFTA00167035¶
KYC Print¶
Page 2 of 14¶
One sheet must be established for each account to be opened¶
| 2. Account Ownership Summary | ||||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Butterfly Trust -- Checking | 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)? This is a checking account to hold funds for the trust. | ||||||||||||||
| 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, 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 to $20,000 | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? | ||||||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? | ||||||||||||||
| 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 / 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 | □ | ✓ | Jeffrey Epstein | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | □ | Grantor; |
| 2 | □ | □ | Harry Beller | □ | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | Trustee; |
| 3 | □ | □ | Erika Kellerhals | □ | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | Trustee; |
| 4 | ✓ | ✓ | Butterfly Trust | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | |
| 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-0002810 |
EFTA_00016284¶
EFTA00167036¶
KYC Print¶
Page 3 of 14¶
| 2. Account Ownership Summary | |||||||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Account Name: | Butterfly Trust -- Money Market | Acct. 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 cash for the trust 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): JPMorgan, 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 $10,000 | Currency | USD | |||||||||||
| What is the expected volume of assets and currency for the account approx. 90 days after opening? | Currency | USD | |||||||||||
| What is the expected volume of assets and currency for the account approx. one year after opening? | 1,000,000.00 | 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 | Settler of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>25%) Non-PIC entity (indicate ownership %) | Legal Representative | Grantor/Settion Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| 1 | □ | ✓ | Jeffrey Epstein | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | Grantor; |
| 2 | ✓ | ✓ | Butterfly Trust | □ | □ | □ | □ | □ | □ | □ | □ | ||
| 3 | □ | □ | Harry Beller | □ | □ | □ | □ | □ | □ | □ | □ | Trustee; | |
| 4 | □ | □ | Erika Kellerhals | □ | □ | □ | ✓ | □ | □ | □ | □ | Trustee; | |
| 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-00028 |
EFTA_00016285¶
EFTA00167037¶
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 Epstein - 00000483289 | Date of Birth: | 1/20/1953 | ||||
| Country of Residence: | USVI | Country of Citizenship: | USA | ||||
| Address of primary residence: | Litte Saint James Saint Thomas 00802 | 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 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) | |||||||
| 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: | 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 | □ | □ | ✔ | 9/13/2013 | |||
| □ | □ | □ | |||||
| □ | □ | □ | |||||
| 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 in 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($): | $50 MM - 100 MM | |||
| Estimated Net Worth($): | $100 MM - 500 MM | Amount of assets planned to invest with PWM($): | 5,000,000.00 | |||
| Other Known Financial Institutions: | ||||||
| Institution: | JPM | Country: | USA | Est. Assets Under Mgt: | 120,000,000.00 | |
| 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-00 |
DB-SDNY-0002812¶
EFTA_00016286¶
EFTA00167038¶
KYC Print¶
Page 5 of 14¶
| Institution: | Deutsche Bank | Country: | USA | Est. Assets Under Mgt: | 70,000,000.00 |
| 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)¶
DB-SDNY-0002813¶
EFTA_00016287¶
EFTA00167039¶
KYC Print¶
Page 6 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: | Harry Beller | 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: | HBRK Associates, Inc | Position/Title/Rank: | ||||
| Address of employer: | 575 Lexington Avenue, 4th Floor Monsey NY United States 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) | □ 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: | |
| □ | □ | □ | ||||
| □ | □ | □ | ||||
| □ | □ | □ | ||||
| 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: | ||||||
| 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-000 |
DB-SDNY-0002814¶
EFTA_00016288¶
EFTA00167040¶
KYC Print¶
Page 7 of 14¶
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.6(e) | DB-SDNY-0002815 |
EFTA00167041¶
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: | Erika Kellerhals | 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: | Attorney | Tax ID / SSN: | |||||
| Current Employer: | Kellerhals Ferguson Kroblin PLLC | Position/Title/Rank: | |||||
| Address of employer: | 9100 Port of Sale Mall, Ste 15 St. Thomas 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: | ||
| □ | □ | □ | |||||
| □ | □ | □ | |||||
| □ | □ | □ | |||||
| 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: | ||||||
| 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-0002816 |
EFTA_00016290¶
EFTA00167042¶
KYC Print¶
Page 9 of 14¶
| Please indicate the family situation of the individual(marital status,other family members,etc.)： | ||||
One sheet must be established for EACH LEGAL ENTITY In Section 2. Account Summary¶
3C. Legal Entity Details (For all Legal Entities)¶
| Legal Entity Name: | Butterfly Trust - 00000486426 | Purpose of Entity: | Private Investment Philanthropic/Charitable Commercial |
|---|---|---|---|
| Type of Entity: | □ Foundation/Association ✔ Trust □ Company □ Estate □ Partnership | Purpose of Entity: | ✔ Private Investment Philanthropic/Charitable Commercial |
| Type of Entity Other (specify): | Purpose of Entity Other (specify): | ||
| Country of incorporation/registration: | USA | Date of incorporation / registration: | 12/27/2006 |
| Volker Status: | Determination Required | Volcker Flag: | No |
Address (city, street, post code): 6100 Red Hook Quarter B3 St, Thomas 00802 United States¶
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.: This is an irrevocable trust set up by Jeffrey Epstein as the grantor. The the beneficiaries for the trust are being updated by the current trustees. The trustees are Harry Baller and Erika Kellerhalts. The beneficiaries are:¶
Darren Indyke¶
Karyna Shullak¶
Richard Kahn¶
| 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-00 |
DB-SDNY-0002817¶
| EFTA_00016291 | | :--- | :--- |¶
This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.¶
EFTA00167043¶
KYC Print¶
Page 10 of 14¶
| Attached are the original trust agreement and the addition/deletion of beneficiary instrument to support this change. According to the original trust agreement, the trustees have the right during the lifetime of the Grantor to delete or add beneficiaries under Article 3 of the agreement. | ||
| Please indicate how ownership of the legal entity is reflected: trust agreement | ||
| 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). This is an irrevocable trust set up by Jeffrey Epstein as the grantor.The beneficiaries for the trust are being updated by the current trustees.The trustees are Harry Beller and Erika Kellerhals. | ||
| 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: | Trust account | |
| Countries where business is transacted: | USA, USVI | |
| Number of employees: | N/A | |
| 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):Trust account with Jeffrey Epstein as Grantor.Initial $100 given to the account to fund.The funds for this trust account come from investments made by Jeffrey Epstein.His wealth profile is filled out.The trust is for the benefit of the 6 named individuals | ||||||
| Estimated gross receipts p.a.($): | 4,500,000.00 | |||||
| Estimated net profit p.a.($): | 4,500,000.00 | |||||
| Estimated investable assets($): | $5MM-10MM | |||||
| Potential Amount to be invested with PWM($): | 4,500,000.00 | |||||
| Other Known Financial Institutions: | ||||||
| Institution: | JPMorgan | Country: | USA | Est. Assets Under Mgt: | 4,500,000.00 | |
| 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-00028 |
EFTA_00016292¶
EFTA00167044¶
KYC Print¶
Page 11 of 14¶
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 | Yeonsun Chung | |
| (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 | ||
| C. | RDC searches complete | Yes | No negative results found Yes No |
| C. | PCR checks complete | Yes | No negative results found Yes No |
| C. | OFAC checks complete | Yes | No negative results found Yes No |
| C. | BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) | Yes | No negative results found Yes No |
| C. | Denial Orders checks complete | Yes | No negative results found Yes No |
| C. | 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: BUTTERFLY TRUST: Negative Media: All negative media pertains to a company called the Butterfly Trust in Europe. This is not our client. Our client is an actual trust created by a Grantor and not a company. No court cases | |||
| JEFFREY EPSTEIN: Previously approved KYC #01082293 08112718 All negative media pertains to court cases which have been previously approved in the above mentioned KYCs. Court cases have been closed | |||
| D. | RDC alerts for Richard Kahn came up but they were all false positives as the age and locations of the alerts did not match the age and address on file. | ||
| D. | HARRY BELLER: No negative media Court case lists him as a defendant for being chief of medical staff for Jackson Memorial Hospital. The court concluded that the plaintiff had no cognizable claim that his civil rights has been violated, but refused to dismiss his complaint as to his antitrust claim Defendants' motion was thus granted in part and denied in 1987. The defendants listed in this case have not committed any illegal acts of conduct in any way. The case was settled on 6/20/1987. | ||
| 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. (Lackin/Intl?) 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 |
| 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- |
DB-SDNY-0002819¶
EFTA_00016293¶
EFTA00167045¶
KYC Print¶
Page 12 of 14¶
| 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? | 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 |
| 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-0002 |
7/30/2019 DB-SDNY-0002820 EFTA_00016294¶
EFTA00167046¶
KYC Print¶
Page 13 of 14¶
| M. Case Comments | ||
| Created By | Date | Comments |
| Cynthia Rodriguez | 2/2/117 9:55 AM | Email confirmation from Jason Shames is attached. |
| Cynthia Rodriguez | 12/30/116 11:29 AM | During the lifetime of the grantor, the trustees have the right to add/delete beneficiaries under Article Third of the Trust agreement by an acknowledged instrument delivered to the Grantor. Attached is the acknowledged instrument for the addition and deletion of the beneficiaries, signed by the trustees and the grantor. |
| Cynthia Rodriguez | 2/1/117 11:23 AM | Amended list of beneficiaries attached to include Research is also attached. |
| Cynthia Rodriguez | 1/30/117 2:45 PM | Jason Shames advised on1/03/2017 that fully executed addition of beneficiary forms by the trustee, along with acknowledgment signature from the grantor are what is needed to make changes to the beneficiaries of the trust. |
| Cynthia Rodriguez | 12/19/116 5:02 PM | Attached are the supporting documents for the addition/deletion of benes of this trust. |
| ONSHORE APPROVALS | |||
| Client Facing Professional(CFP): | terri sohrab | (Signature)terri sohrab | 12/15/2016 |
| Office Director/Business Head: | Armen Brash | (Signature)Armen Brash | 12/15/2016 |
| Regional Office Director: | (Signature) | ||
| AML Business Risk: | (Signature) | ||
| AML Compliance: | (Signature) | ||
| Ricardo Mendoza | Ricardo Mendoza | 2/2/2017 | |
| Yoonsun Chung | Yoonsun Chung | 2/2/2017 | |
| 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¶
| 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-0002821 |
EFTA_00016295¶
EFTA00167047¶
KYC Print¶
Page 14 of 14¶
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¶
(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶
| 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-00U |
DB-SDNY-0002822¶
EFTA_00016296¶
EFTA00167048¶