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DB PWM GLOBAL KYC/NCA: PART A




# One sheet must be established per relationship - list all accounts included in the relationship

## 1. Relationship Details

| Relationship Name: | SOUTHERN FINANCIAL 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: ***This KYC is a periodic review for high risk remediation*** Original KYC1161376 | | | |

| 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.): Stewart Oldfield and Cynthia Rodriguez contacted on 6/23/2017 to confirm if there are any material changes to their joint account and source of wealth. | | | | |
| 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 | and Deposit | 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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EFTA_00016359

EFTA00167111

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One sheet must be established for each account to be opened

# 2. Account Ownership Summary

| Account Name: | and | Deposit | Acct. Number (if available) |
| :--- | :--- | :--- | :--- |
| Account Manager: | stewart oldfield | | |

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):
☐ 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)? 0-4 inflows and outflows per month ranging from $100 to $1500

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?

14379.40 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 / 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 □ ✓

| 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) |
| :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- |

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-0002886


EFTA_00016360

EFTA00167112

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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 Domestic: | 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: homemaker

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($): $<$1 MM

Estimated Net Worth($): <$1 MM

Amount of assets planned to invest with PWM($): 20,000.00

Other Known Financial Institutions:

Institution: JPMorgan Country: USA Est. Assets Under Mgt: 60,000.00

<table border="1"><tr><td>https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&amp;e...</td><td>7/30/2019</td></tr><tr><td>CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)</td><td>DB-SDNY-0002887</td></tr></table>

EFTA_00016361

EFTA00167113

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<table border="1"><tr><td>Institution:</td><td></td><td>Country:</td><td></td><td>Est. Assets Under Mgt:</td><td></td></tr><tr><td>Institution:</td><td></td><td>Country:</td><td></td><td>Est. Assets Under Mgt:</td><td></td></tr><tr><td colspan="6">Please indicate the family situation of the individual(marital status, other family members, etc.): Married to Karyna Shuliak</td></tr></table>

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EFTA_00016362

EFTA00167114

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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: | 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:

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: |
| :--- | :--- | :--- | :--- | :--- | :--- |
| Stewart Oldfield | □ | □ | ✓ | | 6/23/2017 |
| | □ | □ | □ | | |
| | □ | □ | □ | | |





<table border="1"><tr><td colspan="7">3B. Wealth Details(Only for parties requiring source of wealth description as indicated in Section 2)</td></tr><tr><td colspan="4">Nature of the Individual&#x27;s Business:</td><td colspan="3">interior design</td></tr><tr><td colspan="4">Primary Country of source of wealth/source of Funds?</td><td colspan="3"></td></tr><tr><td colspan="4">Primary industry of source of Wealth/Source of Funds?</td><td colspan="3"></td></tr><tr><td colspan="4">Summarize Source of Wealth:</td><td colspan="3">Business Owner Salary/Earnings Investment Inheritance/Gifts Other:</td></tr><tr><td colspan="7">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.)Her annual income is approximately $150k with salary,bonus,and commissions.</td></tr><tr><td>Estimated Annual Income($):</td><td colspan="2">150,000.00</td><td colspan="3">Estimated amount of investable assets($):</td><td>&lt;$1 MM</td></tr><tr><td>Estimated Net Worth($):</td><td colspan="2">&lt;$1 MM</td><td colspan="3">Amount of assets planned to invest with PWM($):</td><td>2,000.00</td></tr><tr><td colspan="7">Other Known Financial Institutions:</td></tr><tr><td>Institution:</td><td colspan="2">db</td><td>Country:</td><td>usa</td><td colspan="2">Est. Assets Under Mgt:</td><td>2,000.00</td></tr><tr><td>Institution:</td><td colspan="2">JP Morgan Chase</td><td>Country:</td><td>USA</td><td colspan="2">Est. Assets Under Mgt:</td><td>2,000.00</td></tr></table>

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DB-SDNY-0002889


EFTA_00016363

EFTA00167115

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<table border="1"><tr><td>Institution:</td><td></td><td>Country:</td><td></td><td>Est. Assets Under Mgt:</td><td></td></tr><tr><td colspan="6">Please indicate the family situation of the individual (marital status, other family members, etc.): Married to</td></tr></table>

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EFTA_00016364

EFTA00167116

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DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B




<table border="1"><tr><td>Relationship Name</td><td colspan="7">SOUTHERN FINANCIAL RELATIONSHIP</td></tr><tr><td>Risk Rating Comments:</td><td colspan="7"></td></tr><tr><td>Booking Center</td><td>NY</td><td>NY/Offshore</td><td colspan="2">Offshore</td><td>Moderate Risk</td><td>High Risk</td><td>Yoonsun Chung</td></tr><tr><td colspan="8">(Compliance Signature)</td></tr><tr><td>DB Employee</td><td colspan="3">DB Managed PIC</td><td colspan="3">DB is Trustee/Co-Trustee</td><td>Bearer Shares</td></tr></table>

<table><thead><tr><th colspan="4">4. Attachments</th></tr></thead><tbody><tr><td>A.</td><td>Type of Photo ID Provided</td><td>☑ Drivers License</td><td>☐ Passport</td><td>☐ National/State ID</td><td>☐ Other</td></tr><tr><td>B.</td><td>Checklist of names (individuals and/or entities) that were submitted for database searches is attached</td><td>☐ Yes</td><td>☐ No</td><td></td><td></td></tr><tr><td>C.</td><td colspan="5">Please indicate the results of the database searches performed</td></tr><tr><td></td><td>RDC searches complete</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td></td><td>PCR checks complete</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td></td><td>OFAC checks complete</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td></td><td>BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B)</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td></td><td>Denial Orders checks complete</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td></td><td>Martindale-Hubbell searched (Lawyers/Law Firms only)</td><td>☑ Yes</td><td>☐ No</td><td>negative results found</td><td>☑ Yes</td><td>☐ No</td></tr><tr><td colspan="7">Please summarize any negative results from the database searches indicated above:<br>No Negative Media<br>Court case referencing the database search is for a personal injury and is a false positive as the KYC resides in the database and has no current injuries.</td></tr><tr><td>D.</td><td colspan="6">No Negative Media<br>No Court Cases</td></tr><tr><td>E.</td><td colspan="3">To the best of your knowledge, has the client ever been convicted of a criminal offense?</td><td>☑ Yes</td><td>☐ No</td><td></td></tr><tr><td>F.</td><td colspan="3">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. (LaAnInZIt) or the Regulatory Control Group and notify Compliance immediately)</td><td>☑ Yes</td><td>☐ No</td><td></td></tr><tr><td>G.</td><td colspan="3">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)?</td><td>☑ Yes</td><td>☐ No</td><td></td></tr><tr><td>H.</td><td colspan="3">Does the client or related party have any financial or other association/ interactions within high risk countries?</td><td>☑ Yes</td><td>☐ No</td><td></td></tr><tr><td>I.</td><td colspan="3">Corporate Documentation Attached (Legal Entities Only)</td><td>☑ Yes</td><td>☐ No</td><td>Not Applicable</td></tr><tr><td>J.</td><td colspan="3">Undisclosed Principal Form Complete (Intermediaries Only)</td><td>☑ Yes</td><td>☐ No</td><td>Not Applicable</td></tr><tr><td>K.</td><td colspan="3">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:</td><td></td><td></td><td></td></tr><tr><td>L.</td><td colspan="3">Special Risk Factors</td><td></td><td></td><td></td></tr><tr><td></td><td colspan="3">Does the account have Nexus to Special Risk Countries?</td><td>☑ Yes</td><td>☐ No</td><td></td></tr><tr><td></td><td colspan="3">Is the account structure unusually complex?</td><td>☑ Yes</td><td>☐ No</td><td></td></tr></tbody></table>

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EFTA_00016365

EFTA00167117

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<table border="1"><tr><td>Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?</td><td>□Yes</td><td>☑No</td></tr><tr><td>Is there any indication this could be a prohibited business relationship?</td><td>□Yes</td><td>☑No</td></tr><tr><td>Are the bearer shares identified subject to acceptable controls?</td><td>□Yes</td><td>☑No</td></tr></table>

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7/30/2019



DB-SDNY-0002892


EFTA_00016366

EFTA00167118

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<table border="1"><tr><td colspan="3">M. Case Comments</td></tr><tr><td>Created By</td><td>Date</td><td>Comments</td></tr><tr><td rowspan="2">Kshitij Golani</td><td rowspan="2">7/27/117 5:06 PM</td><td>The account holders have been clients of DB since 2013. Below are the reasons why we were comfortable with approving this high risk KYC remediation.
• Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity.
• The account holders&#x27; source of wealth and source of funds were sufficiently detailed and appears plausible</td></tr><tr><td>• Our review did not identify any red flags and thus there was no need to escalate this case further.
• We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists.</td></tr></table>

<table border="1"><tr><td colspan="4">ONSHORE APPROVALS</td></tr><tr><td>Client Facing Professional(CFP):</td><td>stewart oldfield</td><td>(Signature) stewart oldfield</td><td>7/20/2017</td></tr><tr><td>Office Director/Business Head:</td><td>Andrew F Gallivan</td><td>(Signature) Andrew F Gallivan</td><td>7/25/2017</td></tr><tr><td>Regional Office Director:</td><td></td><td>(Signature)</td><td></td></tr><tr><td>AML Business Risk:</td><td></td><td>(Signature)</td><td></td></tr><tr><td rowspan="3">AML Compliance:</td><td rowspan="2">Kshitij Golani</td><td>(Signature)</td><td rowspan="2">7/27/2017</td></tr><tr><td>Kshitij Golani</td></tr><tr><td>Yoonsun Chung</td><td>Yoonsun Chung</td><td>7/27/2017</td></tr></table>

<table border="1"><tr><td colspan="4">LATAM/INTERNATIONAL APPROVALS</td></tr><tr><td>Client Facing Professional(CFP):</td><td></td><td>(Signature)</td><td></td></tr><tr><td>Account Manager:</td><td></td><td>(Signature)</td><td></td></tr><tr><td>Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH):</td><td></td><td>(Signature)</td><td></td></tr><tr><td>AML Business Risk:</td><td></td><td>(Signature)</td><td></td></tr><tr><td>AML Compliance:</td><td></td><td>(Signature)</td><td></td></tr></table>

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

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EFTA_00016367

EFTA00167119

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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.

Deutsche Bank Americas New York

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DB-SDNY-0002894


EFTA_00016368



EFTA00167120