Deutsche Bank KYC file for Jeffrey Epstein's accounts, opened October 2013

KYC Print¶

Page 1 of 26¶

DB PWM GLOBAL KYC/NCA: PART A¶

Status : 6. Approved¶

1. Relationship Details
Relationship Name:		EPSTEIN, JEFFREY RELATIONSHIP:		Booking Center: New York
Relationship Manager:		Paul Morris
Relationship to PWM:		☑ New PWM Relationship ☐ Existing PWM Relationship
Relationship to PWM:		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.): Darren Indyke is the in-house lawyer for Jeffrey Epstein, who is a current client of the bank. Darren has worked extensively with Paul here at DB while we have opened accounts for Jeffrey Epstein and he was a previous client of Paul's when he was at JPMorgan. He met Paul at JPM through Jeffrey Epstein.
Does Deutsche Bank pay a retrosession or similar compensation to a third party for the introduction of this relationship?		☐ Yes ☐ No
List all existing and new accounts involved in this relationship
	Legal Entity Account(s)	Account Name / Number		Opening Date (intended/actual)
1	☑	The 2007 Jeffrey E. Epstein Insurance Trust #3		10/16/2013
2	☑	HBRK Associates, Inc		10/16/2013
3	☑	HBRK Associates, Inc -- Money market		10/16/2013
4	☑	Darren K. Indyke PLLC		10/16/2013
5	☑	Darren K. Indyke PLLC -- Money Market		10/16/2013
6	☑	Darren K. Indyke PLLC-Attorney Trust Account		10/16/2013
7	☑	Darren K. Indyke PLLC-Attorney Trust Account -- Money Market		10/16/2013
8	☑	New York Strategy Group, LLC		10/16/2013
9	☑	New York Strategy Group, LLC -- Money Market		10/16/2013
Who is the primary contact person for the RM? (Note: This person needs to have signature rights and/or information right for the accounts.):		Darren Indyke	Preferred method of contact (indicate phone no., fax no., e-mail address, etc.):

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000122¶

USAO 001085 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… //¶

EFTA_00018995¶

EFTA00168742¶

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One sheet must be established for each account to be opened¶

2. Account Ownership Summary
Account Name:				The 2007 Jeffrey E. Epstein Insurance Trust #3					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 funds for this 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 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?						100000			Currency		USD
What is the expected volume of assets and currency for the account approx. one year after opening?						150000			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 of Source of Wealth required	Parties related to this account	Account Holder	PIC Owner	Settor of Trust / Founder of Foundation	Ultimate Beneficiator Full POA	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 land/or indicate relationship between parties)
1	☑	☑	The 2007 Jeffrey E. Epstein Insurance Trust #3	☑	☐	☐	☐	☐		☐	☐	☐
2	☐	☑	Jeffrey Epstein	☐	☐	☑	☐	☐		☐	☐	☐	Grantor;
3	☐	☑	Darren Indyk	☐	☐	☐	☑	☐		☐	☐	☐	Trustee;
4	☐	☑	Richard Kahn	☐	☐	☐	☑	☐		☐	☐	☐	Trustee;

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000123¶

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2. Account Ownership Summary

Account Name:

The 2007 Jeffrey E. Epstein Insurance Trust #3 -- 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 funds for the insurance 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 1-3 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?

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).

☑

The 2007 Jeffrey E. Epstein Insurance Trust #3

☑

☐

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000124¶

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2. Account Ownership Summary
Account Name:				HBRK Associates, 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 funds for daily use 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, 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 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			Currency	USD
What is the expected volume of assets and currency for the account approx. one year after opening?						50000			Currency	USD
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?						☐ Yes ✔ No
Please list all parties related to the account. For each party: • Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the “Other” column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying BeneficialOwner(s).
Legal Entity	Description of Source of Wealth Required	Parties related to this account	Account Holder	PIC Owner	Settlor 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/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	✓	✓	HBRK Associates, Inc	✓	□	□	□	□	□	□	□	□	□
2	□	✓	Richard Kahn	□	□	□	✓	✓	□	□		□	□
3	□	✓	Harry Beller	□	□	□	✓	✓	□	□		□	□

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000125¶

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2. Account Ownership Summary
Account Name:				HBRK Associates, Inc -- 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 funds for the company 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, 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 1-3 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?						100000			Currency		USD
What is the expected volume of assets and currency for the account approx. one year after opening?						150000			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 BeneficialOwner(s).
Legal Entity	Description of Source of Wealth Required	Parties related to this account	Account Holder	PIC Owner	Settlor 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/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	✓	✓	HBRK Associates, Inc.	✓	□	□	□	□	□	□	□	□	□
2	□	✓	Richard Kahn	□	□	□	✓	✓	□	□		□	□
3	□	✓	Harry Beller	□	□	□	✓	✓	□	□		□	□

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000126¶

USAO 001089 7/11/2019¶

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EFTA_00018999¶

EFTA00168746¶

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2. Account Ownership Summary¶

Account Name:	Darren K. Indyke PLLC	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 the this law firm¶

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 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 Currency USD¶

What is the expected volume of assets and currency for the account approx. one year after opening? 75000 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	Settlor 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/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)

□ ✓ Darren Indyke
✓ Darren K. Indyke PLLC

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000127¶

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USAO 001090 7/11/2019¶

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2. Account Ownership Summary¶

Account Name:	Darren K. Indyke PLLC — 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 for the company to hold 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, NY
□ Physical Deposits (specify cash, securities, cheques, …):

What is the expected volume of assets and currency for the account approx. 90 days after opening?¶

100000 Currency USD¶

What is the expected volume of assets and currency for the account approx. one year after opening?¶

125000 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	Settlor of Trust / Founder of Foundation	Ultimate Beneficial Owner	Signatory or Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (%)	Legal Representative	Grantor/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)

1 | □ | ✔ | Darren Indyke | □ | □ | □ | ✔ | □ | □ | □ | □ | □ | □ | 2 | ✔ | ✔ | Darren K. Indyke PLLC | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ |¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000128¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

USAO 001091 7/11/2019¶

| EFTA_00019001 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019001”.¶

EFTA00168748¶

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2. Account Ownership Summary¶

Account Name:	Darren K. Indyke PLLC-Attorney Trust Account	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 clients escrow. Funds are placed here 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 volume of assets and currency for the account approx. 90 days after opening? 50000 Currency USD¶

What is the expected volume of assets and currency for the account approx. one year after opening? 75000 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 | Settlor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (%) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- |¶

1 | ✓ | ✓ | Darren K. Indyke PLLC | ✓ | □ | □ | □ | □ | □ | □ | □ | □ | □ | □ | 2 | □ | ✓ | Darren Indyke | □ | □ | □ | ✓ | □ | □ | □ | □ | □ | □ | □ | □ |¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000129¶

USAO 001092 7/11/2019¶

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2. Account Ownership Summary
Account Name:				Darren K. Indyke PLLC-Attorney Trust Account -- 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 for clients escrow. Funds are placed here 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 1-3 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?						75000			Currency	USD
What is the expected volume of assets and currency for the account approx. one year after opening?						100000			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	Settlor of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Signatory or Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (%)	Legal Representative	Grantor/Settler	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	☐	✔	Darren Indyke	☐	☐	☐	✔	☐	☐		☐	☐	☐
2	✔	✔	Darren K. Indyke PLLC	✔	☐	☐	☐	☐	☐		☐	☐	☐

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000130¶

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2. Account Ownership Summary

Account Name:

New York Strategy Group, LLC

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 needs of 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, NY
☐ Physical Deposits (specify cash, securities, cheques, ...)

What is the expected volume of assets and currency for the account approx. 90 days after opening?

25000

Currency

USD

What is the expected volume of assets and currency for the account approx. one year after opening?

50000

Currency

USD

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?

☐ Yes ☑ No

Please list all parties related to the account.
For each party:
• Check if a source of wealth description is required for the party.
• Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected).
• If none of the check boxes apply, describe the party's relation to the account in the “Other” column.
• Always describe the relationship between the parties in the last column.
• Please drill down to the ultimate/underlying Beneficial Owner(s).

Legal Entity

Description of Source of Wealth Required

Parties related to this account

Account Holder

PIC Owner

Settlor of Trust / Founder of Foundation

Ultimate Beneficiary Owner

Signatory or 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)

☑

New York Strategy Group, LLC

☑

☐

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000131¶

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2. Account Ownership Summary

Account Name:

New York Strategy Group, LLC -- Money Market

Acct. Number (if available):

Account Manager:

Paul Morris

What is the expected volume of assets and currency for the account approx. 90 days after opening?

50000

Currency

USD

What is the expected volume of assets and currency for the account approx. one year after opening?

75000

Currency

USD

Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?

☐ Yes ✔ No

Legal Entity

Description of Source of Wealth Required

Parties related to this account

Account Holder

PIC Owner

Settlor of Trust / Founder of Foundation

Ultimate Beneficiary Owner

Signatory or 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)

✓

New York Strategy Group, LLC

✓

□

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000132¶

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One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)¶

Individual’s Name:	Darren Indykke
Country of Residence:	USA
Address of primary residence:
Profession/Occupation:	Lawyer
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter B3 St Thomas USVI 00802

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)¶

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 Mortgage:	Client Place of Business:	Date:
Paul Morris	□	□	□	9/13/2013
	□	□	□
	□	□	□

☐ 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: Attorney¶

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.) Darren has been an in-house lawyer for Jeffrey Epstein at Southern Financial LLC for over 10yrs, wherein his main source of income comes from [See VIC # 1082293]. He also owns a few of his own small companies (LCS) for his private investments, and well his own law practice, Darren Indykke FLLC.¶

Estimated Annual Income($): 300,000.00¶

Estimated Net Worth($): $2 MM - 5 MM¶

Estimated amount of investable assets($): $1 MM - 2 MM¶

Amount of assets planned to invest with PWM($): 200,000.00¶

Other Known Financial Institutions:¶

Institution: JPMorgan¶

Country: USA¶

Est. Assets Under Mgt: 10,000,000.00¶

Institution:¶

Country:¶

Est. Assets Under Mgt:¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000133¶

USAO 001096¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶

| EFTA_00019006 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019006”.¶

EFTA00168753¶

KYC Print¶

Page 13 of 26¶

Institution:		Country:		Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.)：

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000134¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

USAO 001097 7/11/2019¶

EFTA_00019007¶

EFTA00168754¶

KYC Print¶

Page 14 of 26¶

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:	575 Lexington Avenue, 4th FI 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)¶

Indicate where and when the client meeting(s) took place:¶

Bank Officer Name(s):	Bank Office:	Client Private Domicile:	Client Place of Business:	Date:
Paul Morris	□	□	✓	9/13/2013
	□	□
	□	□

☐ Wealth Details for this individual are not filled in, because they are the same as for the following person:¶

38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

Nature of the Individual’s Business: Accounting Firm¶

Primary Country of source of wealth/source of Funds?¶

Primary industry of source of Wealth/Source of Funds?¶

Summaries 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.) Harry is an accountant and owns his own firm. He is also the in-house accountant for Southern Financial LLC (KYC #1002293). He has gained his wealth from his years as the in-house accountant and his own firm¶

Estimated Annual Income($): $500,000.00¶

Estimated amount of investable assets($): $1 MM - 2 MM¶

Estimated Net Worth($): $2 MM - 5 MM¶

Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: JPMorgan Country: USA Est. Assets Under Mgt: 5,000,000.00¶

Institution: Country: Est. Assets Under Mgt:¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000135¶

USAO 001098¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

| EFTA_00019008 | | :--- | :--- |¶

This is a simple Markdown representation of the provided image, preserving the original layout with headings, paragraphs, and formulas as they appear. No additional content has been added or removed.¶

EFTA00168755¶

KYC Print¶

Page 15 of 26¶

Please indicate the family situation of the individual (marital status, other family members, etc.): Married¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000136¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/2019¶

USAO 001099 7/11/2019¶

EFTA_00019009¶

EFTA00168756¶

KYC Print¶

Page 16 of 26¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summary¶

3A. Individual Details (for all parties)
Individual's Name:	Richard Kahn			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 Ave, 4th FI 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:			Indicate where and when the client meeting(s) took place:
Bank Officer Name(s)		Bank Office: Client Private Domestic: Client Place of Business: Other Location (specify):		Date:
Paul Morris		□	□	✓	9/13/2013
		□	□	□
		□	□	□
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:			Accountant
Primary Country of source of wealth/source of Funds?
Primary Industry of source of Wealth/Source of Funds?
Summary 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.) Richard owns HBRK Associates Inc with Harry Better. He is also an in-house accountant for Southern Financial, LLC (NYC #1082293), for over 10 years. His wealth comes from his own firm and being an in-house accountant
Estimated Annual Income($):		300,000.00		Estimated amount of investable assets($):		$1 MM - 2 MM
Estimated Net Worth($):		$2 MM - 5 MM		Amount of assets planned to invest with PWM($):
Other Known Financial Institutions:
Institution:	JPMorgan		Country:	USA	Est. Assets Under Mgt:	1,000,000.00
Institution:			Country:		Est. Assets Under Mgt:
Institution:			Country:		Est. Assets Under Mgt:

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000137¶

USAO 001100¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

| EFTA_00019010 | | :--- | :--- |¶

This is a simple Markdown document with no headings or paragraphs. It contains a single line of text.¶

EFTA00168757¶

KYC Print¶

Page 17 of 26¶

Please indicate the family situation of the individual (marital status, other family members, etc.):¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000138¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/2019¶

USAO 001101 7/11/2019¶

EFTA_00019011¶

EFTA00168758¶

KYC Print¶

Page 18 of 26¶

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:	Jeffrey Epstein
Country of Residence:	USVI
Address of primary residence:	Littie Saint James Saint Thomas 00802 US Virgin Islands
Profession/Occupation:	Self Employed
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter B3 St. Thomas USVI 00802

Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)¶

☐ Yes ☑ No¶

Is the individual a Politically Exposed Person (PEP)? (if Yes, describe)¶

☐ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (if Family or Friendship, describe )¶

☐ Family ☑ Friendship ☑ None¶

☐ 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:	Date:
Paul Morris	□	□	✓	9/13/2013
	□	□
	□	□

☐ 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: 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 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.) Epstein began his financial career in 1976 as an options trader at Bear Stears and became a partner in 1980. In 1982, Epstein founded his own financial management firm, 2, 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 the clients were anonymous except for the very wealthy businessman Leslie Wexner. His wealth has come from his days at Bear Stears and his financial management firms.¶

Estimated Annual Income($): 10,000,00.00 Estimated amount of investable assets($): $50 MM - 100 MM¶

Estimated Net Worth($): $100 MM - 500 MM Amount of assets planned to invest with PWM($):¶

Other Known Financial Institutions:¶

Institution: JPMorgan Country: USA Est. Assets Under Mgt: 120,000,00.00¶

Institution: Country: Est. Assets Under Mgt:¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000139¶

USAO 001102¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶

EFTA_00019012¶

EFTA00168759¶

KYC Print¶

Page 19 of 26¶

Institution:		Country:		Est. Assets Under Mgt:
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:	New York Strategy Group, LLC
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:1/13/2000
Volcker Status:	Volcker Flag:
Address(city, street, post code):	575 Lexington Ave, 4th Fl New York NY 10022 USA		U.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.;New York Strategy Group, LLC is a single member LLC owned by Darren K. Indyke.
Please indicate how ownership of the legal entity is reflected: Darren K. Indyke is the sole member
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): Darren K. Indyke is the sole member
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)?YesNo
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	Private LLC used for the personal investments of Darren Indykye.The LLC holds funds and invests in assets that Darren finds interesting
Countries where business is transacted:	USA
Number of employees:	1

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):New York Strategy Group, LLC invests in different asset classes and gains its assets through the revenue it makes on the return investments
Estimated gross receipts p.a.( $ ):			100,000.00
Estimated net profit p.a.($ ):			75,000.00
Estimated investable assets ($ ):			<$1 MM
Potential Amount to be invested with PWM ($ ):			50,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country:		USA	Est. Assets Under Mgt:	500,000.00
Institution:		Country:			Est. Assets Under Mgt:
Institution:		Country:			Est. Assets Under Mgt:

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000140¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/2019¶

EFTA_00019013¶

EFTA00168760¶

KYC Print¶

Page 20 of 26¶

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:	Darren K. Indykle PLC
Type of Entity:	☐ Foundation/Association ☐ Trust ☐ Company ☐ Estate ☐ Partnership		Purpose of Entity:	✓ Private Investment ☐ Philanthropic/Chantable ☐ Commercial
Type of Entity Other (specify):			Purpose of Entity Other (specify):
Country of incorporation/registration:	USA		Date of incorporation / registration:	9/5/2008
Volcker Status:			Volcker Flag:
Address (city, street, post code):	575 Lexington Avenue New York NY 10022 USA		U.S. TIN/EIN:
Provide a description of the entity's organizational structure, its ownership structure and its Top Management. For trust/foundations, include information about revocability, settlement and beneficiaries, etc. Single member PLLC with Darren K. Indykle as the sole member and owner Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indykle as the sole member and owner ☐ 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). Single member PLLC with Darren K. Indykle as the sole member and owner 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)?
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:		Law practice. This is Darren Indykle's private law firm.
Countries where business is transacted:		USA
Number of employees:		1

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000141¶

USAO 001104¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

EFTA_00019014¶

EFTA00168761¶

KYC Print¶

Page 21 of 26¶

	Foundation/Association Trust Company Estate Partnership		Private Investment Philantropic/Chartable Commercial
Type of Entity Other (specify):	Purpose of Entity Other (specify):
Country of incorporation/registration:	USA		Date of incorporation / registration: 8/29/2008
Volcker Status:			Volcker Flag:
Address (city, street, post code):	575 Lexington Avenue, 4th Fl New York NY 10022 USA		U.S. TIN/EIN:
Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Better 50% owner
Special attention: Bearer Shares - Indicate where shares are custodied
Describe the claim from the direct owner of the entity to the ultimate beneficial owner (if not the same persons): Richard Kahn 50% owner Harry Better 50% owner
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:	Accounting firm
Countries where business is transacted:	USA
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): Harry and Rich are both in-house accountants for Jeffrey Epstein. Their company's HBRK, assets comes from the fees they charge for this service
Estimated gross receipts p.a.($):	400,000.00
Estimated net profit p.a.($):	300,000.00
Estimated investable assets($):	<$1 MM
Potential Amount to be invested with PWM($):	200,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country: USA	Est. Assets Under Mgt: 200,000.00
Institution:		Country:	Est. Assets Under Mgt:
Institution:		Country:	Est. Assets Under Mgt:
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:	The 2007 Jeffrey E. Epstein Insurance Trust #3 :
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:	Private Investment Philantropic/Chartable Commercial

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000142¶

USAO 001105 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/20¶

EFTA_00019015¶

EFTA00168762¶

KYC Print¶

Page 22 of 26¶

Type of Entity Other(specify):			Purpose of Entity Other(specify):
Country of Incorporation/registration:	USVI		Date of incorporation / registration:	11/1/2007
Volcker Status:			Volcker Flag:
Address(city; street, post code):	575 Lexington Ave, 4th Fl New York NY 10022 USA		U.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.: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee
Please indicate how ownership of the legal entity is reflected: Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee
Special attention: Bearer Shares - Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons): Jeffrey Epstein: Grantor Darren Indyke: Trustee Richard Kahn: Trustee
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:		USVI, USA
Number of employees:		2

3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2)
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?
Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):The funds for this trust account come from contributions made by the Grantor, Jeffrey Epstein.His source of wealth can be found in his wealth profile
Estimated gross receipts p.a.( $ ):
Estimated net profit p.a.( $ ):
Estimated investable assets( $ ):			<$1 MM
Potential Amount to be invested with PWM( $ ):			400,000.00
Other Known Financial Institutions:
Institution:	JPMorgan	Country:		USA	Est. Assets Under Mgt:	400,000.00
Institution:		Country:			Est. Assets Under Mgt:
Institution:		Country:			Est. Assets Under Mgt:

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000143¶

USAO 001106 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/1¶

EFTA_00019016¶

EFTA00168763¶

KYC Print¶

Page 23 of 26¶

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

Relationship Name	EPSTEIN, JEFFREY RELATIONSHIP
Risk Rating Comments:
Booking Center	NY	NY/Offshore	Offshore		Moderate Risk	High Risk	Janice Franklin
(Compliance Signature)
DB Employee	DB Managed PIC			DB is Trustee/Co-Trustee			Bearer Shares

4. Attachments
A.	Type of Photo ID Provided	Drivers License	Passport National/State ID Other
B.	Checklist of names (individuals and/or entities) that were submitted for database searches is attached	Yes	No
C.	Please indicate the results of the database searches performed
	RDC searches complete	Yes	No negative results found
	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, D&B)	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: DARREN K. INDYKE: No negative Media No court cases
	NEW YORK STRATEGY GROUP, LLC: No negative media No court cases
	DARREN K. INDYKE PLLC: No negative media No court cases
	HBRK ASSOCIATES INC: No negative media No court cases
D.	RICHARD KAHN: Approved KYC #01082293 AML Clearance attached to this KYC Not barred from NYSE Arca and he was cleared twice as seen in the attachments
	HARRY BELLER: Negative Media: Not our client. All negative media pertains to an environmental microbiologist. Our client is an accountant Court Cases #11: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Beller. Our client is an accountant
	JEFFREY EPSTEIN INSURANCE TRUST: No negative media No court cases
	JEFFREY EPSTEIN: Previously KYCd and approved in: 01082293 and 01121718
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. (LatAm/Intl) or the Regulatory Control Group and notify Compliance immediately)
G.	Yes No

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000144¶

USAO 001107¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e..¶

EFTA_00019017¶

EFTA00168764¶

KYC Print¶

Page 24 of 26¶

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)?
H.	Does the client or related party have any financial or other association/ interactions within high risk countries? ☐Yes ☑No
I.	Corporate Documentation Attached (Legal Entities Only) ☑Yes ☐No ☐Not Applicable
J.	Undisclosed Principal Form Complete (Intermediaries Only) ☐Yes ☐No ☐Not Applicable
K.	If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation:
L.	Special Risk Factors
	Does the account have Nexus to Special Risk Countries? ☐Yes ☑No
	Is the account structure unusually complex? ☐Yes ☑No
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? ☐Yes ☑No
	Is there any indication this could be a prohibited business relationship? ☐Yes ☑No
	Are the bearer shares identified subject to acceptable controls? ☐Yes ☑No

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000145¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e…¶

USAO 001108 7/11/2019¶

EFTA_00019018¶

EFTA00168765¶

KYC Print¶

Page 25 of 26¶

M. Case Comments
Created By	Date	Comments
Amanda Kirby	10/11/113 9:21 AM	Need to clone to make 2 new KYC's

ONSHORE APPROVALS
Client Facing Professional(CFP):	Paul Morris	(Signature) Paul Morris	10/3/2013
Office Director/Business Head:	Brian M. Biggar	(Signature) Brian M. Biggar	10/4/2013
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Jacqueline Lightbody	(Signature)	10/11/2013
	Jacqueline Lightbody	Jacqueline Lightbody	10/11/2013
	Janice Franklin	Janice Franklin	11/1/2013

LATAM/INTERNATIONAL APPROVALS
Client Facing Professional(CFP):		(Signature)
Account Manager:		(Signature)
Global Market Team Head(GMTH)/Sub-Market Team Head(SMTH):		(Signature)
AML Business Risk:		(Signature)
AML Compliance:		(Signature)

PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals1(1) (CFP’s) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP’s to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis.¶

DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy¶

(1) Client Facing Professionals (CFP’s) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc.¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000146¶

USAO 001109 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e…¶

EFTA_00019019¶

EFTA00168766¶

KYC Print¶

Page 26 of 26¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶

DB-SDNY-0000147¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/2019¶

USAO 001110 7/11/2019¶

EFTA_00019020¶

EFTA00168767¶

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Deutsche Bank KYC file for Jeffrey Epstein's accounts, opened October 2013

2. Account Ownership Summary¶

2. Account Ownership Summary¶

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)¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

3A. Individual Details (for all parties)¶

38. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶

One sheet must be established for EACH INDIVIDUAL PARTY in Section 2: Account Ownership Summary¶

3A. Individual Details (for all parties)¶

3B. Wealth Details (Only for parties requiring source of wealth description as indicated in Section 2)¶