KYC Print

Page 1 of 12



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: | JSC INTERIORS LLC RELATIONSHIP | Booking Center | New York |
| :--- | :--- | :--- | :--- |
| Relationship Manager: | Paul Morris | | |
| Relationship to PWM: | ✓ New PWM Relationship | ☐ Existing PWM Relationship | |
| | If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: | | |
| 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.): Richard Kahn is a current client of Paul Morris. He referred the account as he knows the owner of this LLC and is also POA. | | |
| 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 | JSC Interiors LLC - Deposits | 11/19/2014 |
| 2 | JSC Interiors LLC - MMA | 11/19/2014 |

Who is the primary contact person for the RM? (Note: This person needs to have signatory rights and/or information right for the accounts.):
Richard Kahn
Preferred method of contact (indicate phone no., fax no., e-mail address, etc.):

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



DB-SDNY-0000183




USAO 001146
7/11/2019


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

EFTA_00019056

EFTA00168803

KYC Print

Page 2 of 12

One sheet must be established for each account to be opened

<table><thead><tr><th colspan="13">2. Account Ownership Summary</th></tr></thead><tbody><tr><td colspan="4">Account Name:</td><td colspan="5">JSC Interiors LLC - Deposits</td><td colspan="3">Acct. Number (if available)</td></tr><tr><td colspan="4">Account Manager:</td><td colspan="9">Paul Morris</td></tr><tr><td colspan="13">What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account for daily activities associated with running an interior design company.</td></tr><tr><td colspan="13">Indicate from where the assets are expected to arrive?<br>☐ DB Group: Same Booking Center (indicate account number);<br>☐ DB Group: Other Booking Center (indicate DB location and account details);<br>✔ Other Institution (Indicate name &amp; location): JPM<br>☐ Physical Deposits (specify cash, securities, cheques, ...):</td></tr><tr><td colspan="13">What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? Roughly 10-20 inflows and outflows per month ranging from $1,000 to $10,000</td></tr><tr><td colspan="6">What is the expected volume of assets and currency for the account approx. 90 days after opening?</td><td colspan="3">25000</td><td>Currency</td><td colspan="2">USD</td></tr><tr><td colspan="6">What is the expected volume of assets and currency for the account approx. one year after opening?</td><td colspan="3">50000</td><td>Currency</td><td colspan="2">USD</td></tr><tr><td colspan="6">Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M?</td><td colspan="6">☐ Yes ✔ No</td></tr><tr><td colspan="13">Please list all parties related to the account.<br>For each party:<br>• Check if a source of wealth description is required for the party.<br>• Check the appropriate box to describe the relationship of the party to this account (&gt; 1 can be selected).<br>If none of the check boxes apply, describe the party&#x27;s relation to the account in the “Other” column.<br>• Always describe the relationship between the parties in the last column.<br>• Please drill down to the ultimate/underlying Beneficial Owner(s).</td></tr><tr><td>Legal Entity</td><td>Description of Source of Wealth required</td><td>Parties related to this account</td><td>Account Holder</td><td>PIC Owner</td><td>Settler of Trust / Founder of Foundation</td><td>Ultimate Beneficiary Owner</td><td>Signatory or Full POA</td><td>Limited POA</td><td>Financial Intermediary (FIM)</td><td>Significant Shareholder (&gt; 25%) Non-WIC entity (indicate ownership %)</td><td>Legal Representative</td><td>Grantor/Settter</td><td>Founding Donor</td><td>Other (please describe other roles and/or indicate relationship between parties)</td></tr><tr><td>1</td><td>☐</td><td>☐</td><td>Richard Calm</td><td>☐</td><td>☐</td><td>☐</td><td>☐</td><td>☐</td><td>☐</td><td></td><td>☐</td><td>☐</td><td>☐</td><td></td></tr><tr><td>2</td><td>✔</td><td>✔</td><td>JSC Interiors LLC</td><td>✔</td><td>☐</td><td>☐</td><td>☐</td><td>☐</td><td>☐</td><td></td><td>☐</td><td>☐</td><td>☐</td><td></td></tr><tr><td>3</td><td>☐</td><td>✔</td><td></td><td>☐</td><td>☐</td><td>☐</td><td>✔</td><td>☐</td><td>☐</td><td></td><td>☐</td><td>☐</td><td>☐</td><td></td></tr></tbody></table>

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



DB-SDNY-0000184




USAO 001147
7/11/2019


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

| EFTA_00019057 |
| :--- | :--- |

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.

EFTA00168804

KYC Print

Page 3 of 12

# 2. Account Ownership Summary

| Account Name: | JSC Interiors LLC - MMA | 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 and earn interest for the interior design 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): JPM
- □ 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?

50000

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

50000

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 Wealth required | Parties related to this account | Account Holder | PIC Owner | Settor of Trust / Founder of Foundation | Ultimate Beneficial Owner | Signatory for Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (>= 25%) Non-PIC entity (indicate ownership %) | Legal Representative | Grantor/Settler | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) |
| :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- |

1. □ □ Richard Kahn
2. ✔ ✔ JSC Interiors LLC
3. □ □

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



DB-SDNY-0000185




USAO 001148
7/11/2019


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

EFTA_00019058

EFTA00168805

KYC Print

Page 4 of 12

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: | Richard Kahn | Date of Birth: |
| :--- | :--- | :--- |
| Country of Residence: | USA | Country of Citizenship: USA |
| Address of primary residence: | Has client resided outside of higher country of nationality for 5 years or more? | □ Yes □ No |
| Profession/Occupation: | Tax ID /SSN: | □ |
| Current Employer: | 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:

Bank Officer Name(s)
Bank Office: Client Private Domicile: Client Place of Business: Other Location (specify): Date:

Paul Morris
□ □ ☑
11/4/2014

□ □ ☑
□
□
□

Summarize Source of Wealth:
□ Business Owner □ Salary/Earnings □ Investment □ Inheritance/Gifts □ Other

☐ 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:
Primary Country of source of wealth/source of Funds?
Primary industry of source of Wealth/Source of Funds?

Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settler accumulate wealth? For inheritance, how did family accumulate wealth? For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.)

Estimated Annual Income($):
Estimated amount of investable assets($):
Estimated Net Worth($):
Amount of assets planned to invest with PWM($):

Other Known Financial Institutions:

Institution:
Country:
Est. Assets Under Mgt:
Institution:
Country:
Est. Assets Under Mgt:

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



DB-SDNY-0000186





USAO 001149

7/11/2019



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

| EFTA_00019059 |
| :--- | :--- |

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text.

EFTA00168806

KYC Print

Page 5 of 12

<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.)：</td></tr></table>

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



DB-SDNY-0000187


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



USAO 001150
7/11/2019


EFTA_00019060

EFTA00168807

KYC Print

Page of 12

# 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 or a DB-recognised 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 Domile: | Client Place of Business: | Other Location (specify): | Date: |
| :--- | :--- | :--- | :--- | :--- | :--- |
| Paul Morris | □ | □ | □ | | 11/3/2014 |
| | □ | □ | □ | | |
| | □ | □ | □ | | |

☐ 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: Interior Design

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($): 100,000.00 Estimated amount of investable assets($): <$1 MM

Estimated Net Worth($): <$1 MM Amount of assets planned to invest with PWM($):

Other Known Financial Institutions:

Institution: Country: Est. Assets Under Mgt:







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



DB-SDNY-0000188



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

EFTA_00019061

EFTA00168808

KYC Print

Page 7 of 12

<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</td></tr></table>

One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary

<table border="1"><tr><td colspan="4">3C. Legal Entity Details(For all Legal Entities)</td></tr><tr><td>Legal Entity Name:</td><td colspan="3">JSC Interiors LLC</td></tr><tr><td>Type of Entity:</td><td colspan="2">Foundation/Association Trust Company Estate Partnership</td><td>Purpose of Entity:Private InvestmentPhilanthropic/CharitableCommercial</td></tr><tr><td>Type of Entity Other(specify):</td><td colspan="2"></td><td>Purpose of EntityOther(specify):</td></tr><tr><td>Country of Incorporation/Registration:</td><td colspan="2">USA</td><td>Date of incorporation/Registration:11/7/2014</td></tr><tr><td>Volcker Status:</td><td colspan="2"></td><td>Volcker Flag:</td></tr><tr><td>Address(city, street, post code):</td><td colspan="2">575 Lexington Avenue, 4th Fl New York NY 10022 USA USA</td><td>U.S. TIN/EIN:47-2294796</td></tr><tr><td colspan="4">Provide a description of the entity&#x27;s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.</td></tr><tr><td colspan="4">Please indicate how ownership of the legal entity is reflected:Richard Kahn is the Manager</td></tr><tr><td colspan="4">Special attention:Bearer Shares - Indicate where shares are custodied:N/A</td></tr><tr><td colspan="4">Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons):Richard Kahn is the Manager</td></tr><tr><td colspan="4">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</td></tr><tr><td colspan="4">Describe Nature of Entity&#x27;s Primary Business and Investment Activities</td></tr><tr><td colspan="2">Nature of the business:</td><td colspan="2">JSC Interiors LLC is an interior design company.It designs interiors for homes,companies,corporate offices,etc.Interior design business for individuals/NYC will be primary focus butwill expand over time to other locations where clients have homes.There is 1 office locationand it is located in New York.</td></tr><tr><td colspan="2">Countries where business is transacted:</td><td colspan="2">USA</td></tr><tr><td colspan="2">Number of employees:</td><td colspan="2">1</td></tr></table>

<table border="1"><tr><td colspan="2">3D. Wealth Profile(Only for parties requiring source of wealth description as indicated in Section 2)</td></tr><tr><td>Primary Country of source of wealth/source of Funds?</td><td></td></tr><tr><td>Primary industry of source of Wealth/Source of Funds?</td><td></td></tr><tr><td colspan="2">Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):USC Interiors LLC&#x27;s assets come from the fees it charges its clients for its decorating services.The firm specializes in the high end and works mainly with elite private clients and companies</td></tr><tr><td>Estimated gross receipts p.a.( $ ):</td><td>400,000.00</td></tr><tr><td>Estimated net profit p.a. ($ ):</td><td>300,000.00</td></tr><tr><td>Estimated investable assets ($ ):</td><td>&lt;$1 MM</td></tr><tr><td>Potential Amount to be invested with PWM ($ ):</td><td>100,000.00</td></tr><tr><td colspan="2">Other Known Financial Institutions:</td></tr></table>

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



DB-SDNY-0000189





USAO 001152

7/11/2019



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

EFTA_00019062



EFTA00168809


KYC Print

Page 8 of 12

<table border="1"><tr><td>Institution:</td><td>JPM</td><td>Country:</td><td>USA</td><td>Est. Assets Under Mgt:</td><td>100,000.00</td></tr><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></table>

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



DB-SDNY-0000190


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



USAO 001153
7/11/2019


EFTA_00019063

EFTA00168810

KYC Print

Page 9 of 12


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


<table border="1"><tr><td>Relationship Name</td><td colspan="7">JSC INTERIORS LLC 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></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 National/State ID Other</td></tr><tr><td></td><td>Checklist of names (individuals and/or entities) that were submitted for database searches is attached</td><td>Yes</td><td>No</td></tr><tr><td>C.</td><td colspan="3">Please indicate the results of the database searches performed</td></tr><tr><td></td><td>RDC searches complete</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td>PCR checks complete</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td>OFAC checks complete</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td>BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&amp;B)</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td>Denial Orders checks complete</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td>Martindale-Hubbell searched (Lawyers/Law Firms only)</td><td>Yes</td><td>No negative results found Yes</td></tr><tr><td></td><td colspan="3">Please summarize any negative results from the database searches indicated above:<br>No negative results<br>No court cases</td></tr><tr><td>D.</td><td colspan="3">JSC INTERIORS LLC<br>No negative results<br>No court cases</td></tr><tr><td></td><td colspan="3">RICHARD KAHN:<br>KYC approved in</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? Yes No</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. (LatAn/Int1) or the Regulatory Control Group and notify Compliance immediately. Yes No</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)? Yes No</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? Yes No</td></tr><tr><td>I.</td><td colspan="3">Corporate Documentation Attached (Legal Entities Only) Yes No Not Applicable</td></tr><tr><td>J.</td><td colspan="3">Undisclosed Principal Form Complete (Intermediaries Only) Yes No 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/content of the non-English Documentation:</td></tr><tr><td>L.</td><td colspan="3">Special Risk Factors</td></tr><tr><td></td><td colspan="3">Does the account have Nexus to Special Risk Countries? Yes No</td></tr><tr><td></td><td colspan="3">Is the account structure unusually complex? Yes No</td></tr></tbody></table>

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



DB-SDNY-0000191





USAO 001154

7/11/2019



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

EFTA_00019064

EFTA00168811

KYC Print

Page 10 of 12

<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>

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



DB-SDNY-0000192


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



USAO 001155
7/11/2019


EFTA_00019065

EFTA00168812

KYC Print

Page 11 of 12

<table border="1"><tr><td>M. Case Comments</td></tr><tr><td>No records to display.</td></tr></table>

<table border="1"><tr><td colspan="4">ONSHORE APPROVALS</td></tr><tr><td>Client Facing Professional(CFP):</td><td>Paul Morris</td><td>(Signature) Paul Morris</td><td>11/14/2014</td></tr><tr><td>Office Director/Business Head:</td><td>Kimberly Hart</td><td>(Signature) Kimberly Hart</td><td>11/17/2014</td></tr><tr><td>Regional Office Director:</td><td></td><td>(Signature)</td><td></td></tr><tr><td>AML Business Risk:</td><td>Melisa Venegas</td><td>(Signature) Melisa Venegas</td><td>12/2/2014</td></tr><tr><td>AML Compliance:</td><td></td><td>(Signature)</td><td></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 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-0000193




USAO 001156
7/11/2019


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

EFTA_00019066

EFTA00168813

KYC Print

Page 12 of 12

Deutsche Bank Americas New York



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



DB-SDNY-0000194




USAO 001157
7/11/2019


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

EFTA_00019067

EFTA00168814