Financial record, 2018

KYC Print¶

Page 1 of 20¶

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: * 2018 Periodic Review - HR Overdue KYC *
Last Approved KYC # Plan D LLC - 1790820; NES LLC - 1790739; The 2007 Jeffrey E Epstein Insurance Trust & The Haze Trust - 1804531. IDs for Darren Indyke & Richard Kahn can be found in “Repository” of GCIS # 486405.
☑ Client Referral	☐ RM Prospect
Please provide details (e.g. name of referral source, how many years RM personally has known client, etc.): Jeffrey Epstein reached out to Stew Oldfield on 37/17 to have a new act opened under 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	Nes LLC - 42953758 - DDA-42953758	11/8/2013
2	Plan D LLC - 42953467 - DDA-42953467	10/18/2013
3	The Haze Trust - 77000949 - DDA-77000949	2/21/2017
4	The Haze Trust - N4G024943 - DBSI-N4G024943	9/23/2013
5	The Haze trust - 42967287 - DDA-42967287	2/27/2017

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 K. 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-0000326¶

USAO 001289 7/11/2019¶

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

EFTA_00019199¶

EFTA00168946¶

KYC Print¶

Page 2 of 20¶

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

2. Account Ownership Summary
Account Name:					Nes LLC - 42953758 - DDA					Acct. Number (< available>)		42953758
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)? This is a simple checking account to take care of the expenses associated with running Jeffrey Epstein's NY home
Indicate from where the assets are expected to arrive? ☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)? > 10-20/month; $30 - $20K
What is the expected volume of assets and currency for the account approx. 90 days after opening?					252,347.66					Currency	USD
What is the expected volume of assets and currency for the account approx. one year after opening?					252,347.66					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 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	✓	✓	NES, LLC	✓	☐	☐	☐	☐	☐			☐	☐	☐
2	☐	☐	Daren K. Indyke	☐	☐	☐	☐	✓	☐			☐	☐	☐
3	☐	☐	Harry Beller	☐	☐	☐	✓	☐	☐			☐	☐	☐
4	☐	✓	Jeffrey E. Epstein	☐	☐	☐	✓	☐	☐	100	☐	☐	☐	Beneficiary;Sole Member;Primary Position Maker;Sole Owner;

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

DB-SDNY-0000327¶

USAO 001290 7/11/2019¶

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

EFTA_00019200¶

EFTA00168947¶

KYC Print¶

Page 3 of 20¶

2. Account Ownership Summary

Account Name:

Plan D LLC - 42953467 - DDA

Acct. Number (<if available>)

42953467

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)? This is a simple checking account for pay for costs associated for Jeffrey Epstein's airplanes

Indicate from where the assets are expected to arrive?

☑ DB Group: Same Booking Center (indicate account number); Existing
☐ 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)? ~ 1-5/month; $100 - $500k

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

790,453.14 Currency USD

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

790,453.14 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

Settor 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)

☑

Plan D, LLC

☑

☐

☑

Jeffrey E. Epstein

☐

☑

☐

Beneficiary/Sole Member/Primary Decision Maker;

☐

Darren K. Indyke

☐

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

DB-SDNY-0000328¶

USAO 001291 7/11/2019¶

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

| EFTA_00019201 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019201”.¶

EFTA00168948¶

KYC Print¶

Page 4 of 20¶

2. Account Ownership Summary
Account Name:				The Haze Trust - 77000949 - DDA					Acct. Number (if available):			77000949
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)? This is an interest bearing checking account for costs (taxes, etc.) related to this Trust
Indicate from where the assets are expected to arrive:
☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)?: ~ 1-3/month; $10K - $10MM
What is the expected volume of assets and currency for the account approx. 90 days after opening?
What is the expected volume of assets and currency for the account approx. one year after opening?
Does/will the client have Assets Under Management (AuM) within DB under Eur. 3M? ☐ Yes ☑ No
Please list all parties related to the account. For each party:
• Check if a source of wealth description is required for the party. • Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). • If none of the check boxes apply, describe the party's relation to the account in the 'Other' column. • Always describe the relationship between the parties in the last column. • Please drill down to the ultimate/underlying Beneficial Owner(s).
Legal Entity	Description of Wealth Required	Parties related to this account	Account Holder	PIC Owner	Settler of Trust / Founder of Owner Foundation	Ultimate Beneficiary for Full POA	Signatory POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC entity (Indicate ownership %)	Legal Representative	Grantor/Settter	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	☑	☑	The Haze Trust	☑	☐	☐	☐	☐	☐		☐	☐	☐
2	☐	☐	Daren K. Indyk	☐	☐	☐	☐	☐	☐		☐	☐	☐
3	☑	☑	Jeffrey B. Epstein	☐	☐	☑	☐	☐	☐		☐	☐	☐

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

DB-SDNY-0000329¶

USAO 001292 7/11/2019¶

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

EFTA_00019202¶

EFTA00168949¶

KYC Print¶

Page 5 of 20¶

2. Account Ownership Summary¶

Account Name:	The Haze Trust - N4G024943 - DBSI	Acti. Number (if available):	N4G024943
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)? This is a brokerage account for the trust to hold and make investments in marketable securities is the purpose of the account.¶

Indicate from where the assets are expected to arrive?¶

☑ DB Group: Same Booking Center (indicate account number); Existing ☐ 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)?: ~ 3-10/month; $10 - $2MM¶

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

20,355,143.12 Currency USD¶

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

20,355,143.12 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	Account Holder	PIC Owner	Settor / Trust / Founder of Foundation	Ultimate Beneficiary of Owner	Signator 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	✓	✓	The Haze Trust	✓	✓	✓	✓	✓	✓	✓	✓	✓
2	✓	✓	Jeffrey E. Epstein	✓	✓	✓	✓	✓	✓	✓	✓	✓
3	□	□	Darren K. Indyk	□	□	✓	✓	✓	✓	✓	✓	✓
4	□	□	Paul Barrett	□	□	✓	✓	✓	✓	✓	✓	✓
5	□	□	Harry Beller	□	□	✓	✓	✓	✓	✓	✓	✓
6	□	□	Jean Anne Bernhard Wiebach	□	□	✓	✓	✓	✓	✓	✓	POA for Brokerage Account;

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

DB-SDNY-0000330¶

USAO 001293 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… 7/11/201¶

EFTA_00019203¶

EFTA00168950¶

KYC Print¶

Page 6 of 20¶

2. Account Ownership Summary
Account Name:			The Haze trust - 42967287 - DDA						Acct. Number (if available):			42967287
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)? This is a simple checking account for costs (taxes, etc.) related to this Trust
Indicate from where the assets are expected to arrive? ☑ DB Group: Same Booking Center (indicate account number): Existing ☐ 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)? There are regular transactions in The Haze brokerage account, which is where most of the activity is. The deposit account just holds cash to earn the interest. Wouldn't expect many transactions there.
What is the expected volume of assets and currency for the account approx. 90 days after opening?					2,503,667.84				Currency			USD
What is the expected volume of assets and currency for the account approx. one year after opening?					2,503,667.84				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 dillow to the ultimate undertaking Beneficial Owner().
Legal Entity	Description of Source of Wealth required	Parties related to this account	Account Holder	PIC Owner	Settler of Trust / Founder of Foundation	Ultimate Beneficiary Owner	Signatory 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	☑	☑	The Haze Trust	☑	☐	☐	☐	☐	☐		☐	☐	☐
2	☐	☑	Jeffrey E. Epstein	☐	☐	☑	☐	☐	☐		☐	☐	☐	Settlor/Beneficiary; Trustee; Trustee; Auth Signor as Trustee & Primary Decision Maker;
3	☐	☐	Daren K. Indyk	☐	☐	☐	☑	☐	☐		☐	☐	☐	Trustee; Trustee; Auth Signor as Trustee;

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

DB-SDNY-0000331¶

USAO 001294 7/11/2019¶

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

EFTA_00019204¶

EFTA00168951¶

KYC Print¶

Page 7 of 20¶

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 E. Epstein - 00000483289	Date of Birth:	1/20/1953
Country of Residence:	Virgin Islands, U.S.	Country of Citizenship:	United States
Address of primary residence:	Little Saint James Saint Thomas 00802 Virgin Islands, U.S.	Has client outside of his/her country of nationality for 5 years or more?	Yes
Profession/Occupation:	Self Employed	Tax ID / SSN:
Current Employer:	Southern Trust Company Inc	Position/Title/Rank:	President
Address of employer:	6100 Red Hook Quarter B3 St. Virginia Islands, U.S. 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-recognized exchange? (Not applicable for operating entities)¶

Does the individual a Politically Exposed Person (PEP)? (If Yes, describe)	Connection with Prince Andrew and Bill Clinton
To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe.)	N/A
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)	NA

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:
Stewart Oldfield

☐ 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?
Summary Source of Wealth:

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, successful in his career and then formed his own firm), Epstein & Co. He lives in the US Virgin Islands, Epstein bought calculus and physics at the Dalton School in Maryland from 1972 to 1975, Among his students was a son of Alan C. Greenberg, chairman of Bear Streams.¶

In 1975, Epstein started work as an option trades伯 Bear Streams who worked in the special products division, advancing high-net-worth clients on tax strategies. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of clients with more than $1 billion in net worth. In 1987, Leslie Wesley, founder and chairman of a limited chain of women’s clothing stores, became well-known client. Werner acquired Abercrombie & Fitch therowing year. In 1992 he converted a private school on the Upper East Side into an amusement park. Epstein later bought that property, in the wealthiest part of Manhattan. In 1996, Epstein changed the name of his firm to the Financial Trust Company and, for advantages, based on it on the island of St. Thomas in the U.S.¶

In 2003, Epstein bid to acquire New York magazine. Otheriders were advertising executive Donny Deesch, investor Netel Pati, media mogul and publisher Mortimer Zuckerman, who had the New York Daily News, and film producer Harvey Weinstein. They were ultimately outbid by Bruce Wasserstein, a longtime Wall Street investor. In 2004, Epstein and Zurich committed up to $25 million to Rachel a fashion editor and pop culture magazine maker by Mayer Rohran. Epstein and Zuckerman were equal partners in the venture, Roshan, as its editor-in-chief, retained a small ownership stake.¶

Presently, Mr. Epstein founded Southern Trust Company Inc, a private consulting company that invests in the assets of their clients and gets their revenue from the return of Trust Investments in different portfolios relevant to their clients and makes their revenue based on the returns and the fees associated with managing their clients’ assets.¶

Estimated Annual Income($):¶

10,000,000.00¶

$50 MW - 100 MW¶

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

DB-SDNY-0000332¶

USAO 001295 7/11/2019¶

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

EFTA_00019205¶

EFTA00168952¶

KYC Print¶

Page 8 of 20¶


Estimated Net Worth($):	$500 MM+		Amount of assets planned to invest with PWM($):		2,300,000.00
Other Known Financial Institutions:
Institution:		Country:		Est. Assets Under Mgt:
Institution:		Country:		Est. Assets Under Mgt:
Institution:		Country:		Est. Assets Under Mgt:
Please indicate the family situation of the individual (marital status, other family members, etc.): N/A

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

DB-SDNY-0000333¶

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

USAO 001296 7/11/2019¶

EFTA_00019206¶

EFTA00168953¶

KYC Print¶

Page 9 of 20¶

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 K. Indyke
Country of Residence:	United States
Address of primary residence:
Profession/Occupation:	Accountant
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter B3 Livingston Virgin Islands, U.S. 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-recognized exchange? (Not applicable for operating entities)¶

☐ Yes ☐ No¶

Is the individual a Politically Exposed Person (PEP)? (If Yes, describe) N/A¶

☐ Yes ☐ No¶

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

☐ 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) N/A¶

☐ 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 Domicle:	Client Place of Business:	Other Location (specify):	Date:
Stewart Oldfield	✓	□	□	12/12/2016
	□	□	□
	□	□	□

☐ 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?¶

Summarize Source of Wealth:¶

☐ Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

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

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

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-0000334¶

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

| EFTA_00019207 | | :--- | :--- |¶

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

EFTA00168954¶

KYC Print¶

Page 10 of 20¶

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

Individual's Name:
Harry Beller				Date of Birth:
Country of Residence:				Country of Citizenship:	United States
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:	Accountant
Address of employer:
575 Lexington Avenue, 4th Floor Monsey NY United States 10022
Does the person work as senior executive of a DB-recognized regulated entity in the financial industry? or an entity listed on a DB-recognised exchange? (Not applicable for operating entities)
Is the individual a Politically Exposed Person (PEP)?(if Yes, describe) N/A
To the best of your knowledge, is the individual related to an employee of the DB group?(if Family or Friendship, describe ) N/A
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 ) NA
If applicable, indicate which bank officers have met the person:
Bank Officer Name(s)	Indicate where and when the client meeting(s) took place:
	Bank Office:	Client Private Domestic:	Client Place of Business:	Other Location (specify):	Date:
	□	□	□
	□	□	□
	□	□	□
	□	□	□
☐ 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?
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.)
Estimated Annual Income($)				Estimated amount of investable assets($)
Estimated Net Worth($)				Amount of assets planned to invest with PWM($)
Other known Financial Institutions:
Institution:				Country:		Est. Assets Under Mgt:
Institution:				Country:		Est. Assets Under Mgt:
Institution:				Country:		Est. Assets Under Mgt:
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-0000335¶

USAO 001298 7/11/2019¶

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

EFTA_00019208¶

EFTA00168955¶

KYC Print¶

Page 11 of 20¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Paul Barrett
Country of Residence:	United States
Address of primary residence:
Profession/Occupation:	Investment Advisor
Current Employer:	J.P. Morgan Securities LLC
Address of employer:	277 Park Ave New York NY United States 10172

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) N/A¶

☐ Yes ☑ No¶

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

☐ 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) N/A¶

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

Bank Office:	Client Private Donor:	Client Place of Business:	Other Location (specify):
□	□	□	□
□	□	□	□
□	□	□	□

☐ 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?¶

Summarize Source of Wealth:¶

☐ Business Owner ☐ Salary/Earnings ☐ Investment ☐ Inheritance/Gifts ☐ Other:¶

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

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

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-0000336¶

USAO 001299 7/11/2019¶

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

| EFTA_00019209 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019209”.¶

EFTA00168956¶

KYC Print¶

Page 12 of 20¶

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

Individual’s Name:	Jean Anne Brennan Wielbracht
Country of Residence:	Virgin Islands, U.S.
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Southern Financial LLC
Address of employer:	6100 Red Hook Quarter, B3 St, Thomas Virgin Islands, U.S. 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) N/A¶

□ Yes ✓ No¶

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

□ 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) N/A¶

□ Yes ✓ No¶

If applicable, indicate which bank officers have met the person:¶

Bank Office:	Client Private Domestic:	Client Place of Business:
□	□	□
□	□	□
□	□	□

☐ 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?¶

Summarize Source of Wealth:¶

Business Owner □ Salary/Earnings □ Investment □ Inheritance/Gifts □ Other:¶

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

Estimated Annual Income($):¶

Estimated amount of investable assets($):¶

Estimated Net Worth($):¶

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

Other Known Financial Institutions:¶

Institution: Country: Est. Assets Under Mgt:¶

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-0000337¶

USAO 001300 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/1¶

EFTA_00019210¶

EFTA00168957¶

KYC Print¶

Page 13 of 20¶

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

Individual’s Name:	Lawrence Paul Vioski Jr -
Country of Residence:	United States
Address of primary residence:	Has client resided outside of his/her country of nationality for 5 years or more? □ Yes ☑ No
Profession/Occupation:	Manager
Current Employer:	Plan D LLC
Address of employer:	6100 Red Hook, Quarter B3 St, Thomas Virgin Islands, U.S. 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) N/A □ Yes ☑ No¶

To the best of your knowledge, is the individual related to an employee of the DB group? (If Family or Friendship, describe ) N/A □ Family ☑ Friendship ☑ None¶

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:
	□ □ □
	□ □ □
	□ □ □

☐ 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?¶

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

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:¶

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-0000338¶

USAO 001301 7/11/2019¶

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

EFTA_00019211¶

EFTA00168958¶

KYC Print¶

Page 14 of 20¶

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 Haze Trust - 00000486428
Type of Entity:	Foundation/Association	Trust	Company	Estate Partnership
Type of Entity Other (specify):				Purpose of Entity:
Country of incorporation/registration:	United States			Date of incorporation / registration:
Volcker Status:	Identified on Customer Profile			Volcker Flag: No
Address (city, street, post code):	6100 Red Hook Quarter B3 St, Thomas 00802 Virgin Islands, U.S.			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, settlement and beneficiaries, etc.: This is a Revocable Trust. Jeffrey Epstein: Grantor/Trustee/Beneficiary Daniel Dorn: Trustee
Please indicate how ownership of the legal entity is reflected: Trust Agreement
Special attention: Bearer Shares – Indicate where shares are custodied:
Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same person): Jeffrey Epstein: Grantor/Trustee/Beneficiary Darren Indyk: Trustee
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal course, client referral source, supplier of goods or services)? N/A
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:	The trust was initially funded with $100. The trust makes and holds investments and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests.
Countries where business is transacted:	United States
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?	United States
Primary Industry of source of Wealth/Source of Funds?	High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): The trust was initially funded with $100 from Jeffrey Epstein. The trust makes and holds investments and the gains it makes from those investments is its source of revenue. The trust, in turn, puts these gains back into the trust and reinvests.
Estimated gross receipts p.a.$():	300 MM - 500 MM
Estimated net profit p.a.$():	200 MM - 500 MM
Estimated investable assets($):	$20 MM - 50 MM
Potential Amount to be invested with PWM ($):	200,000.00
Other known Financial Institutions:
Institution:	Country:	Est. Assets Under Mgt:
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:	Plan D, LLC - 00000487219
Type of Entity:	Purpose of Entity:

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

DB-SDNY-0000339¶

USAO 001302¶

7/11/2019¶

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

EFTA_00019212¶

EFTA00168959¶

KYC Print¶

Page 15 of 20¶

	Foundation/Association		Private Investment
Type of Entity Other (specify):		Purpose of Entity Other (specify):
Country of incorporation/registration:	Virgin Islands, U.S.	Date of incorporation / registration:	10/19/2012
Volker Status:	Identified on Customer Profile	Volker Flag:	No
Address (city, street, post code)	6100 Red Hook, Quarter B3 St, Thomas 00802 Virgin Islands, U.S.	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/setter and beneficiaries, etc. Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyk. Please indicate how ownership of the legal entity is reflected: Operating Agreement
Special attention: Bearer Shares - Indicate where shares are custodied. Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons). Single member LLC. Sole member is Jeffrey Epstein. The signors on this account are Jeffrey Epstein, Harry Beller and Darren Indyk. Lawrence Paul Vivoki Jr is the manager.
To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Bank (e.g. external legal course), client referral source, supplier of goods or services)? N/A
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:
LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Personal airplanes are generally leased out to others when the owner is not using the plane.
Countries where business is transacted:		United States
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?
United States
Primary Industry of source of Wealth/Source of Funds?
High Risk Financial Institutions
Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/liabilities): LLC created to hold funds to pay for costs associated with one of Jeffrey Epstein's planes. Initial contribution of $1,000 from Jeffrey Epstein and all source of funds come from Jeffrey Epstein. An airplane is equipment. Personal airplanes are generally leased out to others when the owner is not using the plane.
Estimated gross receipts p.a.($):
1,000,000.00
Estimated net profit p.a.($):		500,000.00
Estimated investable assets($):		<$1 MM
Potential Amount to be invested with PWM($):		200,000.00
Other known Financial Institutions:
Institution:
Country:		Est. Assets Under Mgt:
Institution:		Country:
Country:		Est. Assets Under Mgt:
Institution:
Other known Financial Institutions:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary
JC. Legal Entity Details (For all Legal Entities)
Legal Entity Name:
NES, LLC - 00000487265
Type of Entity:
Foundation/Association Trust Company Estate Partnership Purpose of Entity:
Type of Entity Other (specify):

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

DB-SDNY-0000340¶

USAO 001303¶

7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/20¶

EFTA_00019213¶

EFTA00168960¶

KYC Print¶

Page 16 of 20¶

Country of incorporation/registration:	United States		Date of incorporation/ registration:	8/13/1998
Volcker Status:	Identified on Customer Profile		Volcker Flag:	No
Address(city, street, post code):	6100 Red Hook Quarter,B3 St,Thomas 00802 Virgin Islands,U.S.		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.:Single member LLC.Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Darren Indyke and Harry Beller
Please indicate how ownership of the legal entity is reflected:Operating Agreement
Special attention:Bearer Shares-Indicate where shares are custodied
Describe the chain from the direct owner of the entity to the ultimate beneficial owner(if not the same persons):Single member LLC.Jeffrey Epstein is the sole member.The signors on this account are Jeffrey Epstein,Darren Indyke and Harry Beller
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)?N/A		Yes No
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the business:		NES,LLC was formed to take care of the expenses associated with running one of Jeffrey Epstein's homes
Countries where business is transacted:		United States
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?	United States
Primary industry of source of Wealth/Source of Funds?	High Risk Financial Institutions
Provide Evidence of Corporate Assets(e.g. balance sheet or equivalent summary of assets/liabilities):All funds come from Jeffrey Epstein, who has been KYCd previously
Estimated gross receipts p.a.( $ ):	1,000,000.00
Estimated net profit p.a.( $ ):	500,000.00
Estimated investable assets( $ ):	<$1MM
Potential Amount to be Invested with PWM( $ ):	150,000.00
Other Known Financial Institutions:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:
Institution:	Country:	Est. Assets Under Mgt:

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

DB-SDNY-0000341¶

USAO 001304 7/11/2019¶

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

EFTA_00019214¶

EFTA00168961¶

KYC Print¶

Page 17 of 20¶

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

Relationship Name	SOUTHERN FINANCIAL RELATIONSHIP
Risk Rating Comments:	The Haze-Overall-HIGH,Entity-HIGH,Industry-HIGH,Country-MEDIUM,Product-HIGH.The 2007 Jeffrey-Overall-HIGH,Entity-HIGH,Industry-HIGH,Country-MEDIUM,Product-HIGH.Plan D&NES LLC-Overall-HIGH,Entity-MEDIUM,Industry-HIGH,Country-MEDIUM,Product-HIGH.
Booking Center	NY	NY/Offshore	Offshore	Moderate Risk	High Risk
(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 Yes No¶

PCR checks complete Yes No negative results found Yes No¶

OFAC checks complete Yes No negative results found Yes No¶

BIS searches complete (Lexis/Nesis, Factiva, Reuters, Dow Jones, DMB) Yes No negative results found Yes No¶

Denial Orders checks complete Yes No negative results found Yes No¶

Martinale-Hubbell searched (Lawyers/law Firms only) Yes No negative results found Yes No¶

D. Please summarize any negative results from the database searches indicated above: Plan D:¶

No negative media
No court cases

The Haze Trust:¶

No negative media
No court cases

The 2007 Jeffrey E. Epstein Insurance Trust #3:¶

No negative media
No court cases

NES LLC:¶

No negative media,
Court case was filed way back in 4/5/2005 which pertains to NES LLC that is involved in doing business as National Educational Service and the status of the case stands closed. This does not pertain to our entity as our entity is not into educational service.

Harry Beller:¶

No negative media
Harry Beller is the plaintiff in the court case, also it has been disposed.

Jeffrey Edward Epstein:¶

Adverse results in Google relates to Jeffrey’s Sex offence in the past which are cleared already. Attached clearances in the case.
Negative media relates to the sex offence in the past which are already cleared, another (Gerber Et Al) is a recent ongoing civil lawsuit relating to fraud which has been dismissed (attached document), but part of formal business operations for this client. And in one of the case he’s neither defendant nor plaintiff. He’s just named as a respondent and the case is immaterial in nature.
Minimal filing relates to sex offence which is already cleared in the past.
RDC alert found. Sex offences in the past which has been cleared – Clearance attached.

Darren Indyk:¶

Negative news in Google relates to Jeffrey Epstein’s Foundation and are not material in nature.
Court mentioned in Google relations to Jeffrey Epstein’s sex offence in the past which has been cleared already. Darren is just an attorney for Jeffrey in the case.
Friend alert has been cleared by AML Compliance. Clearance attached.

Karen Kivn:¶

No negative media
Court case was dismissed and he was not barred from NYSE Arca and was cleared in the previous KYCs. Attached clearances
RDC alert found – realizes to violation of NYSE Arca Equities Rule – Clearance attached.

No negative media No court cases¶

Paul S Barnett :¶

DB-SDNY-0000342¶

USAO 001305¶

7/11/2019¶

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

EFTA_00019215¶

EFTA00168962¶

KYC Print¶

Page 18 of 20¶

	No negative mediaNo court casesRDC alert found - False positives, does not pertain to our client. Clearance attached.
Jean Anne Brennan Webracht:No negative mediaNo court cases
Lawrence Paul Visoski Jr:No negative mediaNo court cases
Southern Trust Company Inc:No negative mediaNo court cases
The Financial Trust Company:Negative news in research is false positive and immaterial in nature.The hit is on IRA Financial Trust Company and not our SOW entity The Financial Trust Company.Court case pertains to First Financial Trust Company and not our SOW entity The Financial Trust Company
E.	To the best of your knowledge, has the client ever been convicted of a criminal offense?YesNo
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.	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)?YesNo
H.	Does the client or related party have any financial or other association/interactions within high risk countries?
I.	Corporate Documentation Attached(Legal Entities Only)YesNoNot Applicable
J.	Undisclosed Principal Form Complete(Intermediaries Only)YesNoNot Applicable
K.	If Lexis/Nexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/content of the non-English Documentation:
L.	Special Risk Factors
	Does the account have Nexus to Special Risk Countries?YesNo
	Is the account structure unusually complex?YesNo
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties?YesNo
	Is there any indication this could be a prohibited business relationship?YesNo
	Are the bearer shares identified subject to acceptable controls?YesNo

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

DB-SDNY-0000343¶

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

USAO 001306 7/11/2019¶

EFTA_00019216¶

EFTA00168963¶

KYC Print¶

Page 19 of 20¶

M. Case Comments
Created By	Date	Comments
Alka Babu	11/5/118 4:18 AM	Darren Indyke on 10/22/18 confirmed that there are no material charges.
Yoonsun Chung	11/16/118 1:32 PM	RM Confirmed that the clients will be closing the accounts before the end of the year. Case will be closed. 11/16/18
Dimitra Manley	11/19/118 11:42 AM	This KYC serves as Periodic Review for the following existing clients: (1) Nes LLC (2) Plan D LLC (3) The Haze Trust Risk factors include: • Source of Wealth(SOW) Industry: Financial Management(managing client assets) • PEP/RCA: Jeffrey Epstein, UBO & SOW, is considered an RCA based on his close relationship with Bill Clinton(Former US President) and Prince Andrew(British Royal Family) • Media: Negative media related to Jeffrey Epstein has been previously reviewed and escalated for reputational risk concerns.Evidence of prior approval to proceed with the relationship is attached to this case, including a stipulation to review further if new media is identified.Accordingly, approval from the Divisional Control Officer is attached to this KYC in regards to a recently filed(and dismissed) court case.(Please see clearances for more details) We are comfortable signing-off on this KYC for the following reasons: • Information and supporting documents required by our AML Policy were provided and reviewed.As a result, we have a reasonable understanding of the purpose of the account and expected transaction activity. • The source of wealth was sufficiently detailed and appears plausible. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists.
Yoonsun Chung	11/16/118 4:45 PM	The only account closing is the insurance trust,
Aka Babu	8/24/118 5:48 AM	No material changes confirmation "email" attached in the case

ONSHORE APPROVALS
Client Facing Professional(CFP):	Bradley Gillin	(Signature) Bradley Gillin	10/5/2018
Office Director/Business Head:	Andrew F Gallivan	(Signature) Andrew F Gallivan	10/9/2018
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Dimitra Manley	(Signature) Dimitra Manley	11/19/2018

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)

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

DB-SDNY-0000344¶

USAO 001307 7/11/2019¶

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

EFTA_00019217¶

EFTA00168964¶

KYC Print¶

Page 20 of 20¶

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.¶

Deutsche Bank Americas New York¶

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

DB-SDNY-0000345¶

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

USAO 001308 7/11/2019¶

EFTA_00019218¶

EFTA00168965¶

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

1. Relationship Details¶

List all existing and new accounts involved in this relationship¶

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)¶

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

3A. Individual Details (for all parties)¶

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

4. Attachments¶