Deutsche Bank KYC file for Jeffrey Epstein's accounts, 2018 periodic review

KYC Print¶

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DB PWM GLOBAL KYC/NCA: PART A¶

One sheet must be established per relationship - list all accounts included in the relationship
1. Relationship Details
Relationship Name:	EPSTEIN, JEFFREY RELATIONSHIP		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 - Overdue HR KYC * Last Approved KYC # - Epstein, Jeffrey E. & Southern Trust Company, Inc. - 1790655; Zorro Management, LLC - 1790820.
	Client Referral	RM Prospect	Intermediary/FIM	Other Source(CIB, etc.)
How Was the Client(s) Introduced? How long has the RM personally known the client?	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 3/7/17 to have a new acct opened under this relationship.
Does Deutsche Bank pay a retrosession 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	☐	Jeffrey Epstein-			3/8/2016
2	☐	Jeffrey Epstein-DBSI-			9/23/2013
3	☐	Jeffrey Epstein-Custody-			4/10/2014
4	☑	Southern Trust Company Inc-DBSI-			8/26/2013
5	☑	Southern Trust Company Inc-MMBA-			8/27/2013
6	☑	Zorro Management LLC-DDA-			12/20/2016
7	☑	Zorro Management LLC(House Account)-DDA-			3/13/2017
Who is the primary contact person for the RM?(Note: This person needs to have signatory rights and/or information right for the accounts.))		Darren K. Indykke		Preferred method of contact(indicate phone no., fax no., e-mail address, etc.)

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

2. Account Ownership Summary¶

Account Name:	Jeffrey Epstein - DDA	Acct. Number (if available):
Account Manager:	Stewart Oldfield

What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is Jeffrey Epstein’s personal daily use.¶

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)?: 30-55/month; $10 - $1.5MM¶

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

3,406,312.24 Currency USD¶

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

3,406,312.24 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).¶

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

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2. Account Ownership Summary
Account Name:			Jeffrey Epstein - DBSI					Acct. Number (< if available):
Account Manager:			Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold marketable securities and cash.
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)?: 0-3/month; $0 -$500
What is the expected volume of assets and currency for the account approx. 90 days after opening?						669,126.30			Currency	USD
What is the expected volume of assets and currency for the account approx. one year after opening?						669,126.30			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 Foundation	Ultimate Beneficiary Owner	Signatory for Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (%)	Legal Representative	Grantor/Settter	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	□	☑	Jeffrey E. Epstein	☑	□	□	□	☑	□		□	□	□
2	□	□	Harry Beller	□	□	□	□	☑	□		□	□	□
3	□	□	Darren K. Indyk	□	□	□	☑	□		□	□	□	□

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2. Account Ownership Summary
Account Name:				Jeffrey Epstein - Custody				Acct. Number (# available)
Account Manager:				Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to hold FX cash deposits.
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)? 5-10/month; $0 - $250K
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 of Source of Wealth required	Description of Source of Wealth required	Parties related to This account	Account Holder	PIC Owner	Settor of Trust / Founder/Owner Foundation	Ultimate Beneficiary/Owner	Signatory for Full POA	Limited POA	Financial Intermediary (FIM)	Significant Shareholder (>=25%) Non-PIC entity (indicate ownership %)	Legal Representative	Grantor/Settion	Founding Donor	Other (please describe other roles and/or indicate relationship between parties)
1	□	✓	Jeffrey E. Epstein	✓	□	□	□	□	□		□	□	□
2	□	□	Harry Beller	□	□	□	✓	□	□		□	□	□
3	□	□	Darren K. Indyk	□	□	□	✓	□	□		□	□	□

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2. Account Ownership Summary¶

Account Name:	Southern Trust Company Inc - DBSI	Acct. Number (if available)
Account Manager:	Stewart Oldfield

Indicate from where the assets are expected to arrive?¶

What is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volume per month)? 2-10/month; 42K - $ 29M¶

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

2,550,527.46 Currency USD¶

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

2,550,527.46 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 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 Plan account | Account Holder | PIC Owner | Settor of Trust / Founder Foundation | Ultimate beneficial owner | Signatory or Full POA | Limited POA | Financial Intermediary (FIM) | Significant Shareholder (> 53%) Non-PIC entity (indicate ownership %) | Legal Representative | Grant/Setter | Founding Donor | Other (please describe other roles and/or indicate relationship between parties) | | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | :--- | | 1 | ✓ | ✓ | Southern Trust Company, Inc. | ✓ | □ | □ | □ | □ | □ | 100 | ✓ | □ | □ | □ | | 2 | ✓ | ✓ | Jeffrey E. Epstein | □ | □ | ✓ | □ | □ | □ | | □ | □ | □ | □ | | 3 | □ | □ | Jean Anne Brennan Wiebracht | □ | □ | □ | □ | □ | | | | □ | □ | □ | | 4 | □ | □ | Daren K. Indyke | □ | □ | □ | ✓ | □ | | | | □ | □ | □ | | 5 | □ | □ | Richard D. Kaln | □ | □ | □ | □ | □ | | □ | □ | □ | □ | □ | | 6 | □ | □ | Paul S. Barrett | □ | □ | □ | ✓ | □ | | | □ | □ | □ | □ | Trading Authorization Limited to Purchases & Sales of Securities |¶

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2. Account Ownership Summary¶

Account Name:	Southern Trust Company Inc - MMBA	Acct. Number (if available):
Account Manager:	Stewart Oldfield

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)?: 3-8/month; $500 - $5MM¶

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

2,468,673.24¶

Currency USD¶

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

2,468,673.24¶

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(4).¶

Legal Entity	Description of Source of Wealth required	Parties related to this account	Account Holder	PIC Owner	Settle 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	✓	✓	Southern Trust Company, Inc.	✓	□	□	□	□	□	□	□	□	□	□
2	□	✓	Jeffrey E. Epstein	□	□	□	✓	□	□	100	✓	□	□	Director;
3	□	□	Jean Anne Brennan Willechtracht	□	□	□	✓	□	□	□	□	□	□
4	□	□	Darren K. Indyke	□	□	□	□	□	□	□	✓	□	□	Director;
5	□	□	Richard D. Kahn	□	□	□	□	□	□	□	✓	□	□	Director;

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2. Account Ownership Summary
Account Name:				Zorro Management LLC - DDA					Acct. Number (if available):
Account Manager:				Stewart Oldfield
What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? The purpose of this account is to manage the daily expenses of the company
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)?: 10-15/month; $50 - $200K
What is the expected volume of assets and currency for the account approx. 90 days after opening?						254,944.25			Currency		USD
What is the expected volume of assets and currency for the account approx. one year after opening?						254,944.25			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	Settle of Trust / Founder of Foundation	Ultimate Beneficiator 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	☑	☑	Zorro Management, LLC	☑	☐	☐	☐	☐	☐		☐	☐
2	☐	☑	Jeffrey E. Epstein	☐	☐	☑	☐	☐	100	☐	☐	☐	Sole Member;
3	☐	☐	Darren K. Indyk	☐	☐	☐	☑	☐		☐	☐	☐

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

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2. Account Ownership Summary

Account Name:

Zorro Management LLC (House Account) - DDA

Acct. Number (if available):

Account Manager:

Stewart Oldfield

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)?: 5-15/month; $100 - $1K

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

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

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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:	Harry Beller -
Country of Residence:	United States
Address of primary residence:
Profession/Occupation:	Accountant
Current Employer:	HBRK Associates, Inc
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) N/A¶

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

Bank Office:	Client Private Domicile:	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)¶

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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 K. Indyke
Country of Residence:	United States
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 officer 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) N/A¶

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

Bank Officer Name(s)	Bank Office:	Client Private Domestic:	Client Place of Business:	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)¶

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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:

Jeffrey E. Epstein

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 residided 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. Thomas Virginia Islands, U.S. 0802

Does the person work as service 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)

Is 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

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:

Stewart Oldfield

☑

6/28/2017

Patrick Anderson

☑

6/28/2017

Important school at Bear Stearns early in his career and then formed his own firm. J. Epstein & Co. He lives in the US Virgin Islands. Epstein taught calculus and physics at the Dalton School in Manhattan from 1973 to 1975. Among his students was a son of Alan C. Greenberg, chairman of Bear Stearns. In 1976, Epstein started work as an option trader at Bear Stearns where he worked in the special products division, advancing high-net-worth clients on tax matters, important business partners. J. Epstein & Co. founded an American dealer and registered tax affidavit in the United States. He worked at Bear Stearns early in his career and then formed his own firm. J. Epstein & Co. managing the assets of clients with more than $1 billion in net worth. 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 Weiner, founder and chairman of Ohiowha based The Limited chain of women's clothing stores, became a well-known client. Weiner acquired Abercrombie & Fitch the following year. In 1992 he co-owned a private school on the East Side of an American residence. 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 tax advantages, based it on the island of St. John's in the US Virgin Islands. In 2004, Epstein and Duckworth other bidders were advertising Executive Denny Dutch, Investor Neil Petty, media mogul and Mortimer Zuckerken, who had the New York Daily News, and film producer Harvey Weinstein. They ultimately outbid by Bruce Wassersten, a longtime Wall Street investor, who paid $5 million.

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 employer, primary source of wealth/Source of Funds? High risk Financial Institutions

Nature of the Individual's Business: Private investments

Primary Country of source of wealth/Source of Funds? United States

Primary Industry of source of Wealth/Source of Funds? High risk Financial Institutions

Summarize Source of Wealth:

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

DB-SDNY-0000358¶

USAO 001321¶

7/11/2019¶

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

| EFTA_00019231 | | :--- | :--- |¶

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

EFTA00168978¶

KYC Print¶

Page 14 of 30¶

return of these investments. Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their client’s assets.¶

Estimated Annual Income($):	10,000,000.00		Estimated amount of investable assets($):		$50 MM-100 MM
Estimated Net Worth($):	$500 MM+		Amount of assets planned to invest with PWM($):		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.): NA

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

DB-SDNY-0000359¶

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

USAO 001322 7/11/2019¶

EFTA_00019232¶

EFTA00168979¶

KYC Print¶

Page 15 of 30¶

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 higher country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
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)¶

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¶

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

Bank Officer Name(s)	Bank Office:	Client Private Domicile:	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:¶

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-0000360¶

USAO 001323¶

7/11/2019¶

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

| EFTA_00019233 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just one line of text: “EFTA_00019233”.¶

EFTA00168980¶

KYC Print¶

Page 16 of 30¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000361¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001324 7/11/2019 EFTA_00019234¶

EFTA00168981¶

KYC Print¶

Page 17 of 30¶

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 higher country of nationality for 5 years or more?
Profession/Occupation:	Tax ID / SSN:
Current Employer:	Position/Title/Rank:
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¶

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

Bank Officer Name(s)	Bank Office:	Client Private Domicile:	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-0000362¶

USAO 001325¶

7/11/2019¶

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

| EFTA_00019235 | | :--- | :--- |¶

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

EFTA00168982¶

KYC Print¶

Page 18 of 30¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000363¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001326 7/11/2019 EFTA_00019236¶

EFTA00168983¶

KYC Print¶

Page 19 of 30¶

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

3A. Individual Details (for all parties)¶

Individual’s Name:	Jean Anne Brennan Webbracht	Date of Birth:
Country of Residence:	Virgin Islands, U.S.	Country of Citizenship:
Address of primary residence:		Has client resided outside of higher country of nationality for 5 years or more?
Profession/Occupation:	Finance	Tax ID / SSN:
Current Employer:	Southern Financial LLC	Position/Title/Rank:
Address of employer:	6100 Red Hook Quarter, B3 Sq, 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:	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:
	□ □ □
	□ □ □
	□ □ □

☐ 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-0000364¶

USAO 001327¶

7/11/2019¶

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

| EFTA_00019237 | | :--- | :--- |¶

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

EFTA00168984¶

KYC Print¶

Page 20 of 30¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000365¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001328 7/11/2019 EFTA_00019238¶

EFTA00168985¶

KYC Print¶

Page 21 of 30¶

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 D. Kahn
Country of Residence:	United States
Address of primary residence:
Profession/Occupation:	Accountant
Current Employer:	HBRK Associates, Inc
Address of employer:	575 Lexington Ave, 4th Fl New York 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¶

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

Bank Officer Name(s)	Bank Office:	Client Private Domicile:	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:¶

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-0000366¶

USAO 001329¶

7/11/2019¶

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

| EFTA_00019239 | | :--- | :--- |¶

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

EFTA00168986¶

KYC Print¶

Page 22 of 30¶

CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000367¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&e… USAO_001330 7/11/2019 EFTA_00019240¶

EFTA00168987¶

KYC Print¶

Page 23 of 30¶

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 S. 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¶

□ Yes □ No¶

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

Bank Office:	Client Private Domicile:	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 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.)¶

DB-SDNY-0000368¶

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

USAO 001331¶

7/11/2019¶

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

EFTA_00019241¶

EFTA00168988¶

KYC Print¶

Page 24 of 30¶

3C. Legal Entity Details(For all Legal Entities)
Legal Entity Name:	Southern Trust Company, Inc.
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:	Virgin Islands, U.S.	Date of incorporation/ registration:	11/18/2011
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.Jeffrey Epstein is the sole shareholder of this company.The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Darren Indyke & Paul Barrett.
Please indicate how ownership of the legal entity is reflected:Consent of Board of Directors
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 is the sole shareholder of this company.The signors on this account are Jeffrey Epstein, Jean Anne Brennan, Darren Indyke & Paul Barrett.
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:		Consulting Services relying on Financial and Biomedical algorithms.Southern Trust is a private consulting company that invests the assets of their clients and gets their revenue from the return of these investments.Southern Trust invests in different portfolios catered to their clients and makes their revenue based on the returns and the fees associated with managing their clients assets
Countries where business is transacted:		Virgin Islands,U.S.
Number of employees:		3

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):Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts p.a.($):	2,000,000.00
Estimated net profit p.a.($):	1,500,000.00
Estimated investable assets($):	$2MM-5MM
Potential Amount to be invested with PWM($):	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:

3C. Legal Entity Details (For all Legal Entities)¶

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

DB-SDNY-0000369¶

USAO 001332 7/11/2019¶

https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N3000000D9Di&e… 7/11/2¶

| EFTA_00019242 | | :--- | :--- |¶

This is a simple Markdown document with no headings, paragraphs, or tables. It contains just the text “EFTA_00019242”.¶

EFTA00168989¶

KYC Print¶

Page 25 of 30¶

Legal Entity Name:	Zorro Management, LLC
Type of Entity:	Foundation/Association Trust Company Estate Partnership	Purpose of Entity:	Private Investment Philanthropic/Charitable Commercial
Type of Entity Other (specify):	LLC	Purpose of Entity Other (specify):
Country of Incorporation/registration:	Virgin Islands, U.S.	Date of incorporation / registration:	12/14/2016
Volker 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.Jeffrey Epstein is the sole member and owner of this entity.
Signors on this account will be:Jeffrey EpsteinDarren Indyke
Signors on the house acct are:Jeffrey EpsteinDarren Indyke
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) Jeffrey Epstein is the sole member and owner of this entity. Signors on this account will be:Jeffrey EpsteinDarren Indyke Signors on the house acct are:Jeffrey EpsteinDarren Indyke
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:	A real estate holding company. It is a company formed to run and operate all activities associated with a property that Jeffrey Epstein owns in the US Virgin islands.
Countries where business is transacted:	Virgin Islands, U.S.
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):This company is funded by Jeffrey Epstein's personal wealth
Estimated gross receipts p.a.($):	1,750,000.00
Estimated net profit p.a.($):	1,000,000.00
Estimated investable assets($):	$1MM-2MM
Potential Amount to be invested with PWM($):	300,000.00

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

DB-SDNY-0000370¶

USAO 001333¶

7/11/2019¶

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

EFTA_00019243¶

EFTA00168990¶

KYC Print¶

Page 26 of 30¶

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-0000371¶

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

USAO 001334 7/11/2019¶

EFTA_00019244¶

EFTA00168991¶

KYC Print¶

Page 27 of 30¶

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
(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 : Darren & Richard - - - - -¶

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

DB-SDNY-0000372¶

USAO 001335¶

7/11/2019¶

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

EFTA_00019245¶

EFTA00168992¶

KYC Print¶

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Richard Kahn:¶

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 - relates to violation of NYSE Arca Equities Rule - Clearance attached

Paul S Barrett¶

No negative media
No court cases
RDC alert found - False positives, does not pertain to our client. Clearance attached.

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. Does the client or related party have any financial or other association / interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ☑ Yes ☑ No¶

H. Does the client or related party have any financial or other association/ interactions within high risk countries?¶

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/content of the non-English Documentation:¶

L. Special Risk Factors¶

Does the account have Nexus to Special Risk Countries? ☐ Yes ☑ No¶

Is the account structure unusually complex? ☐ Yes ☑ No¶

Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third parties? ☐ Yes ☑ No¶

Is there any indication this could be a prohibited business relationship? ☐ Yes ☑ No¶

Are the bearer shares identified subject to acceptable controls? ☐ Yes ☑ No¶

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

DB-SDNY-0000373¶

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

USAO 001336 7/11/2019¶

EFTA_00019246¶

EFTA00168993¶

KYC Print¶

Page 29 of 30¶

M. Case Comments
Created By	Date	Comments
Mayur Rathod	9/26/118 1:20 AM	No material changes confirmation "email" attached in the case.
Kshitij Golani	10/17/118 12:02 AM	This KYC serves as a high risk update for the below listed clients (together "accountholders") – 1. Jeffrey Epstein 2. Southern Trust Company Inc 3. Zorro Management LLC Below are the reasons why we are comfortable with approving this KYC: • Information and supporting documents required by our AML Policy were provided and reviewed; and as a result, we have an understanding of the structure of the accountholders, their purpose, the purpose of the accounts and expected transaction activity. • There are a few risk factors associated with the accountholders – SOW: The UBO (Jeffrey Epstein) is the founder of Southern Trust Company Inc, which manages client's assets. SOW verification was obtained. Negative Media & PEP: There is some negative media against Mr Epstein and he is also maintains a close relationship with Bill Clinton and Prince Andrew. Please see risk calculator for more information. Appropriate approval was obtained. • Our review did not identify any red flags and thus there was no need to escalate this case further. • We performed due diligence searches on all parties and did not find the names searched to be on any sanctions lists or ICJ Database.
Kshitij Golani	10/17/118 12:05 AM	Zorro Management LLC is using the address of Southern Trust Company Inc (for which I have the address verification for) and given that both Zorro and Southern Trust is owned by the same individual, Jeffrey Epstein, it seems plausible that they share the same address due to common ownership for both of those entities. In addition, we have obtained proof of existence for Zorro Management LLC, which proves that the entity is currently in existence.

ONSHORE APPROVALS
Client Facing Professional(CFP):	Stewart Oldfield	(Signature) Stewart Oldfield	9/26/2018
Office Director/Business Head:	Steven Mattus	(Signature) Steven Mattus	9/27/2018
Regional Office Director:		(Signature)
AML Business Risk:		(Signature)
AML Compliance:	Kshitij Golani	(Signature) Kshitij Golani	10/17/2018

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-0000374¶

USAO 001337 7/11/2019¶

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

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

EFTA00168994¶

KYC Print¶

Page 30 of 30¶

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-0000375¶

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

USAO 001338 7/11/2019¶

EFTA_00019248¶

EFTA00168995¶

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Deutsche Bank KYC file for Jeffrey Epstein's accounts, 2018 periodic review

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)¶

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)¶

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)¶

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)¶

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)¶

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)¶

4. Attachments¶