Draft: efta00166833

DB PWM GLOBAL KYC/NCA: PART A¶

KYC Case x : 0114130E¶

Status : 6. Approved¶

			One sheet must be established per relationshi	list all accounts included in the relationshi
				1. Relationship Details
	Relationship Name:		EPSTEIN, JEFFREY RELATIONSHIP:00000483290			Booldng Center:			New York
	Relationship Manager:		Paul Morris
			❑ Existing PWM Relationship 2 New PWM Relationship
	Relatkinshei to PWM:			If existing, please indkate nce when the relabonshi exists provide reason for new rothe and attach old profile: ONLY adding signers to account. Al signers have already been app oved i previous KYCs. Please rush as this iS a tingle update. Harry Beller was approved I KYC 01133624
			❑ ClieM Referral	IS RM Prospect	❑ Intermediary/FIM			❑ Other Source (Cm, etc)
tient'	'low Was the Client(s) Introduced' How long has the RM personally known the		Over the course of a few meetings Paul was able to get Jeffrey to bring some of his funds over to Deutsche Bank						please provide details (e.g. ame of referral source, how many years RM personally ha known dent, etc.): Jeffrey Epstein is a current client of the Bank. Wants to open a new account. Introduction details of Paul and Jeffrey: Jeffrey Epstein was a client of Paufs at JP Morgan. Paul and Jeffrey Epstein had a mutual friend/colleague who introduced them Mule Paul was at ./PMorgan.
	Don Deutsche Bank pay a retrocession or similar		❑ Yes
relationship'	compensation to a third party for the introduction of this		(If yet, dest-nbey.
			list all existing and new accounts Involved n this relationship
	Legal Entity Account(s)		Account Name / Number				Opening Date (Mended/actual)
1	@		Southern Financial, LW					W19/2013
2	El		Southern Financial, LLC					8/19/2013
3	e		Southern Trust Company, Inc.					8/19/2013
4	e		Southern Trust Company, Inc.	8/19/2013
5	RI		Jeffrey Epstein	9/11/2013
e 6 Jeffrey Epstein								9/11/2013
inform ion accounts.):	Who is he primary contact person or the RN' (Note: This person ends to have Signatory netts and/or for the		Jeffrey Epstein		e-mail address, etc.)	Preferred method of contact (indicate phone no., fax no.,

7/30/2019 DB-SDNY-0002607 EFTA_00016081¶

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

										2. Account Ownership Summary
	Account Name:							Southern Financial, at					Air I. hunter at avaArbte).
		kcounl Manager:						Paul Morris
	What is the purpose of the account (e.g. portfolio management advisory account, custody services, long-term investment, payment/expense account)? Money Market. To hold funds for the company. (ran where the assets are expected to arrive?
	Indicate
O						08 Group: Same Booking Center (Indicate account muter):
El						013 Group: Other Booldng Center (Indicate DB location and account details):
w LA						Other Insfitutbn (Indicate name & location): )PMorgan, NYC
O Physical Deposits (specify cash, securltks, cheques):
	What es the expected sire and frequency or regular inflows and outflows for the account (indicate estimated number and volume per month)?: Roughly 2 inflows & outflows per month rangkkg from $1000 to $10,000.
	ICurrency I USD What es the expected volume of assets and currency for the account approx. 90 days after opening? I
'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 150,000
	• Yes El No Does/wi the client have Assets Under Management (AuM) within C6 under Eur. 3M?
•	For each party:	Please list all parties related to the account.				• Check if a source of wealth description it. required for the party. • Nways &nate the rdationship between the parties in the last colAnn. • Please dril down to the ultimate/underlying Beneficial Owner(s).				• Check the appropriate box to describe the relationship of the party to this account (> I can be selected). f none of the check boxes apply, describe the party's relation to the account in the "Other column.
		_egalbescription		AccountplC		Settler of	Jitimate			Signatoryskrniedrinancial	Significant	_egal		Granto/Sernorfounding		Other
		Entity,' Soiree al Wealth -Acquired	Parties -elated to ins recount	Molder OwnefTrust		/ Founder of Foundation	Bencficialor Owner	FAA POA	POA	InterinediaryShareholdeditepresentative (FIN)	:>•2529) Non-PIC entity indicate ownership %)				Donor	"lease describe other roles and/or ndicate relationship between ?ernes)
l	O	0	jeffreY E pste in	•	O	ILI	O	O	O	O		O	O		O	Sole shareholder of Southern Trust
2	El El		Southern arZlindll PI		El	IT	O	O	O	O		O	O		n
3	2	0	Southern fnist Co want. Inc	n❑"I	O	O	D	O	DD		ico		O		O	Southern Trust is the sole member of Southern Financial and Jethey Epstein is the sole shareholder of Southern Trust

Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid - 0IN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002608¶

EFTA_000 16082 EFTA00166834

¶

										2. Account Ownership Summary
	Account Name:							Southern Financial, (LC					Acct. Number (d available):			T
		Account Manager:						Paul Morris
	What is the purpose of the account (e.g. portfolio managemen advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for the company. Indicate from where the assets are expected to arrive'
						O C43 Group: Same Booking Center (indicate account camber):
•						CS Group: Other Booking Center (indicate DB location and account details):
						@ Other Institutbn (Indicate name & location): 3PM:ftgan, NYC
	O Physical Deposits (specify cash, secwities, cheques, ):
	What is the expected size and frequency of regular inflows and outflows for the account Ondeate estimated number and volume per monthly: Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000.
	I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days alter opening? I
	'Currency I USD What is the expected volume of assets and currency for the account approx. one year after opening? 1 100,00D
	M Yes a No Does/wil the client have Assets Under Management (Ault) within 06 under Eur. 311?
	For each party:	Please list all parties related to the account egal)eunplion		Account	PlC	• Check If a source of wealth description is required for the party. • Always describe t e relationship between the parties in the lad oakum • Please drill down to the ultimate/underlying Beneficial Owner(s). Settler of	Jltimate			• 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' taunts. SIgnatorlanliedniancial	Significant	_egal			?Sranter/Settbribunding	Other
		lEntttraf Smote al Wealth -equired	]antics related to Ns i sCCOUnt	Holder	OwnerTrust	/ Founder of Foundation	Beneficialor Owner	Rd POA	PO*	(F1M)	>=25%) $ion-PIC entity ,Mdkate ownership Ots)	IntemvedlatyShareholde(iepresentatne			Ponce	please describe other roles and/or ndicate relationship Moroi sorties)
1	•	a	jefireY EPste ln	O	O	O	O	a	O	O		O	O		O	Sole r eholde n of S sharouther Trust;
2	a		Southern Financial La S		O	O	•	O	O	O		O	O		O
3	Ea	0	Southern Dust Inc.	ig —	N	O	O	O	O	O	1 CO		O		O	Southern Trust Is the sole member of Southern andJeffrey Epstein ls the sole shareholder of Southern Trust;

										2. Account Ownership Summary
	Account Name:							Southern Trust Company, Inc.						Acct. Number 6 f available.		T
		Account Manager:					Paul Morris
	What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, Parned/aPense account)'+ Checking account. To hold funds for company Indicate from where the assets are expected to arrive' O 06 Group: Same Booking Center (indicate account ember): • CS Group: Other Booking Center (indicate DB location and account details):
	@ Other Inslitutbn (Indicate name & location): )PMorgan, NYC
	O Physical Deposits (specify cash, acuities, cheques, ):
	What is the expected size and frequency of regular Inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 10 inflows and 10 outflows per month ranging from $1,000 to $10,000
	1 Currency What is the expected volume of assets and currency for the account approx. 90 days after opening" I I USD
	opening'					What is the expected volume of assets and currency for the account approx. one year after					1100,000		I	Currency		I USD
						Does/wil the client have Assets Under Management (AM) wtthln 06 under Eur. 311?					OYes A No
	For each party:	Please list all parties related to the account				• Check If a source of wealth description is required for the party. • Always describe t e relaticoship between the parties in the lad cokann. • Please drill down to the ultimate/underlying Beneficial 0vabe(s).				• 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 faction to the account in the 'Other' opium.
		egalOescription lEntttyaf Source al Wealth required	lanes elated to Jib "account	Account Holder	PlC Ownertrust	Settler of / Founder of Foundation	amide Beneficialor Omer	RI POA	POA	Signatornimilatinarkial (F1M)	Sigrilkant >=25%) llon-PIC entity ,Mdicate wnershlp %)	_egad IntemediaryShareholderttepresentative		'Granter/Settiorkounding	)onor	Other please describe other roles and/or ndirate rciatonship frutv.voi James)
1		O El	Jeffrey )' stem	in 1--J	O	O	•	A	O	O		O	O		El	Sole shareholder of Southern Trust;
2	g	Ei	Southern Ra rampon, nt ta ,nc.	DI ls-'	u	u	•	O	•	O		O	O		U

7/30/2019 0B-SDNY-0002610 EFTA_000 16084¶

										2. Account Ownership Summary
	krount Name:							Southern Trust Company, Inc.						Acct. Number &lava:We
		Account Manages:					Paul Woe
	What is the purpose of the account (e.g. portfolio !canoe ment, advisory account, custody services, long-term investment, parnentierPense account)' Money Market account. To hold funds for the company.
	Indicate from where the assets are expected to arrive'
	O C43 Group: Same Booking Center (indicate account camber):
•	013 Group: Other Booking Center (indicate DB location and account details):
	@ Other Instkulbn (Indicate name & location): )PMorgan, NYC
	O Physical Deposits (specify cash, soctribes. cheques, ):
	What is the expected sire and frequency of regular inflows and outflows for the account (indicate est mated number and volume pe month)'. Roughly 2 inflows & outflows per month ranging from $1,000 to $10,000
	Currency Metall* expected volume of assets and currency for the account approx. 90 days after opening" I I I uSD
	opening'					What is the expected volume of assets and currency for the account approx. one year after					1150,000		I	Currency		I USD
						Does/wil the client have Assets Under Management (AM) within D6 under Eur. NV					[Yes A No
	For each party:	Please list all parties related to the account				• Check If a source of wealth descripUon is required for the party. • Always describe t e Italia-whip between the parties in the lad colon. • Please drill down to the ultimate/underlying Beneficial Owner(s).				• Check the appropriate box to describe the relationship of the party to this account (> I can be 'elected). • If none of the check boxes apply, describe the party's reaction to the account in the 'Other' alum.
		.egal)escription lEntttrof Source of Wealth -equIred	ladles elated to MIS 4§CCOUnt	Account Holder	PlC Ownertrust	Settler of / Founder of Foundation	Jkimate Beneficialor Owner	RA pcm	PO*	Signatorysimkedrinancial (RIM)	SigMicant ,>=25Cs) Non-PIC entity ,Indkate 3wnership %)	egal IntermediaryShareholderlepresentative		'SranterThettbrkounding	Jonor	Other please describe other roles and/or ndkate relat.onship frutv.vol Janie.)
i	O 0		2effrey :won	int—i	O	O	•	•	O	O		O	O		O	Sole shareholder of Southern Trust:
2	g	Ei	Southern Rant tornpany, mc.	DI •:-.1	O	Li	•	O	•	O		O	O		O

	2. Accoest Ownership Samar/
		Account Name:							Jeffrey Epstein			Acct. Number ft avadabe
		Account Manager:							Paul Morris
	What is the purpose of the account (e.g. honk*o management, advisory account, custody services, long-term imestrnot, payment/expense account)? CriedOng account fee Jeffrey Epstein's personal daily use. from where the amen me expects to arrive?
Indicate
O	DO Group: Same Booking Center (indicate account mate):
•	08 Group: Other Booking Getter (indicate DB location and account details):
	@ Other InsttutIon (Indicate name & location): MMorgan Chase. New York, NY
O	Physical Deposits (specify cash, seethes, cheques, ):
	number and volume per month)': Roughly 15 What is the expected site and frequency of regular inflows and outflows for the account (indicate estimated inflows and outflows per month ranging from $1C0-$10,000.
	I Currency I USD What is the expected volume of assets and currency for the account approx. 90 days ter opening? I
										What is the expected volume of assets and currency for the account approx. one year after opening? I 100,000				I Currency		1 USD
						DoesiWil the client have Assets Under Management (AuM) within DB under Fur. 3M?						• yes RIM
	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 (> I can be selected). • If none of the check boxes apply, describe the party's rekitbn to the accost in the 'Other corms. • Always describe the relationship between the parties in the law admin. • Please drill down to the ultimate/underlying Beneficial Owner(s). AccoirOlC Settler of 61gralunt .rigalJescription Signatorwimitedlimancial Grantor/Settlor. bunding Jltimate egal Other / Fntttyaf Source Holder 3wneffrust Fut Benefloallor Intermedkvy5harehold epresentative Donor ?OA please if Wealth (rim) Founder of Owner >=2S9b) POA describe riper roles *touted Foundation Von-PIG Ind/or entity ndkate ?arts-. indicate
			tired to hr. account								winership					relationship bewsen mites)
1	CI	El	jeffreY EPSt ein	2 ❑	O	O	O	O	OO			O	Li		O
2	•	•	Beller "arrY	O	O	O	•	ri	O	•		O	O

2. Account Oweenildp Swatostry
Account Name:							Jeffrey EpsteM					Acct. Humber (1 available)
Account Manager:							Paul Morns
	What is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, parnent/exPerise atcnun()> Money Market account to hold Jeffrey Epsteln's personal funds.
Indicate	from where the assets to arrive? are expected
O	013 Group: Same Booldng Center		(indicate	account master):
•	CS Group: Other Booldng Center		(indicate	DB location and account details):
@	Other Inslitutbn (Indicate	name &		location): JPMorgan Chase. New York, NY
O	Physical Deposits (specify cash,		secretes,	cheques, ):
	What is the expected sire and frequency of regular inflows and outflows for the account Ondkate estimated number and volume per monthly: Roughly 1-2 inflows and outflows per month ranging from $1,000 to $20,000
	What is the expected volume of assets and currency for the account approx. 90 days after opening?								i			I Currency		1 USD
	What is the expected volume of assets and currency for the account approx. one year after opening? 1 200,000											ICurtency		1 USD
	Does/wil the client have Assets Under Management (Autl) within DB under Eur. 311?									• Yes R 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 (> I can be selected). • If none of the check boxes apply, describe the party's faction to the account in the 'Other' column. • Mays describe t e relations rip between the parties in the lad coltsnn. • Please drill down to the ultimate/underlying Beneficial Ovene(s). `Senior of figarkant SignatorwindelFinancial AccorrAPIC JItlinate Legal GraMor/Settlorfound g Other egal'Oescription / (folder Owneffrust lEntttyaf Source Beneficlalor Full ?OA IntermedlaryShareholderRepresentathre Donor please al Wealth Founder of (FIN) (>=25%) Owner POA describe -equIred Foundation 'ton-PIC other roles and/or entity lames indicate ndkate elated to elationshlp ownership between
	.his account								Pa)					mules)
O O I	mi Mn-Yler	O	O	O	O	0	OO			O	O		O
• 0 2	JeffreY ein Epst	a	go	El	•	.1	O	•		•	O		O

One sheet must be established for MN INDIVIDUAL PARTY In Section 2. Account Ownership Summa

3A. Individual Details (for all parties)¶

Individual's Name		Date of Birth:		1/20/1953
Country of Residence:	USVI					USA
Address of printery residence:	Late Saint James Saint Moines 00802 US Virgin Islands					O yes Ea No
Profession/Occupation:	Sell Empalyed			Tax ID / SSN:
Current Employer:	Southern Financial LLC			Position/Title/Rank		President
Address of employer:
	Does the person work as senior executive of a DB-recognized regulated entity In the financial ndustry, or an entity kited on a DB-recognised exchange' (Not applicable for operating entitles			— • Yes RI No
Is the indbidual a Politically Exposed Person (PEPr(f Yes, clescibe)					5 No M yes
Family or Friendship, descnbe 1	To the best of your knowledge, is the individual related to an employee of the DB group'(!			O Family O Friendship CO 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)'(/ Yesi cksente)			O Yes	El No
Indicate where and when the diem meeting(s) took place: If applicable, Indicate which bank officers have met the person:
Bank Officer Narrie(s)		Bank Office:	(Pent Private Domicile:	Client Place of Business:	Other Location (specify):		Date:
Paul Morris		•	•				413/2013
		O	O	il
		O	O	•

• Wealth Details for this Individual are not filed in, because they are the same as for the following person:
3D. 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 wench/source of Funds?
		Primary industry of source of Wealth/Source of hods?
Summarize Source of Wealth:					RI Business Owner O Salary/Eamings 0 Investment • Inheritance/Gifts O 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 fan* accumulate wealth1Fce business enviers, how long in business, how many employees, level of profitability' Indicate type of busbess, countries of major acUvales, important business partners.) Epstein began his financial career in 1976 as an options trader at Bear Steams and became a partneri n 1960. In 1982, Epstein founded his own financial management firm, J. Epstein & Co., managing the assets of dents with more than a Son in net worth. In 1996, Epstein changed the name of his firm to the Financial Trust Company and based k on the island of St. Thomas in the US Virgin Islands, which merged into Southern Financial MC. MI of his clients were anonymous went for the very wealthy businessman Leslie Wexner. Hs wealth has come from hIs days at Bear Stearns and his financial management firms
Estimated Annual Income($):		10,030,030.03			Estimated amount of investable assets($):		$50 MM - 100 MM
frannated Net Worth($): $100 MM - 500 MM				Amount of assets planned to invest with PWM($): 10,000.00
Other Known financial Instauti Is:
Institution:	IPMoigan		ICountry:	I USA		Est. Assets Under Mgt:		120,000,000.00

Institution:		Country:		Est. Assets Under Mgt:
Institution:		Country:		Est. Assets Under Mgt:
Please indicate the fan* Stuatlon of the individual (marital Mb* other fancy merrhetes edc.k Single

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

3A. Individual Details (for all parties)
Individuals Name	Hairy Defier •
Country of Residence:	USA			Country of Citizenship:		USA
Address of primary residence:				Has client resided outside of histher country of nationality for 5 years or more?		O Yes 11No
Profession/Occupation:	Accountant			Tax ID / SSN:
Current Employer:	HeaK Associates, Inc			Postuonfithentank:
Address of employer:	575 Lexington Avenue, 4th Floor Monsey NY USA 10022
	Does the person work as senior executive of a DB.recognized regulated enUty In the financial Mushy? or an entity Sued on a DB-nsognised exchange? (Not applicable for operating entities			me yes No ®
	Is the Individual a Polkically Exposed Person (PEP)7(y Ye* ckso-ibe)			Ores No
Family or FnerdsoNA dcsmbe 1	To the best of your knowledge, Is the indMdual related to an employee of the De group?(/			O Fanny O Friendship 2 None
To the best of your knowledge, Is the individual party to a non-banking rekitionship with Deutsche Bank (e.g., external legal counsel, client referral source, supplier of goods or services), Or Yes,ckscate)					in NI O Yes
Indicate where and when the <inn meeting(s)="" place<br="" took="">If applicable, indicate which bank officers have met the person:</inn>
Bank Officer Names)		Bank Office:	Gent Private Bernie*:	(bent Place of Business:	Other Location (specify);		Date:
Paul Morris	Fra	O	O			10:21'2017
		O	O	O
	O	O

• Wealth Details for this Individual are not fled en, 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 IndMduaEs Business:
Primaty Country of source of wealth/source of rends?
		Primary Industry of source of Wealth/Source of Finds?
Summarize Source of Wealth:					O Business Owner		Salary/Eamings • Investment N Inheritance/Gifts O Other:
	Further Describe Source of Wealth /Detail the history of weakh for each of the sources: (e.g. For trusts, how did senior acct.-nun e wealth? For Inheritance, how did fanny accumulate wearth?For business owners, how long in business, how many ermloyees, level of prothability? Indicate type of business, countries of major activities, important business partners.)
Estimated Annual Income(S):						Estimated amount of investable assets(S):
Estimated Net Worth($):					Amount of assets ()lamed to invest with PWM($):
	Other Known Financial Institutions:
institution:	Country: Est. Assets Under Mgt:
Institution:			Country:				Est. Assets Under Mgt:
Insthution:	Country:						Est. Assets Under Mgt

I¶

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

One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa
3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name:	Southern Financial LLC - 00000483882
Type of Entity:	O ❑ Foundation/Association • El Partnership	TrustR Company El Estate	of Entity: Purpose	RI Private Investment O Ph ilanthropic/Chartable Ill Commercial
Type of Entity Other (spotty).			Purpose of Entity Other (specify):
Country of incorporananftegistration:	US Virgin Islands		Date of incorporation / registration:	2/2512013
Wicker Status:			Vokker Rag:
Address (city, street, post code):		6100 Red Hook Quarter 83 St Thomas 00802 US Virgin Islands U.S. 11N/FIN:		66-0799192
	Provide a description of the entity's organizational structure, Its ownership structure and its Top Management. For trusts: oundations, include information about revocabety,settlor and beneflcbries,etc.: Southern Trust Company Inc is the sole menter of Southern Financial LLC. Jeffrey Epstein is the sole shareholder of Southern Trust Company Inc
Please indicate how ownership of the legal entity is reflected:
	O Special attention: Bearer Shares - Indicate where shares are custodied:
	Describe the chain from the direct owner of the entity to the ultimate beneficial owner hi not the same persons):
	To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche Yes O No g21 Bank (e.g. external legal counsel, dent referral source, suppler of goods or services)?:
Describe Nature of Entity's Primary Business and Investment Activities
Nature of the butanes:		This business is funded by Jeffrey EPSteirfs wealth. This company was formed to hold Mr. psonaler so wealth and Invest in different ventures. This company invests In real estate, equities, commodities, etc and gets es revenue from the gain it makes in these investments. It is a company formed to invest the assets of Mr. Epstein
Countries where business is transacted:		US Virgin Islands
Number of employees: 3

30. Wealth Profile (Only for parties requiring source of wealth desorption as indicated in Section 2)
	Primary Country of source of weath/source of Funds?
	Primary industry of source of Wealth/Source of Funds,
Provide Evidence of Corporate Assets (e.g. baMnce sheet or equivalent summary of assets/labllitles): The initial funding in February 2013 was $1,000 from the sole shareholder of the sole manaoln3 member (Jeffrey Epstein).
Estimated gross receipts IM(S):			2,000,000.00
Estimated net profit .	(f):		1,500,000.00
Estimated investable assets ($):			<$1 MM
Potential Amount to be invested with PWM (S):			300,000.00
	Other Known Financial Institutions:
YMorgan Institution:		Country:		USA	Est. Assets Under Mgt:	1,030,000.00
Institution: Country:					Est. Assets Under Mgt:
Institution:		Country:			Est. Assets Under Mgt:
One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summary

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

7/30/2019 DB-SDNY-0002617 EFTA_00016091¶

3C. Legal Entity Details (For all Legal Entities)
Legal Entity Name:	Southern Trust Company, Inc. - 00000483883
Type of Entity:	O FoundatIon/Asscciarion O O ❑ Partnersh g	Trust a Company • Estate	Purpose of EnUty:	WI Private Investment O Phitanthropic/Charitable O Commercial
Type of Entity Other (specify):			Entriy of eCify): Purpose Other fth
Country of incorporation/registration:	US Wrgin Islands		Date of incorporation / registration:	11/18/2011
Volcker Status:			Volker Rag:
Address (city, street, post code):		6100 Red Hook Quarter 83 9 Thomas 00802 US Virgin Islands U.S. TIN/FIN:		66-0779861
Provide a description of the entkys organizational structure, its ow/nimble structure and Rs Top Management. For trusts/foundations, Mclude information about revotatRY,settlor and beneficiaries,etc.:
Please indicate how ownership of the legal entity is reflected:
	O Special attention: Bearer Shares - Indicate where shares are custodled:
		Describe the chain from the that owner of the entity to the ultimate beneficial owner (Ira the same petsons):
	To the best of your knowledge, is the envy party to a non-banldng relationship with Deutsche Hank (e.g. external legal counsel, Hunt referral source, suppler of goods or spires)"
	Describe Nature of Entity's Primary Business and Investment Activities
Nature of the tuskless:		Consulting Services relying on Financial and Biomedical algorithms. Southern Trust is a private consulting company that invests the assets of their cants and gets their revenue from the return of these armaments. Southern Trust invests in different portfolios catered to their clients and makes thek revenue based on the returns and the fees associated wall managing their clients assets
Countries where business Is transacted:		US Virgin Islands
Nuccer of employees: 4

1D. Wealth Nome (Only for parties requiring source of wealth description as indicated in Section 1)
	Primary Country of source of wealth/source of Funds?
	Pnmary Industry of source of Wealth/Source of Et.mdss
	Provide Evidence of Corporate Assets (e.g. batance sheet or equivalent summary of assets/iabilities): Consult and invest client funds and gain revenue based on fees and returns
Estimated gross receipts	($):		2,000,000.00
tstirnated net pica	a (Sic		1,500,000.00
	Palmated investable assets ($):		$2 MM • 5 Mra
	Potential Amount to be invested with MUM ($):		300,00000
Other Known Financial Insatutlons:
Institution:	listioroan	Country:		USA	EM. Assets Under Mgt:	2,000,000.00
Institution:		Country:			Est. Assets Under Mat:
Institution:		Country:			EM. Assets Under Mgt:

DB PWM GLOBAL KYC/NCA: US/LatAm/Inel PART B¶

Relationship Name			EPSTEIN, JEFFREY RELATIONSHIP
	Risk Rating Comment:
Booking Center		• M NY • Offshore NY/Cefshere			re -4 High Risk moderate tisk •			lance Franklin
(Compliance Signature)
	O 08 Employee	I O C43 Managed PIC			I El DEr is Trustee/Co-Trustee					I O Bearer Shares
					4. Attedirrienb
	A. Type of Photo ID Provided									4 Drivers Ucense MI Passport • National/State (0 • Other
	B. Checklist of names (individuab and/or entities) that were submitted for database searches is attached							74 yes • No
	C. Please indkate the result of the database searches performed
	ROC searches complete					®Yes O No			negative result found		®Yes O No
	OCR checks complete					RI Yes O No			negative results found		@Yes O No
	OFAC checks complete					4 Yes • No			negative newts found		• Yes 0 No
	BIS searches complete (Leds/Neds, Factiva, Reuters, Dow Jones,					@Yrs O No			negative result found		O Yes El No
	Denial Orders checks complete					?E yes O No			negative results found		M Yes 0 No
	Martindale-Ilubbell searched (Lewitt/Lev Mom only)					• Yes	e No		negative results found		• Yes O No
	Please summarize any negative results from the database searches indkated above: HARRY BELLER: Approved in KYC 201131624
JEFFREY EPSTEIN: ROC Alert 21 -- Cleared & APPROVED by Chip Packard, Alt Compliance, and Pat Harris PCR Alert it I/2 -- Not our client All Cases Closed SOUTHERN FINANCIAL LLC: No negative media No court cases SOUTHERN TRUST INC: D. No negative media Court Case -- Not our client.
	FINANCIAL INFOMATICS INC: No negative media No court cases J. Epstein & Co.
	All Negative Media is our client. He has been cleared of posing a reputational risk as shown by the AML Clearance attached Court Cases have been cloned
	FINANCIAL TRUST & OD ROC/PCR alert Is associated wth Southern Avondale the company a merged Mo. This alert has been cleared by Compliance and Is attached Court Cases are closed
		E. To the best of your knovAedger, has the client ever been comkted of a criminal offense, @Yes O No
F.	To the best of your knowledge, has the customer ever been Involved In any past litgatbn aperitif 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 04 below and <mead b%<br="" chahly="">aptArnfintlfor the Regidstoty Coed [Poop and notify Compliance irnmeoisteN</mead>							• Yes	No
	G. Does the client or retied party have any financial or other aSSOckellon / InterattkOS weds countries a or regimes sanctioned by the Office of Foreign Assets Central (OFACP								Nkoz No
N.	Does the client or related party have any financial or other association/ interactions within high risk							Oyes J No

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

7/30/2019 DB-SONY-N/02619 EFTA_00016093¶

	coumrins?
	I. Corporate Documentation Attached (Legal Entitles Only)	RI Yes • No • Not Applkable
I	Undisclosed Principal Form Complete (Intennedisnes Only)	O yes • No I Not Appkable
	K. U LexisiNexis Search Results, Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the nomEnglish Documentation:
L,	Special Risk Factors
	Does the account have Nexus to Special Risk Countries'	• Yes Ea No
	Is the account structure unusually complex?	NI Yes 7/ No
	Is there any indication the client set up a non operating company expressly for the purpose of transferring shares to third wanks?	i—ri `Os LJ
	Is there any indication this could be a prohibited business relationship,	Dyes @No
	Are the bearer shares identified subject to acceptable controls'	• Yet LA No

M. Case Comments
Created By	Date	I Comments
Jacqueline lightbody	10/25/113 1:01 PM	this was onlyan update to add a signer. No change in the risk score so no need fa a new risk calculator. Please KYC 1121718.

ONSHORE APPROVALS
Client Facing Professional (CFP):	Paul MoeNs	Signature) ?aul Mortis	10/22/2013
Office Director; Business Head:	Brian M. Biggar	(Signature) 3rian M. Biggar	10/23/2013
Regional Office Director:		,Signalure)
Mt Business Risk:		(Signature)
All Compliance		(Signature)
	Jacqueline Ugittiody	lacquetne liglebody	1072511013
	Dance Frankkn	lance Franklin	10128:2013

LATAM/1NTERNATIONAL APPROVALS
Client Facing Professional (CFP):		(Signature)
Account Manager:		(Signature)
Global Market Team Head (GMTH)/Sub-Market Team Head (SMTH		(*nature)
Mt Business Risk:		(Signature)
Aft Compliance:

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 Professionals)(!) (CFP's) should establish and maintain business relationships only with pencils 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 ofCFP's to demonstrate that they brow 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 PIYM Americas Procedures and the PWM Global KYC Policy¶

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

Imps://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid-OIN30000000D9Di&e... 7/30/2019 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0002621¶

EFTA_000 16095¶

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7/30/2019 DB-SDNY-0002622 EFTA_000 16096¶