Epstein Secrets

results found 2 Yes • No OFAC checks complete 2 Yes 0 No negative results found 0 Yes 0No BIS searches complete (Leds/tieds, Facttva, Reuters, Dow Jones, DAB) 121 Yes • No negative results found • Yes FA No Denial Orders checks complete 2 Yes 0 No negative results found 0 Yes 2 No Martindak-Hu

ource of veaith ONSHORE APPROVALS Client Facing Professional (CFP): Paul Horns (Signature) Paul Moms 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Platy Keaveney 9,5.'2013 Regional Office Director: (Signature) AML Business Risk: (Signature) NIL Compliance: Jacqueline Lightbo

results found F yes F No OFAC checks complete F Yes F No negative results found F yes F No BIS searches complete (Lexis/Neds, Factiva, Reuters, Dow Jones, F yes r— to negative results found F Yes F No D&B) Denial Orders checks complete 17 Yes r No negative resift found r yes ri No Martindale-

source of wealth ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) Paul Morns 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lighttody

results found 0 Yes O No OffiC checks complete 21 Yes OW negative results found O Yes 21No BIS searches complete (Lexis/Nexis, Feed.", Raters, Dow Jones, MI 2 Yes • No negative results found • YeS 0 No Denial Orders checks complete E?I Yes El No negative results found 0 Yes 21No Martindale-Hub

urce el reams ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 9/5/2013 Cerise Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Ughtbody