Epstein Secrets

nce immediately) G. Does the client or related party have any financial or other association / interactionwithin countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? O Yes 0 No H' ''' the client or rated party have any finanoal or other associatm/ 'Me/actor's within high r ni risk countries? I—I Yes

ROVALS Client Facing Professions (CFP): Pall Mark (Signature) Paul Monis 11/14/2014 Office Directorffiusinins Head: Kimberly Hat (Signature) Kimberly Hart 11/17/2014 Regional Office Diener: (Signature) AML Busaness Risk: Melisa Veneges (Signature) Melisa Venegas 12/2/2014 MIL Canpliance: (Sign

nce immediately) G. Does the client or rated party have any financial or other association /'interactions within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? 0 Yes El No H. Does the client or rated party have any financial or other association/ interactions within high O Yes No risk countries?

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris *Signature) laul Morris 2/13/2015 Deice Director/Business Head: Kimberly Hart :Signature) Kimberly Hart 1/13)201S Regional Mice Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Tccosun Ch

mmedately) , 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)? F Yes F•N° H Does the client or related party have any financial or other association/ interactions F F " within high risk countries? Ye

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 4/23/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 4/23/2014 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Janice FranWin Gwe

Does the client or related party have any financial or other association / interactions yes r F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' H. r l'eS F No Does the client or related party have any financial or other association/ interactions SDNY_GM_00056734 Imps://dbforce

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/13/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/13/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Yoonsun

) Does the client or related party have any financial or other association / interactions r.— yes F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' „. Does the client or related party have any financial or other association/ interactions r- yes F No " within high risk counties? I.

ase Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 2/24/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/26/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: G. Hill o/b/o M. Cr

diately) Does the client or related party have any financial or other association / interactions r F G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? Yes No H. Does the client or related party have any finandal or other assoclabon/ interactions within high risk countries? r Yes F No I.

Case Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/10/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimbeily Hart 2/10/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Yocnsun Chung Gwen

ely) Does the dint or related party have any financial or other association / altered:lam within G. O Yes g No countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ,., Does the dint or related party have any financial or other associate,/ interactions within high H' countries? O Yes 2 No I. Corpor

to display. ONSHORE APPROVALS Client Facing Professorial (CFP): Paul Morris (Signature) Paul Morris 11/14/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 11/17/2014 Regional Office Director: (Signature) AML Business Re*: Meksa Venegas (Signature) Hells] Venegas 12/2/

lee:W*1 G Does the dent or related party have any finandal or other association / interactions withal countries D yes @ No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H Does the client a related party have any financial or other association/ interactions within high risk 0 Yesg No counmes? I. Corporate D

ords to flay. ONSHORE APPROVALS Client Facing Professional (CFP): Paul !leers (Signatire) Pal Morris 9/23/2019 Office Director/Business Head: Kimberly Hart (*nature) Kimbedy Hat 4/23/2014 Regional Office Director (*nature) AML Business Risk: (Signature) AML Compliance: Jane Franklin (Men Fu (S