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ance immedistely) G. Does the client or rated party have any financial or other association / nteractians within countries or regimes sanctioned by the Office of Foreign Assets Control (CFAC)> 0 Yes 2 No H. Does the client or rated party have any friantial or other association/ eiteracbons within high 0 Yes RN° risk countries?
13 9/10/2013 IATININTERMATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GHTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compiance: (Signature) PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank P
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Compliance immediately) client or related party have any financial or other association / interactions `'' within counties or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes F No C'" H. Does the client or related party have any financial or other association/ interactions within high risk countries? r Ye
9 3/14/2014 LATAM /INTERNATIONAL APPROVALS Client Faong Professional (CFP): (Signature) Account Manager: (Signature) Global Market Team Head (GHTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY GM_00053615 CONFIDENTIAL - PURSUANT TO FED. R. http
2 mentions1 same-page
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ce immediately) the client or related party have any financial or other association / interactions F ''' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? F Yes No C'' H. F Yes F No Does the client or related party have any financial or other association/ interactions within high risk counb
3/14/2014 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account Manages: (Signature) Global Market Team Head (GHTH)/Sub-Market Team Head (SMTH): (Signature) AML Business Risk: (Signature) AML Compliance: (Signature) SDNY_GM_00053600 htt s://na4 e CONFIDENpTIAL - PURSUANT
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Mutual Connections (22)
Entities connected to both the Office of Foreign Assets Control and GHTH)/Sub-Market Team
Jeffrey Epstein
PERSON85 w/ the·3 w/ GHTH)/Sub-Market
Dow Jones
ORGANIZATION71 w/ the·3 w/ GHTH)/Sub-Market
Eric Holder
PERSON68 w/ the·3 w/ GHTH)/Sub-Market
U.S. Virgin Islands
LOCATION63 w/ the·3 w/ GHTH)/Sub-Market
Les Wexner
PERSON62 w/ the·3 w/ GHTH)/Sub-Market
Financial Trust Company
ORGANIZATION61 w/ the·3 w/ GHTH)/Sub-Market
DI
Darren Indyke
PERSON60 w/ the·3 w/ GHTH)/Sub-Market
Martindale-Hubbell
ORGANIZATION58 w/ the·2 w/ GHTH)/Sub-Market
Paul Morris
PERSON53 w/ the·3 w/ GHTH)/Sub-Market
Trustee/Co-Trustee
ORGANIZATION48 w/ the·2 w/ GHTH)/Sub-Market
Deutsche Bank Americas New York
ORGANIZATION47 w/ the·2 w/ GHTH)/Sub-Market
Lawyers/Law Firms
ORGANIZATION44 w/ the·2 w/ GHTH)/Sub-Market
JF
Janice Franklin
PERSON28 w/ the·3 w/ GHTH)/Sub-Market
BB
Brian M. Biggar
PERSON27 w/ the·2 w/ GHTH)/Sub-Market
Quality Mgt
ORGANIZATION27 w/ the·2 w/ GHTH)/Sub-Market
Weakh
LOCATION16 w/ the·3 w/ GHTH)/Sub-Market
JL
Jacqueline Lightbody
PERSON11 w/ the·2 w/ GHTH)/Sub-Market
GO
Gwen Hill o
PERSON8 w/ the·2 w/ GHTH)/Sub-Market
New York NY USA
ORGANIZATION8 w/ the·2 w/ GHTH)/Sub-Market
FC
Form Complete
PERSON5 w/ the·2 w/ GHTH)/Sub-Market