3
Shared Docs
3
Same-Page
3 / 3
Mentions
the customer threatening legation against Deutche • Yes 2 No E Bank AG ails Yes. defetc befow Mgt. a any subsidenes' (If prowYfe and contact Quaky gatArrtatVor the ReguietotyControl group and notify Complence immethaely) G. Does the client or related party have any financial or other associati
KYC Policy (1) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Quicers, Broken. Client Managers, etc. Deutsche Bank Americas New York SONY_GM_00037421 CONFIDENTIAL - PURSUANT TO FED. R. Ce I ON FIDENTIAL DB-SONY-0000245 https://dbforcepb.my.salesforce.com/servlet/servlet.Integr
subsidiaries or is the customer threatening litigation against Deutsche Bank AG or any of is subsidiaries, of yes, provide deters below end crated Quaky Yes @ No Met geblirdlon)erb• Rfleotory Control Group end notify Complexe irnmetettly) G. Does the client or related party have any financial or ot
4 of 14 (1) Client Facing Professionals (CFP 's) include: Relationship Managers. Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deutsche Bank Americas New York rA https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9DiSce... 7/30/2019 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6
ts subsidiaries or s the customer threatening litigation against Deutsche n Bank AG or any of is sitsidiarles? (If Ken provide deaths betew and coma Quaky AVt u yes 2 No aatAtn/Inft i t or the Regulatory Catty! Group and notify Contoliance irnmediatelyl G. K Does the client or related party have any
C 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-0000299 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0IN30000000D9
Entities connected to both Quaky and Deutsche Bank Americas New York

Jeffrey Epstein
PERSON
U.S. Virgin Islands
LOCATION
Eric Holder
PERSON
Les Wexner
PERSON
Dow Jones
ORGANIZATION
Financial Trust Company
ORGANIZATION
Paul Volcker
PERSONDarren Indyke
PERSONDeutsche Bank Private Wealth Management
ORGANIZATION
Deutsche Bank
ORGANIZATION
the Office of Foreign Assets Control
ORGANIZATION
Paul Morris
PERSONMartindale-Hubbell
ORGANIZATION
Bear Stearns
ORGANIZATIONTrustee/Co-Trustee
ORGANIZATIONTIN/EIN
ORGANIZATIONLawyers/Law Firms
ORGANIZATIONJ. Epstein & Co.
ORGANIZATIONPrimary Country
ORGANIZATIONSouthern Trust Company
ORGANIZATION