Epstein Secrets

omplete F Yes F No negative results found r Yes F No OFAC checks complete F Yes r No negative results found F Yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found F Yes F No D&B) Denial Orders checks complete F yes r No negative results fo

rly Hart (Signature) Kimberly Hart 2/13/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Yoonsun Chung (Signature) Gwen Hill Yoonsun Chung 2/24/2015 2/24/2015 LATAM /INTERNATIONAL APPROVALS Client Facing Professional (CFP): (Signature) Account

complete F yes F No negative results found E yes F No OFAC checks complete F Yes 7 No negative results found F resF NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No D82) Denial Orders checks complete F Yes r No negative results foun

: US/LatAm/Int'I PART B elationship Name SOUTHERN FINANCIAL RELATIONSHIP long Center F NY F NY/Offshore F Offshore i— k s Moderate F High Risk Yoonsun Chung (Compliance Signature) 7 D8 Employee F DB Managed PIC 7 DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided

mplete R Yes O No negative results found Dyes Eli No OFAC checks complete R Yes O No negative results found O Yes g No 61$ searches complete (Lexis/Nexis, Facbva, Reuters, Dow DIA r - 2 Jones, D&B) Yes D No negative results found D Yes k.±.1 No Denial Orders checks complete g Yes Ow negative re

B Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Booking Center Eel NY 1 i , NY/Offshore L____ Offshore O Moderate Risk - High Risk Yoonsun Chung (Compbance Signature) U DB Employee _._.j DB Managed PIC Li DB is Trustee/Co-Trustee O Bearer Shares 4. Attachments A. Type of Photo ID Provid

plete - Yes O No negative results found R yes Li No CfAC checks complete g Yes O No negative results found O Yes Pi No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) g Yes O No negative results found RI Yes L No Denial Orders checks complete g yes O No negative results fou

7 M. Case Comments Created By Date Comments Alla Babu 11/5/118 4:18 AM Dan-en Indyke on 10/22/18 confirmed that there are no material charges. Yoonsun Chung 11/16/118 1:32 PM RM Confirmed that the clients will be closing the accounts before the end of the year. Case will be closed. 11/16/18 Dimitra Man

illin < Subject: RE: Epstein - negative media [I] Classification: For internal use only Was this returned as an RDC alert — or part of the regular Lexis/Nexis due diligence? L Kimberly Hart Managing Director I Divisional Control Officer Wealth Management Americas Deutsche Bank Trust Company Americas P

Mayur Rathod From: Yoonsun Chung Sent: Wednesday, November 14, 2018 7:04 PM To: Kimberly Hart; Mayur Rathod Cc: Andrew Gallivan; Stewart Oldfield; Richard larossi; Bradley Gill

complete 2 Yes O No negative results found O Yes 0 No OFAC checks complete 5 Yes O No negative results found O Yes Ono BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DELB) 0 Yes • No negative results found El YeS Ono Denial Orders checks complete 0 Yes 0 No negative results foun

LatAm/Intl PART B rA Relationship Name SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booing Center O NY/Offsh cce 0Offshore • Moderate Yoonsun Chung re' ..I NY Fr' .-a High Risk Risk (Compliance Signature) O DB Managed PIC O De is Trustee/Co-Trustee O Bearer Shares • DB Employee 4. Atta

complete al Yes • No negative resits found atis 5 l'i, OFAC checks complete 2 Yes • No negative resits found OYis 210a BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow ores, 2 Yes 0 No negative resits found Ora 2 No Denial Orders checks complete 2 Yes 0 No negative resits found Orin 2 N

ame SOUTHERN FINANCIAL RELATIONSHIP Risk Rating Comments: Booking Center 2 NY OOffshere NY/ D offshore CI RiskModerate ni ai t High Risk Yoonsun Chung (Compliance Signature) 0 DB Employee El DB Managed PIC 0 DB is Trustee/Co-Trustee CI Bearer Shares 4. Attachments A. Type of Photo ID Provided

ks complete A yes No negative results found OFAC checks complete A Yes : : No negative results found ye, I '.... , . BLS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) if , Yes No negative results found ' Yes ' No Denial Orders checks complete A yes No negative results

PSTEIN, JEFFREY RELATIONSHIP Risk Rang Comments: Booking Center se. NY ....,. NY/Offshore ::.,: offshore :". RiskModerate _., :i.. High Risk Yoonsun Chung (Compliance Signature) ....; DB Employee 1..i DB Managed PIC ,,,. DB is Trustee/Co-Trustee ....i Bearer Shares 4. Attachments A. Type of Photo

omplete F Yes F No negative results found F Yes F No OFAC checks complete F yes F No negative results found f Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, rt- Pc Yes r No negative results found ryes F No D&B) Denial Orders checks complete F Yes F No negative results

NCA: US/LatAm/Int'I PART B elabonship Name SOUTHERN FINANCIAL RELATIONSHIP oking Center F NY F NY/Offshore F Offshore IF.skNIGIerate F High Risk Yoonsun Chung (Compliance signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided

omplete F Yes F No negative results found F Yes F No OFAC checks complete F yes F No negative results found f Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, rt- Pc Yes r No negative results found ryes F No D&B) Denial Orders checks complete F Yes F No negative results

NCA: US/LatAm/Int'I PART B elabonship Name SOUTHERN FINANCIAL RELATIONSHIP oking Center F NY F NY/Offshore F Offshore IF.skNIGIerate F High Risk Yoonsun Chung (Compliance signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided