KYC Print Page 1 of 12 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01141322 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: SOUTHE

KYC Print Page 1 of 23 DB PWM GLOBAL KYC/NCA: PART A rA KYC Case # : 01195100 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEI

KYC Print Page 1 of 29 DB PWM GLOBAL KYC/NCA: PART A raid KYC Case # : 01133377 Status : 7. Approved with Temporary Exception One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship Name: EPSTEI

otential rejection/closing of the KYC ca5 ABR is not always part of the High Risk approval flow. N/A 1. In Progress 6. Approved 7. Approved with Temporary Exception Inactive Rejected LatAm 630 37 1 63 23 3 1 26 35 1 1 665 101 23 3 1 28 240 94 83 417 N/A 1. In Progress 2. Ready for Pr

From: Janice Franklin Sent: 11/1/2013 11:32:24 AM To: Amanda Kirby [ Subject: Your KYC has been Approved with Temporary Exception! The KYC you had submitted has been Approved with Temporary Exception. To view the KYC click here https://na4.salesforce.com/5006000000717Gx. Case

n [[email protected]] Sent: 11/8/2013 11:51:45 AM To: Amanda Kirby [email protected] Subject: Your KYC has been Approved with Temporary Exception! The KYC you had submitted has been Approved with Temporary Exception. To view the KYC click here https://na4.salesforce.com/S006000000uF18Y. Case

ice Frank!! Sent: 3/28/2014 12111/ To: Amanda Kirby Subject: Your KYC has temporary Exception! The KYC you had submitted has been Approved with Temporary Exception. To view the KYC click here https://na4.salesforce.com/5006000000xami. Case #: 01195100 customer Name: Epstein, Jeffrey Customer Number: 00000483

and dated copy of EIN application that w as provided. New York COVERAGE Carlyle Cardinal Ireland Fund, LP Prospect Joanne Jensen 4/28/2014 3 Temporary Exception granted to run searches for CJIP III GP LP Kimberly Hart New York COVERAGE 01195100 00000483289 Epstein, Jeffrey Client 00000483290 Paul Mor