KYC Print Page | of 12 DB PWM GLOBAL KYC/NCA: PART 47] KYC Case # : 01791049 Status : 6. Approved One sheet must be established per relationship - list all accounts included in the relationship 1. Relationship Details Relationship to PWM: If existing, please indicate since when the relationship exists, provide reason for new profile and attach old profile: ***This KYC 5 a periodic review for high risk remediation*** Original KYC1133377 ) Introduced? How long has the | please provide detalls (e.g. name of referral source, how many years RM personally has known client, etc.): Stew Oldfield RM personally known the reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changes to the accounts. Rich Kahn confirms that client? he is now the sole owner and signor of HBRK Associates. His main source of wealth derives from this company. Darren confirms no material changes to his PLLC retrocession or similar compensation to a third party for the introduction of this (if Yes, describe} relationship? List all existing and new accounts involved in this relationship Legal Entity | Account Name / Number Opening Date (intended/actual) Account(s) Ce —_—_ Ce —_ Who is the primary contact person alretitah ina wns Preferred method of contact signatory rights and/or {indicate phone no., fax no., information right for the e-mail address, etc.): @ccounts.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000246 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US# PoG04209 EFTA_00019119 EFTA00168866

--=PAGE_BREAK=--

KYC Print Page 2 of 12 One sheet must be established for each account to be ope Account Ownership Summary — What Is the purpose of the account (e.g. portfolio management, advisory account, custody services, long-term investment, payment/expense account)? Checking account to hold funds for daily use for the company. Indicate from where the assets are expected to arrive? M) bb Group: Same Booking Center (indicate account number): [I OC bs Group: Other Booking Center (indicate DB location and account details): C1 other Institution - (Indicate name & location): oO Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volurne per month)?: 0-15 inflows/outifows between 1k and 6k on a monthly basis What Is the expected volume of assets and currency for the account approx. 90 days after opening? What Is the expected volume of assets and currency for the account approx. one year after opening? Please list all parties related to the account. For each party: (Check if a source of wealth description is required for the party. (Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. Please drill down to the ultimate/underlying Beneficial Owner(s). CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000247 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 10 EFTA_00019120 EFTA00168867

--=PAGE_BREAK=--

KYC Print Page 3 of 12 2. Account Ownership Sum What Is the purpose of the account (e.g. portfolio managernent, advisory account, custody services, long-term investment, payment/expense account)? Checking account for the dally use of the this law firm Indicate from where the assets are expected to arrive? M1 bs Group: Same Booking Center (indicate account number): [IS oO DB Group: Other Booking Center (indicate DB location and account details): CO other Institution - (Indicate name & location): C1 Physical Deposits (specify cash, securities, cheques, ...): What Is the expected size and frequency of regular inflows and outflows for the account (indicate estimated number and volurne per month)?: 0-15 inflows/outflows between 1k and 15k on a monthly basis What Is the expected volume of assets and currency for the account approx. 90 days after opening? What Is the expected volume of assets and currency for the account approx. one year after opening? Please list all parties related to the account. For each party: (Check f a source of wealth description ts required for the party. * (Check the appropriate box to describe the relationship of the party to this account (> 1 can be selected). If none of the check boxes apply, describe the party's relation to the account in the "Other" column. Always describe the relationship between the parties in the last column. Please drill down to the ubtematefunderiving Be Beneficial Owner(s). CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000248 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pols?! ! EFTA_00019121 EFTA00168868

--=PAGE_BREAK=--

KYC Print Page 4 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Sum 3A. Individual Details (for all parties) 7 Country of Citizenship: Tax ID / SSN: Address of employer: 575 Lexington Ave, 4th Fl Livingston NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial oO 1] dustry? or an entity listed on a O6-recognised exchange? (Not applicable for operating entities Yes M1 No Oves Wino To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.9., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe } If applicable, indicate which bank officers have met the person: . where and when the client meeting(s) took place: toca ars jw CS poavcvawctemmmnsia’ |S Poveamraameemmmmee fd Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Darren has been an in-house lawyer for Jeffrey Epstein at Southern Financial LLC for over 15yrs, wherein his main source of income derives from. Southern Financial LLC is a current client of DB. See case 1082293 as a reference. Mr. Indyke also owns his own legal practice called Darren Indyke PLLC, as well as smaller LLCs for his own personal investments. Estimated Annual Income($): Estimated amount of investable assets($): Estimated Net Worth($): $2MM-SMM Amount of assets planned to invest with PWM($): Po Other Known Financial Institutions: CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000249 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 2 EFTA_00019122 EFTA00168869

--=PAGE_BREAK=--

KYC Print Page 5 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the farnily situation of the individual (marital status, other family members, etc.): CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000250 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 3 EFTA_00019123 EFTA00168870

--=PAGE_BREAK=--

KYC Print Page 6 of 12 One sheet must be established for EACH INDIVIDUAL PARTY in Section 2. Account Ownership Summi 3A. Individual Details (for all parties) Country of Citizenship: Has client resided outside of his/her country of nationality |{] yes M]No for 5 years or more? Ss ——— : 575 Lexington Ave, 4th Fl New York NY United States 10022 Does the person work as senior executive of a DB-recognized regulated entity in the financial oO 1] dustry? or an entity listed on a O6-recognised exchange? (Not applicable for operating entities Yes M1 No Is the individual a Politically Exposed Person (PEP)?/if Yes, describe) Oves Wino To the best of your knowledge, ts the individual related to an employee of the D6 group?/if oO Family Oo Friendship Mw None Family or Friendship, describe ) To the best of your knowledge, Is the individual party to a non-banking relationship with Deutsche Bank (e.9., external legal counsel, client referral source, supplier of goods or services)? (if Yes,describe } Cee Poornatoatwemennettes fT Further Describe Source of Wealth /Detail the history of wealth for each of the sources: (e.g. For trusts, how did settlor accumulate wealth? For inheritance, how did family accumulate wealth?For business owners, how long in business, how many employees, level of profitability? Indicate type of business, countries of major activities, important business partners.) Rich Kahn has been an in-house accountant for Jeffrey Epstein for over 10 years. He began HBRK with another in house accountant Harry Beller. Mr. Beller ts now retired and Rich has taken over ownership of this entity. Assets come from the rates he charges for his @ccounting services. See a Er Co En a CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000251 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh PoG0s?'4 EFTA_00019124 EFTA00168871

--=PAGE_BREAK=--

KYC Print Page 7 of 12 Institution: Country: Est. Assets Under Mgt: Please indicate the farnily situation of the individual (marital status, other family members, etc.): for EACH LEGAL ENTITY in Section 2. Account Summa Date of incorporation / | 9/5/2008 registratio messes me 575 Lexington Avenue New York NY 10022 United Provide a description of the entity’s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settlor and beneficiaries,etc.: Single member PLLC with Darren K. Indyke as the sole member and owner Please indicate how ownership of the legal entity is reflected: Single member PLLC with Darren K. Indyke as the sole member and owner oO Special attention: Bearer Shares - Indicate where shares are custodied: Describe the chain from the direct owner of the entity to the ultimate beneficial owner (if not the same persons? Single member PLLC with Darren K. Indyke as the sole member and owner To the best of your knowledge, is the entity party to a non-banking relationship with Deutsche o i] Bank (e.g. external legal counsel, client referral source, supplier of goods or services)?: Yes No [ i | i Law practice. This is Darren Indyke's private law firm. toe Lxrcn tuormienoemmen i = SY 3D. Wealth Profile (Onty for parties requiring source of wealth description as indicated in Section 2) Primary Country of source of wealth/source of Funds? Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Wabilities): \ssets come from the rates he charges clients for his law services Estimated gross receipts p.a.($): 300,000.00 200,000.00 B\e g Hi i jal Amount to be invested with PWM ($): g g i f a [ é a s Fa 8 : One sheet must be established for EACH LEGAL ENTITY in Section 2. Account Summa CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000252 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 1S EFTA_00019125 EFTA00168872

--=PAGE_BREAK=--

KYC Print Page 8 of 12 3C. Legal Entity Details (For all Legal Entities) Type of Entity: Country of Date of incorporation / | 8/29/2008 incorporation, registration: registration: Address (otty, street, post 575 Lexington Avenue, 4th Fl New York NY 10022 United States) code): Provide a description of the entity’s organizational structure, its ownership structure and its Top Management. For trusts/foundations, include information about revocability,settior and beneficiaries etc.: Richard Kahn is 100% owner and signor of this entity. Please indicate how ownership of the legal entity is reflected: Richard Kahn 50% owner Harry Beller 50% owner Primary industry of source of Wealth/Source of Funds? Provide Evidence of Corporate Assets (e.g. balance sheet or equivalent summary of assets/Mabilities): Rich is an in-house accountant for Jeffrey Epstein. His started this company with Harry Beller who retired. The company assets comes from the fees he charges or this service. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000253 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 16 EFTA_00019126 EFTA00168873

--=PAGE_BREAK=--

KYC Print Page 9 of 12 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'l PART B [7] pawew aw ae mm B= Bee oom (Compliance Signature) 4. Attachments AL Type of Photo ID Provided M rivers License CO passport CO nationaystate 10 CF) other (Checklist of names (individuals and/or entities) that were submitted for database searches is attached C. Please indicate the results of the database searches performed RDC searches complete Myes Ono PCR checks complete Mies (No OFAC checks complete Mes Ono BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) yes CINo Denial Orders checks complete Mies Ono Martindale-Hubbell searched (Lawyers/Law Firms only) Des Mino Myes Ono negative results found negative results found negative results found negative results found negative results found negative results found Please summarize any negative results from the database searches indicated above: DARREN K. INDYKE: No negative Media No court cases NEW YORK STRATEGY GROUP, LLC: No negative media No court cases DARREN K. INDYKE PLLC: No negative media No court cases HBRK ASSOCIATES INC: No negative media No court cases BD. RICHARD KAHN: Approved KYC #01082293 AML Clearance attached to this KYC Not barred from NYSE Arca and he was cleared twice as seen in the attachments HARRY BELLER: Negative Media: Not our client. Al negative media pertains to an environmental microbiologist. Our client is an accountant Court Cases: #1: Disposed in 1987 All other cases are not our client. The other court cases refer to a Dr. Harry Beller. Our client is an accountant JEFFREY EPSTEIN INSURANCE TRUST: No negative media No court cases JEFFREY EPSTEIN: Previously KYC'd and approved in: 01082293 and 01121718 Dyes Mino Oves Vino Des Mino Dyes Mino Dives Mino Oves Ono E. To the best of your knowledge, has the cient ever been convicted of a criminal offense? Myes Ono To the best of your knowledge, has the customer ever been involved in any past litigation against F. Deutsche Bank AG or any of its subsidiaries or is the customer threatening litigation against * Deutsche Bank AG or any of its subsidiaries? (7f Yes, provide details below and contact Quality Mgt. (Latim/int?) or the Regulatory Control Group and notify Compiiance immediately) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) Oves Mino Oves Mino DB-SDNY-0000254 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US Pls? "7 EFTA_00019127 EFTA00168874

--=PAGE_BREAK=--

KYC Print Page 10 of 12 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)? Does the client or related party have any financial or other association/ interactions within high risk oO m7 * countries? Yes No 1. Corporate Documentation Attached (Legal Entities Only) Mies C)no (1) Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Onty) Oves Fo M) not Applicable K. If Lexis/Nexs Search Results, Corporate Documents or Other Supporting Documentation ts not im English, please provide an English summary of the nature/contents of the non-English Documentation: Does the account have Nexus to Special Risk Countries? Cves Mino Is the account structure unusually complex? Oves Mino Is there any indication the client set up a non operating company expressly FZ for the purpose of transferring shares to third parties? Dves Mino Is there any indication this could be a prohibited business relationship? Oves Mino Are the bearer shares identified subject to acceptable controls? Oves Mino CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000255 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 18 EFTA_00019128 EFTA00168875

--=PAGE_BREAK=--

KYC Print Page 11 of 12 M. Case Comments HBRK Associates Inc and Darren K Indyke PLLC (accountholders) have been clients of DB since 2013. Below are he reasons why we are comfortable with approving this update/high risk review - Information and supporting documents required by our AML Policy were provided and reviewed; and as a esult, we have an understanding of the structure of the accountholders, their purpose, the purpose of the jaccounts and expected transaction activity. 7/18/117 1:01 PM ‘The account holders’ source of wealth and source of funds were sufficiently detailed and appears plausible ‘The account holders’ source of wealth Is via the company’s operations, which Is accounting firm/law firm. Our review did not identify any red flags relating to fraudulent ownership hence we believe the true ownership the accountholder was identified. We performed due diligence searches on all key parties including the client, UBOs and authorized signatories jand did not find the names searched to be on any sanctions lists. Ee Jcyntia Rodriguez | 7/i7sis7 1.23pm [Stem Olde reached out to Rich Kahn and Darren Indyke on 7/7/2017 to confirm material changes to the ONSHORE APPROVALS Gtent Facing Professional (CFP): stewart oldfield ‘Signature) 7/13/2017 stewart oldfield Office Director/Business Head: Andrew F Gallivan ‘Signature) 7/14/2017 indrew F Gallivan ian i AML Business Risk: (Signature) (Signature) Kshitij Gotani 7/18/2017 Yoonsun Chung 7/18/2017 LATAM/INTERNATIONAL APPROVALS ponerse pow Global Market Team Head (GMTH)/Sub-Market Team Head KSMTH): AML Business Risk: (Signature) CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000256 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US fh Pls? 19 EFTA_00019129 EFTA00168876

--=PAGE_BREAK=--

KYC Print Page 12 of 12 PRIVATE WEALTH MANAGEMENT POLICY STATEMENT: Deutsche Bank Private Wealth Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals 1(1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFP. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC 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-0000257 https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=0 1 N30000000D9Di&e... US# PoGlg?20 EFTA_00019130 EFTA00168877