EFTA01282110Set 10
2017-03-0733p11,181w
Date of inaracittkm / 12/14/2016
Inv:toccata,/registration: remstraticn:
Identified on Customer PrcAle No
Volcker Status: Volcker Flag:
6100 Red Hook Quarter, 83 St. Thanes; USVI 00802 United us. mom:
Address ... specify):
Courtly of UM Date of ircorporaten / 10/27/2011
incoporationtreglention: regal:ration:
Determination Required NO
Volcker Status: Volcker Flag:
Address (city, meet, post 6100 Red Hook Quarter, B3 St. Thomas ... Other (specify):
Country of USVI Date of incorporate(' / 4/12/2011
incorporatiotVregistration: registration:
Detemeetion Require! No
Volcker Status: Volcker Flag:
Address (city, meet, post 6100 Red Hook Quarter, B3 St, Thomas
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282110.pdf
EFTA01394858Set 10
2018-04-2735p10,538w
Date of
Country of Colombia 7/8/2011
incorporation /
incorporation/registration:
registration:
Identified in previous KYC Yes
Volcker Status: Volcker Flag:
Vereda La Punta, Inmueble Oasis. Lote 7, 3er Paso,
Address (city, street ... specify):
Date of
Country of Panama 11/30/2010
incorporation /
incorporation/registration:
Identified on Customer Profile No
Volcker Status: Volcker Flag:
U.S. TIWEIN: 30134267
https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?lid=01N30000000D9Di&... 12/19/2018
EFTA01394881
KYC Print Page ... Date of
Country of Bermuda 7/8/1994
incorporation /
incorporation/registration:
registration:
Identified in previous KYC Yes
Volcker Status: Volcker Flag:
Av. Sant Julia 260-266
Address (city. street, post U.S. T1WEIN:
Granollers
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394858.pdf
Southern Financial LLC
Secondary Opportunities Fund III. LP
Rule'. Among other things, the Volcker Rule generally prohibits "banking entities' from sponsoring, or investing in.
'covered funds' except to the extent ... subsidiaries and affiliates (including the Manager) are
"banking entities' for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated
that the Fund will ... private placement basis and will constitute a 'covered fund' pursuant to
the Volcker Rule. As a consequence. the Manager will be required to comply with the requirements
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451608.pdf
EFTA01252886Set 9
2013-10-1625p8,873w
specify):
Other (specify):
Date of
Country of US Virgin Islands 10/19/2012
incorporation
incorporation/registratkm:
registration:
Volcker Status: Volcker Flag:
Address (city, street, post St„ Thomas 00802 USV1 U.S. TIN/EIN:
code):
Provide ... specify):
Other (specify):
Date of
Country of US Virgin Islands 10/19/2012
incorporation /
incorporation/registraticn:
registration:
Volcker Status: Volcker Flag:
Address (city, street, post St. Thomas 00802 USVI U.S. TIN/EIN:
code):
Provide ... Other (specify):
Other (specify):
Date of
Country of USA 7/18/1991
incorporation f
incorporationtregistratiat
registration:
Volcker Status: Volcker Flag:
Ad&ess (city, street, post St„ Thomas 00802 USVI U.S. TIN/EIN:
code
https://www.justice.gov/epstein/files/DataSet%209/EFTA01252886.pdf
Southern Financial LLC
Secondary Opportunities Fund III. LP
Rule'. Among other things, the Volcker Rule generally prohibits "banking entities' from sponsoring, or investing in.
'covered funds' except to the extent ... subsidiaries and affiliates (including the Manager) are
"banking entities' for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated
that the Fund will ... private placement basis and will constitute a 'covered fund' pursuant to
the Volcker Rule. As a consequence. the Manager will be required to comply with the requirements
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451998.pdf
EFTA01394836Set 10
2018-10-1921p5,666w
specify):
Date of
Country of Cayman Islands 9/10/2018
incorporation /
incorporation/registration:
registration:
Determination Required Yes
Volcker Status: Volcker Flag:
C/O Walkers Corporate Limited. Cayman Corporate
Address (city. street. post Centre ... specify):
Date of
Country of United States 1/9/2009
incorporation /
incorporation/registration:
registration:
Determination Required Yes
Volcker Status: Volcker Flag:
Address (city. street, post 1209 Orange Street Wilmington 19801 United States ... specify): Other (specify):
Date of
Country of Australia 7/27/1983
incorporation /
incorporation/registration:
registration:
Determination Required
Volcker Status: Volcker Flag:
105.153 Miller Street North Sydney NSW 2060 U.S.
Address (city, street, post
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394836.pdf
established a new section 13 of the BHC
Act, commonly referred to as the "Volcker Rule". Among other things, the Volcker Rule
generally prohibits "banking entities" from sponsoring, or investing ... Master Fund Manager and Investment Manager)
are "banking entities" for purposes of the Volcker Rule and, therefore, subject to its
requirements. In addition, it is anticipated that the Master Fund ... residents on a private placement basis and will constitute "covered funds"
pursuant to the Volcker Rule. As a consequence, the Master Fund Manager and the
Investment Manager will be required
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451909.pdf
EFTA00168833Set 9
2017-03-0733p11,147w
Date of incorporation / 12/14/2016
inxrporatbon/regisbation: registry on:
Identified on Customer Profile No
Volcker Status: Vcicker Flag:
6100 Red Nook Quarter, 83 St. Thomas; LEVI 00802 United
Address (city, street, past ... Country of USA Date of Incorporation / 10/27/2011
Imo:room:ion/registration: registration:
Determination Required No
Volcker Status: Vcicker Flag:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas ... speedy):
Other (specify):
Country of USVI Date of incorporation / 4/12/2011
incorpormion/regisoation: registration:
Determination Required
Volcker Status: Vcicker Flag: No
Address (dty, street, past 6100 Red Hook Quarter, B3 St, Thomas
https://www.justice.gov/epstein/files/DataSet%209/EFTA00168833.pdf
EFTA01282044Set 10
2013-10-1626p8,907w
Entity Other (speofy):
Other (spedfy):
Country of USA Dare of incorporation / 1/13/2000
incorpotabon/registraton: regstration:
Volcker Status: Volcker Flag:
Address (city, street, post 575 Lexington Ave, 4th Fl New York ... speofy):
Other (specify):
Country of USA Date of Incorporation/ 9)512008
incorpotabon/registranon: i egstration:
Volcker Status: Volcker Rag:
Address (city, street, post 575 Lexington Avenue New York ... Other (specify)
Other (specify):
Country of USA Date of incorporation / 8/2912008
incorporation/registration: i eostration:
Volcker Status: Volcker Rag:
Address (city, street, post 575 Lexington Avenue, 4th Fl New York
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282044.pdf
established a new section 13 of the BHC
Act, commonly referred to as the "Volcker Rule". Among other things, the Volcker Rule
generally prohibits "banking entities" from sponsoring, or investing ... Master Fund Manager and Investment Manager)
are "banking entities" for purposes of the Volcker Rule and, therefore, subject to its
requirements. In addition, it is anticipated that the Master Fund ... residents on a private placement basis and will constitute "covered funds"
pursuant to the Volcker Rule. As a consequence, the Master Fund Manager and the
Investment Manager will be required
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451534.pdf
EFTA00168742Set 9
2013-10-1626p8,913w
Other (specify): of
Other (specify):
Country of USA Date of incorporation / 1/13/2000
incorporation/regsgation: registration:
Volcker Status: Volcker Hag:
Address (city, street, post 575 Lexington Ave, 4th Ft New York ... Entity Other (specify):
Other (specify):
Country of USA Date of Incorporation / 9/5/2038
incorporation/regstration: regisbatIon:
Volcker Status: Volcker Flag:
Address (ow, street, post 575 Loangton Avenue New York ... Other (specify):
Other (spedfy):
Country of USA Date of incorporation I 8/29/2008
incorporation/regsvation: registration:
Volcker Status: Volcker Flag:
Address (city, street, post 575 Lexington Avenue, 4th Ft New York
https://www.justice.gov/epstein/files/DataSet%209/EFTA00168742.pdf
EFTA01282092Set 10
2015-02-1818p6,141w
Other (specify):
Date of
Country of USVI 9/25/2012
incorporate., /
incorporationtregistraticn:
re2istrattn:
Estateor Chantable/Philantcptic No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter, 83 St. Thomas ... specify):
Date of
Country a USVI 4/25/2012
incorporation!
oration /
inmrporationtregistration:
Estate a Chantable/Philantcptic No
Volcker Status: Voldcer Flag:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas ... slaecify):
Date of
Country or USA 12/21/2011
incorporation /
incorporation/registratiat
registration:
Detemwation Required No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook, Quarter B3 St. Thomas
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01282092.pdf
EFTA00168815Set 9
2017-03-0718p6,176w
Country of USV1 Date of 4/25/2012
incorporation /
incorporabcniregistration:
registrabon:
Estate or Charitable/Atlanta:tic No
Volcker Status: Volcker Flag:
Address (city, street, post 6100 Red Hook Quarter, B3 St. Thomas ... Country of US/1 4/25/2012
incorporation /
incorporattniregistrabon:
registration:
Estate or Chatable/Philantopac No
voider Status: Volcker Flag:
Address (city, street, post 6100 Red Hock Quarter, B3 St. Thomas 00802 US. TIN/EIN ... Country of USA 12/21/2011
incorporation I
incorporaben/registration:
registration:
Determinate., Required No
Voldcer Status: Volcker Flag:
Address (city, street, post 6100 Red Hock, Quarter B3 St, Thomas 00802 U.S. TIN/EIN
https://www.justice.gov/epstein/files/DataSet%209/EFTA00168815.pdf
EFTA00168768Set 9
2013-10-1625p8,887w
Date of
Country of US Virgin Islands 10/19/2012
incorporation
incorporabon/nogGtrabon: vegetation:
Vdcker Status: Volcker Flag:
Address (dty, street, post 6100 Red Hock, Quarter B3 St, Thomas 00802 USV1 US. TIN/EIN ... specify):
Other (specify):
Date of
Country of US Virgin Islands 10/19/2012
incorpration /
incorporaten/registrabon:
registration:
Volcker Status: Voiclus Rag:
Address (city, street, post 6100 Red Hock, Quarter B3 St, Thomas ... Entity Other (specify):
Other (specify):
Date of
Country of USA 7/18/1991
incorporation /
incorporabon/registrabon:
re9strabon:
Volcker Status: Volcker Rag:
Address (dty, street, post 6100 Red Hock, Quarter B3 St, Thomas
https://www.justice.gov/epstein/files/DataSet%209/EFTA00168768.pdf