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EFTA01282499

Dataset 10 · 1 page · 235 KB · 449 words

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Deutsche Bank
Privine Wealth MawIT:men(
Institutional Suitability Certificate
Affirmative Indication Of Exercise Of Independent Judgment
(Pursuant To FINRA Rule 2111)1
Inc. (DBSII or
In connection with any recommendedz transaction or investment strategy by Deutsche Bank Securities
its Client Advisors, the undersigned    acknowledg   es  on behalf  of the Institution named  below  that:
I. It is an Institutional Account as defined in FINRA Rule 4512(c)3; namely,
0    a) A bank, savings and loan association, insurance company, or registered investment company
Section 203 of
0    b) An investment adviser registered either with the Securities and Exchange Commission under office
Advisers  Act of 1940   or with  a state securities commission   (or any agency  or
The Investment
performing like functionsl
assets of
to   c) Any  other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total
of this  Certification (whether   such assets are invested for such  person's
at least $50 million as of the date
own account or under management for the account of others).
IMPORTANT: You must select one of the above
to all transactions and
II. It (11 is capable of evaluating investment risks independently, both In general and with regard                      in evaluating
investment strategies involving      a security  or securities; and  (2) will exercise  independent    judgment
persons,   unless it has   otherwise   notified
the recommendations of Deutsche Bank Securities Inc. or its associated
Deutsche Bank Securities      Inc. in writing;
if anything in this
III. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account
Certificate ceases to   be true;
IV. He or she is authorized to sign on behalf of the Institutional Account named below.
does not waive any
By signing this Certificate, the undersigned affirms that the above statements are accurate but
laws, including  without  limitation, any rights  under    Section 10(b) of
rights afforded undor U.S. federal or state securities
the Securities     Exchange  Act  of 1934,  as  amended,    and the rules and  regulations   promulgated   thereunder.
strategies involving
NOTE: This Certificate shall apply with respect to all recommended transactions end investment
that are entered into  by the "Institutiona l Account"  named   in this Certificate, whether   for the account of such
securities
making authority to such
Institutional Account or for the account of any beneficial owner that has delegated decision
Institutional Account.
Southern Financial LLC                                             Jaffrey Epstein
Institutional count Name                                            Name of Authorized Signatory
tae e
e of Authorized                                                  Account Number
Signature of Auth       zed Signatory                               Date
Southern Trust Company Inc.                                         Jeffrey Epstein
Institutional Account Name                                            Me of Authorized Signatory
Tit)    Authorized Signe                                            Account Number
()nature of Authorized S
Client Advisor Signature
'Avedable et http://www.finre.orgAndustry/R                                                                               KS
1A.s defined in FINRA Rules.                                                                                             12-PVVM-0309
011098.041612
SDNY_GM_00038011
CONFIC ENTI
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)                                                                              DB-SDNY-0000835
EFTA_00148620
EFTA01282499
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