Case File
efta-01282499DOJ Data Set 10OtherEFTA01282499
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01282499
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
Text extracted via OCR from the original document. May contain errors from the scanning process.
Deutsche Bank
Privine Wealth MawIT:men(
Institutional Suitability Certificate
Affirmative Indication Of Exercise Of Independent Judgment
(Pursuant To FINRA Rule 2111)1
In connection with any recommendedz transaction or investment strategy by Deutsche Bank Securities Inc. (DBSII or
its Client Advisors, the undersigned acknowledges 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
0
b) An investment adviser registered either with the Securities and Exchange Commission under Section 203 of
The Investment Advisers Act of 1940 or with a state securities commission (or any agency or office
performing like functionsl
to c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of
at least $50 million as of the date of this Certification (whether such assets are invested for such person's
own account or under management for the account of others).
IMPORTANT: You must select one of the above
II. It (11 is capable of evaluating investment risks independently, both In general and with regard to all transactions and
investment strategies involving a security or securities; and (2) will exercise independent judgment in evaluating
the recommendations of Deutsche Bank Securities Inc. or its associated persons, unless it has otherwise notified
Deutsche Bank Securities Inc. in writing;
III. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account if anything in this
Certificate ceases to be true;
IV. He or she is authorized to sign on behalf of the Institutional Account named below.
By signing this Certificate, the undersigned affirms that the above statements are accurate but does not waive any
rights afforded undor U.S. federal or state securities laws, including without limitation, any rights under Section 10(b) of
the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder.
NOTE: This Certificate shall apply with respect to all recommended transactions end investment strategies involving
securities that are entered into by the "Institutional Account" named in this Certificate, whether for the account of such
Institutional Account or for the account of any beneficial owner that has delegated decision making authority to such
Institutional Account.
Southern Financial LLC
Institutional
count Name
tae
e
e of Authorized
Signature of Auth
zed Signatory
Jaffrey Epstein
Name of Authorized Signatory
Account Number
Date
Southern Trust Company Inc.
Jeffrey Epstein
Institutional Account Name
Tit)
Me of Authorized Signatory
Authorized Signe
Account Number
()nature of Authorized S
Client Advisor Signature
'Avedable et http://www.finre.orgAndustry/R
1A.s defined in FINRA Rules.
CONFIC ENTI
KS
12-PVVM-0309
011098.041612
SDNY_GM_00038011
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e)
DB-SDNY-0000835
EFTA_00 148620
EFTA01282499
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