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efta-efta01424819DOJ Data Set 10CorrespondenceEFTA Document EFTA01424819
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EFTA DisclosureText extracted via OCR from the original document. May contain errors from the scanning process.
Deutsche Bank AG New York Branch (Non-FDIC) Sweep
Deposit Program (the "Program") Election and Representations
Account Number
Account Name
Account Type:
Individual
Joint
Trust
Partnership
Limited Liability Company
Corporation
By signing below, the undersigned elects to utilize the Program as a cash
sweep option and represents to
Deutsche Bank Securities Inc. that:
• Client understands that the terms and conditions associated with this
program will be provided under separate cover
and that Client may at any time change their sweep option as described in
the terms and conditions. The undersigned
understands and acknowledges that Program deposits are not eligible for
insurance by the FDIC, and are not protected
by the Securities Investor Protection Corporation or any governmental agency
of the United States, the Federal Republic
of Germany or any other jurisdiction.
• The undersigned is an "accredited investor" as defined in Regulation D
under the Securities Act of 1993, as amended
because the undersigned is:
(Check all that apply. At least one category must be checked.)
A natural person with individual income exceeding $200,000 in each of the
two most recent years or joint income with a
spouse exceeding $300,000 in each of those years and a reasonable
expectation of the same income in the current year.
A natural person with individual net worth, or joint net worth with a
spouse, over $1,000,000, excluding primary residence.
A trust with assets in excess of $5,000,000, not formed for the specific
purpose of utilizing the Program, whose
purchases are directed by a sophisticated person.
A revocable trust that may be amended or revoked at any time by the grantors
and where all of the grantors are
accredited investors.
A charitable organization, corporation or partnership with assets exceeding
$5,000,000.
A business in which all the equity owners are accredited investors.
An insurance company, registered investment company, business development
company or small business
investment company.
By signing below, the undersigned hereby confirms that the representations
made above are true to the best of the
knowledge of the undersigned.
Title of Account
Signature
Name
EFTA01424819
Date
Signature
Name
Date
Other
WM189660 015105.031518
Page 1 of 2
EFTA01424820
A deposit in the Deutsche Bank AG NY Sweep Program is not insured by the
Federal Deposit Insurance Corporation (FDIC)
or protected by the Securities Investor Protection Program (SIPC).
Deutsche Bank AG, including its subsidiaries and affiliates, does not
provide legal, tax or accounting advice. This
communication was not intended or written to be used, and cannot be used or
relied upon, by any taxpayer for purposes
of avoiding any U.S. federal tax penalties. The recipient of this
communication should seek advice from an independent
tax advisor regarding any tax matters addressed herein based on their
particular circumstances. This information also
is not financial advice or a solicitation. Recipients should consult their
applicable professional advisors prior to acting
on any information set forth herein. Pursuant to IRS regulations, we inform
you that any tax advice contained in this
communication (including any attachments) is not intended or written to be
used for purposes of (i) avoiding tax related
penalties, or (ii) promoting, marketing or recommending to another party any
transaction or matter referred to herein.
"Deutsche Bank" means Deutsche Bank AG and its affiliated companies.
Deutsche Bank Wealth Management represents
the wealth management activities conducted by Deutsche Bank AG or its
subsidiaries. Brokerage services are offered
through Deutsche Bank Securities Inc., a broker-dealer and registered
investment adviser, which conducts securities
activities in the United States. Deutsche Bank Securities Inc. is a member
of FINRA, NYSE and SIPC.
0 2018 Deutsche Bank AG. All rights reserved. WM189660 015105.031518
EFTA01424821
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