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efta-efta01424819DOJ Data Set 10Correspondence

EFTA Document EFTA01424819

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DOJ Data Set 10
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efta-efta01424819
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EFTA Disclosure
Text 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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