EFTA Document EFTA01468624

Subject: Fw: New Ca ital Markets Flow Client [I] From: Tazia Smith < Date: Wed, 30 Apr 2014 12:28:29 -0400 To: Paul Morris < Classification: For internal use only this to go through physical delivery, per our conversation.... Forwarded by Tazia Smith/db/dbcom on 04/30/2014 12:27 PM From: Jay Lipman/db/dbcom Tazia Smith Vahe Stepanian Date: 04/30/2014 11:13 AM Subject: New Capital Markets Flow Client [I] Classification: For internal use only Team, let me know your thoughts. Cheers Hi XXX, Attached, please find the necessary paperwork to begin the Capital Markets on-boarding process with the Key Client Partners (KCP). I have included completion instructions below and highlighted relevant areas on the forms. Please do not hesitate to let me know if you have any questions. KCP Documents KCP Non-Advisory Letter - Please Insert signers name and complete form. (See attached file: KCP Non-Advisory Letter (Tazia Smith).docx) Finra 2111 Suitability Form (See attached file: Institutional Suitability Certificate.pdf) QIB Letter (not required but recommended) - All information at the end of pg 2 must be completed and signed. (See attached file: Q_-_Qualified_Institutional_Buyer_Certification_Letter.pdf) ISDA Requirements In order for us to progress with providing an ISDA for the client, please ensure that all the information requested in the attached document is provided. We do not recommend sending this document to the client, as the EFTA01468624 client information form will provide much of it. As such, please provide the rest of the information. (See attached file: ISDA Preliminary Requirements - Collection Sheet.docx) Capital Markets Documents Completion Instructions: -FX Agency Direction Letter - Please sign/date bottom of form -Options Agreement - Please complete highlighted areas, sign/date pg.2 and initial pg. 3 -Uncovered Options Writing - Please complete highlighted sections -Structured Products Approval - Please complete highlighted areas and sign/date pg. 3 -After Hours - Please sign the last page of the document -Email Waiver Letter - Please Sign the Client Section -IPO Form - Please check applicable boxes in Sections A + B, and sign/date top of pg. 2 -Prime Brokerage Agreement (See attached file: FX Agency Direction Letter.pdf) (See attached file: Options Account Agreement.pdf) (See attached file: Structured Products New Agreement and Approval Form.pdf) (See attached file: After Hours Authorization Letter.pdf)(See attached file: Email_Waiver_Letter.pdf) (See attached file: Rule 5131 IPO Form.pdf)(See attached file: Prime Brokerage Agreement.pdf)(See attached file: Uncovered Options Writing.pdf) Kind Regards, Jay Lipman (Embedded image moved to file: pic17979.gif) Jay Lipman Analyst I Key Client Partners DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue. 10154-0004 New York, NY, USA Tel. Mobil Email From: To: Tazia Smith/db/dbcom Jay Lipman Date: 02/03/2014 10:01 PM Subject: Re: New Capital Markets Flow Client - Onboarding Package [I] EFTA01468625 Classification: For internal use only Let's revisit our checklist? Get Joerg and all back involved? (Embedded image moved to file: pic14736.gif) Tazia Smith Director I Key Client Partners - US Deutsche Deutsche 345 Park New York, Te Fa Mob). e Email Bank Securities Inc Asset & Wealth Management Avenue, 26th Floor NY 10154 S (Embedded image moved to file: From: To: pic20453.gif) Jay Lipman/db/dbcom Kevin Quinn Tazia Smith Date: 01/25/2014 03:59 PM Subject: Re: New Capital Markets Flow Client - Onboarding Package [I] Classification: For internal use only Hi Kevin, I agree that we should put together on-boarding packets for each type of client, I will take ownership of these and work on putting them together. EFTA01468626 With regards to client set up for Capital Markets trading, thus far I have only been involved on the AWM/PCS side (i.e. options, SP's, FX). As such, I do not have the extensive list of what would be required for Autobahn/CB&S set up. I will reach out to the appropriate parties downtown to get this information and provide it as soon as I have it. Thanks Kev Kind Regards, Jay Lipman (Embedded image moved to file: pic23770.gif) Jay Lipman Analyst I Key Client Partners DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Mobil Email From: To: Cc: Date: Kevin Quinn/db/dbcom Jay Lipman Tazia Smith 01/24/2014 01:31 PM Subject: New Capital Markets Flow Client - Onboarding Package [I] Classification: For internal use only Jay, We will be setting up a new client to trade capital markets in KCP. Would be good to have a full set-up kit ready for these types of clients. Can you prepare a list of requirements? Cash, options, futures, CB&S, autobahn etc. EFTA01468627 I will review with you afterwards and then we can aggregate all paperwork and basic KYC requirements. Believe you have all this from Epstein. Please at least provide the list today. Let me know if you have any questions. Kevin (Embedded image moved to file: pic09035.gif) Kevin Quinn Associate I Key Client Partners - US DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New Y 4 Tel. Mobil EFTA01468628