EFTA Document EFTA01282412

SOUTHERN FINANCIAL LLC Nos III IIIIII II II El - KS SONY_GM_00037896 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000720 EFTA_00 I 48505 EFTA01282412 scne ttan Private SAlealth Managernen Institutional Suitability Certificate Affirmative Indication Of Exercise Of Independent Judgment (Pursuant To FINRA Rule 21 / 1)' In connection with any recommended2 transaction or investment strategy by Deutsche Bank Securities Inc. (OBSII or its Client Advisors. the undersigned admowledges on behalf of the Institution named below that: f. It is an Institutional Account as defined in ANRA Rule 4512(0)3; namely, a a) A bank, savings and loan association, Insurance company, or registered investment company EZI bl 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 functions) 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 (1) 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 persona, Urt1838 it hes otherwise notified Deutsche Bank Securities Inc. in writing; Ill. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account if anything in this Cenificato 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 under U.S. federal or stale securitiee 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 Ile Jaffrey Epstein Institutional Account Name Kcc ler of Authorized Name of Authorized Signatory Account Number Signature of Auth• crci d Signatory Date Southern Trust Company Inc. Institutional Account Name Jeffrey Epstein —Natffirof Authorized Signatory Titl Authorized Sign Account Number ignature of Autttorized a t nbt. Date Client Advisor Signature lAvikleblo at http:iiwww.finie.didnndusilY 'As defined in FINRA Ruled ( O \ 'v- F--- Date 12•PW%1430G 011C(4.041512 SDNY_GM_00037897 CONFIDENTIAL CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000721 EFTA_00I48506 EFTA01282413