EFTA01412548.pdf

Briana Saffold From: Martin Zeman Sent: To: Cc: Subject: Friday, April 27, 2018 8:49 AM Zack Bunimovich; Nina Tona; Rita Shteynberg Liam Osullivan; Davide-A Sferrazza; Xavier Avila; Joshua Shoshan FW: Please fill out -> CRS + UK FATCA form [C] [I] Classification: For internal use only Zack, See below confirmation from Southern Financial as requested. Let's get this processed as a priority now please. Thank you Martin From: Darren Indyke AOL [mailto: Sent: Thursday, April 26, 2018 6:29 PM To: Martin Zeman Cc: Richard Kahn ; Paul Barrett >; Liam Osullivan ; Xavier Avila a; Davide-A Sferrazza < >; Stewart Oldfield ; Jeanne Brennan Subject: Re: Please fill out -> CRS + UK FATCA form [C] Confirmed. Sent from my iPhone Please excuse the typos. On Apr 26, 2018, at 5:46 PM, Martin Zeman a wrote: Richard, Thank you for your response from last week. Our verification team would like you to confirm the nature of business for Southern Financial LLC. A simple "confirmed" will suffice please. Clarification of the Nature of Business 0 trading strategies. Thank you Martin Private investment vehicle; allocates capital across various asset classes and Martin Zeman Director I Key Client Partners 1 EFTA01412548 Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. From: Richard Kahn [mailto: Sent: Thursday, April 19, 2018 9:30 AM To: Martin Zeman Cc: Paul Barrett ; Liam Osullivan ; Xavier Avila Davide-A Sferrazza Stewart Oldfield ; Jeanne Brennan Darren Indyke Subject: Re: Please fill out -> CRS + UK FATCA form [C] Please correct DOB as follows: Darren Indyke 2-19-1965 Richard Kahn 12-6-1972 thank you Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell On Apr 17, 2018, at 10:31 AM, Martin Zeman c > wrote: Classification: Confidential Richard, I am following up on my email from last week. We are extending Southern Financial LLC EFTA01412549 to be able to trade credit derivatives as well as equity derivatives. Would you please kindly fill out the attached form and return? 2 EFTA01412550 Also, would you please respond by confirming the date of birth for Darren and yourself as well as the nature of business for Southern Financial LLC: Date of Birth for the Legal Reps o Darren K. Indyke o Richard Kahn and trading strategies. Thanks Martin From: Martin Zeman Sent: Wednesday, April 11, 2018 12:14 PM To: 'Richard Kahn' Cc: 'Paul Barrett ; Liam Osullivan < ; Xavier Avila < >; Davide-A Sferrazza < ; Stewart Oldfield Subject: CRS + UK FATCA form [C] Classification: Confidential Richard, We are working on extending Southern Financial to trade Equity and also Credit Derivatives. Our Verification team noticed that we are missing this one form (attached) to complete the file. The reason we need this is because for the OTC products you are facing DBAG London. Are you able to fill this out and return please? Thanks Martin <image002.gif> Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email KCP products and services are intended and available only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)(3), and who are capable of evaluating the strategies, characteristics and investment risks of, and exercising independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions are subject to relevant internal approvals of DBSI or its affiliates prior to execution, and the execution of any transaction or idea discussed herein is conditional on your EFTA01412551 becoming a client of Deutsche Bank. Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed herein are provided for discussion purposes only, and strictly on a non-advisory basis. The KCP Americas desk does not provide investment advice. The information set forth herein is 3 02/19/1955 03/09/1974 Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes EFTA01412552 confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any legally binding obligation on the part of DBSI or any of its affiliates. --This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. <CRS + UK FATCA Entity Self Cert.pdf> --This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this communication. Any unauthorized copying, disclosure or distribution of the material in this communication is strictly forbidden. Please refer to https://db.com/disclosures for additional EU corporate and regulatory disclosures. Deutsche Bank does not render legal or tax advice, and the information contained in this communication should not be regarded as such. 4 EFTA01412553