EFTA01418005.pdf

Subject: RE: Annual EBC Notification-2019 From: Stewart Oldfield ‹ > Date: Fri, 18 Jan 2019 09:45:29 -0500 To: Richard Kahn Bcc: It's not asking you to do anything, just an annual notice. At some point we will terminate the ISDA and related DF docs. Thanks From: Richard Kahn [mailto: Sent: Friday, January 18, 2019 9:43 AM To: Stewart Oldfield < => Subject: Fwd: Annual EBC Notification -2019 i assume this is irrelevant as well as we are exiting bank.. please advise thanks Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York. NY 1 tel fax cell EFTA01418005 Begin forwarded message: From: DF Protocol Subject: Annual EBC Notification-2019 Date: January 17, 2019 at 5:32:43 PM EST To: DF Protocol Dear Valued Client, Please see the attached important reminder regarding the Deutsche Bank Dodd - Frank Resource Centre(www.db.com/doddfrank) and certain disclosures that Deutsche Bank as a registered swap dealer is required to provide to US- Person counterparties when entering into swap transactions. If you are an agent, you are being sent this notice on behalf of all accounts, clients, funds, investors and/or other principals that you represent and that are US- Person counterparties of Deutsche Bank. Thanks & Regards, DF Protocol Dodd Frank — Regulatory Operations Tel: I Email: Escalation/Feedback Contacts: Email: EFTA01418006 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. EFTA01418007