EFTA00165898.pdf

SOUTHERN FINANCIAL LLC 111 1111111111 KS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0001646 EFTA_00015120 EFTA00165898  •eu sc e :an Pri 'a(e \AfeaIth Monogr:mem Institutional Suitability Certificate Affirmative Indisation Of Exercise Of Independent Judgment (Pursuant To FINRA Rule 2111)' In connection with any recommendedz transaction or investment strategy by Deutsche Bank Securities Inc. (DBSI) or Its Client Advisors, the undersigned acknowledges on behalf of the Institution named below that: I. It is en Institutional Account as defined in FINRA Rule 4512(c)3; namely. a a) A bank, savings and loan association, Insurance company, or registered investment company O b) 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) 0 c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of at least S50 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 Ill 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 12) will exercise independent judgment in evaluating the recommendations of Deutsche Bank Securities Inc. or Its associated persene, unless it has otherwise notified Deutsche Bank Securities Inc. in writing; III. It will notify the Deutsche Bank Securities inc. Client Advisor servicing the Institutional Account if anything in this Certificate 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.ebove statements are accurate but does not waive any rights afforded under U.S. federal or state securitiee laws, inchiding without limitation; artY 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 FlnancIM /LC Jeffrey Epstein Institutional A unt Name ' Name of Authorized Signatory of Authonzed Account Number Signature of Auth sized Signatory Date Southern Trust Company Inc. Jeffrey fiestoin Institutional Account Name --Nolte of Authorized Signatory .>v Tit Authorized Signs Account Number gneture of Authorized S na Date Client Advisor Signature bate 'Availablo at http://Www.firra.org/Industry Oat oil 'As dotimrl in AMU Rules. 11:ritit*OX9 ' Of 1008.1)11fit CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DS-SONY-0001647 EFTA_00015121 EFTA00165899