EFTA01426753.pdf

Subject: RE: Please fill out -> CRS + UK FATCA form [C] From: Martin Zeman Date: Thu, 19 Apr 2 To: Richard Kahn Cc: Paul Barrett Liam Osulliv Xavier Avila Davide-A Sfe Stewart Oldfield , Jeanne Brennan Darren Indyke Richard, thanks — we corrected the DOB on our side. Can you please also confirm that the following is correct: Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thank you Martin {cid:[email protected]} Martin Zeman Director I Key Client Partners Deutsche Bank Wealth Management DB Securities Inc 345 Park Avenue, 10154-0004 New York, NY, USA 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 EFTA01426753 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 <[email protected]> Cc: Paul Barrett <a; Liam Osullivan <[email protected]>; Xavier Avila <[email protected]>; Davide-A Sferrazza <[email protected]>; Stewart Oldfield ; Jeanne Brennan a; 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 EFTA01426754 Richard Kahn HBRK Associates Inc. 575 Lexington Avenue 4th Floor New York, NY 10022 tel 212-971-1306 fax 212-320-0381 cell 917-414-7584 On Apr 17, 2018, at 10:31 AM, Martin Zeman <[email protected]> wrote: Classification: Confidential Richard, I am following up on my email from last week. We are extending Southern Financial LLC to be able to trade credit derivatives as well as equity derivatives. Would you please kindly fill out the attached form and return? 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 02/19/1955 EFTA01426755 o Richard Kahn 03/09/1974 Clarification of the Nature of Business o Private investment vehicle; allocates capital across various asset classes and trading strategies. Thanks Martin From: Martin Zeman Sent: Wednesday, April 11, 2018 12:14 PM To: 'Richard Kahn' < Cc: 'Paul Barrett >; Liam Osullivan <[email protected]>; Xavier Avila <[email protected]>; Davide-A Sferrazza <[email protected]>; Stewart Oldfield cifi Subject: CRS + UK FATCA form [C] Classification: Confidential Richard, We are working on extending Southern Financial to trade Equity and also EFTA01426756 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. +1(212) 250-0432 Mobile +1(808) 280-7881 Email [email protected] 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 EFTA01426757 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. EFTA01426758