📄 Extracted Text (449 words)
Deutsche Bank
Privine Wealth MawIT:men(
Institutional Suitability Certificate
Affirmative Indication Of Exercise Of Independent Judgment
(Pursuant To FINRA Rule 2111)1
Inc. (DBSII or
In connection with any recommendedz transaction or investment strategy by Deutsche Bank Securities
its Client Advisors, the undersigned acknowledg es on behalf of the Institution named below that:
I. It is an Institutional Account as defined in FINRA Rule 4512(c)3; namely,
0 a) A bank, savings and loan association, insurance company, or registered investment company
Section 203 of
0 b) An investment adviser registered either with the Securities and Exchange Commission under office
Advisers Act of 1940 or with a state securities commission (or any agency or
The Investment
performing like functionsl
assets of
to c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total
of this Certification (whether such assets are invested for such person's
at least $50 million as of the date
own account or under management for the account of others).
IMPORTANT: You must select one of the above
to all transactions and
II. It (11 is capable of evaluating investment risks independently, both In general and with regard in evaluating
investment strategies involving a security or securities; and (2) will exercise independent judgment
persons, unless it has otherwise notified
the recommendations of Deutsche Bank Securities Inc. or its associated
Deutsche Bank Securities Inc. in writing;
if anything in this
III. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account
Certificate ceases to be true;
IV. He or she is authorized to sign on behalf of the Institutional Account named below.
does not waive any
By signing this Certificate, the undersigned affirms that the above statements are accurate but
laws, including without limitation, any rights under Section 10(b) of
rights afforded undor U.S. federal or state securities
the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder.
strategies involving
NOTE: This Certificate shall apply with respect to all recommended transactions end investment
that are entered into by the "Institutiona l Account" named in this Certificate, whether for the account of such
securities
making authority to such
Institutional Account or for the account of any beneficial owner that has delegated decision
Institutional Account.
Southern Financial LLC Jaffrey Epstein
Institutional count Name Name of Authorized Signatory
tae e
e of Authorized Account Number
Signature of Auth zed Signatory Date
Southern Trust Company Inc. Jeffrey Epstein
Institutional Account Name Me of Authorized Signatory
Tit) Authorized Signe Account Number
()nature of Authorized S
Client Advisor Signature
'Avedable et http://www.finre.orgAndustry/R KS
1A.s defined in FINRA Rules. 12-PVVM-0309
011098.041612
SDNY_GM_00038011
CONFIC ENTI
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0000835
EFTA_00148620
EFTA01282499
ℹ️ Document Details
SHA-256
5dd537a769ae9ac9f468fbba0f25c8a33bc7ad72d2a31cac983e8aaab4e46258
Bates Number
EFTA01282499
Dataset
DataSet-10
Document Type
document
Pages
1
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