EFTA00169327.pdf

SOUTHERN FINANCIAL LLC N4G024943 N4G023812 N4G025098 N4G025106 N4G025114 N4G023804 N4G025080 N4G026161 N4G024968 N4G024980 N4G024935 N4G025403 1111111 KS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) II:Sla3I)MAN720 EFTAJ)0019590 EFTA00169327  O4 015080 PcVn 0.1.070 0)4143 rafft OIS mun oik 93S N461 oa1811 N(14.11 ass 114 IsictCh 01- 6 Ig J46 cosoqg c.) VS8* NVG o14968 N44 ots-cm Deutsche Bank pi watt! sivoilitli Monogr:morn 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. (OBSI) or Its Client Advisors, the undersigned acknowledges on behalf of the Institution named below that: I. ft 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 $50 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 It) 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 (2) will exercise independent judgment in evaluating the recommendations of Deutsche Bank Securities Inc. or Its associated persons, 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.above statements are accurate but does not waive any rights afforded under U.S. federal or state securitiee laws, inclUding without limitation; anY 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 numbs Lt.0 Jeffrey cps/tele Institutional A unt Name ' Name of Authorized Signatory “.er of Authonzed Account Number Signature of Auth sized Signatory Date Southern Trust Company Inc. Jeffrey Motoin Institutional Account Name --Name of Authorized Signatory V t Tit Authorized Signs Account Number gneture of Authorized.S a na Date Client Advisor Signature bate 'Availablo at http://Www.firra.org/Industry oil 'As dotimrl in AMU Rules. 11:ritit*OX9 ' Of 1000.1)11fit CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) tiilatne61)721 EFTA_00019591 EFTA00169328