EFTA00169769.pdf

SOUTHERN FINANCIAL LLC fi l KS CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) WAtsnhtii82 EFTA_00020052 EFTA00169769  Private Wealth Monogr:mem Institutional Suitability Certificate Affirmative Indisation Of Exercise Of Independent Judgment (Pursuant To FINRA Rule 2111)' In connection with any recommondedz 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. 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 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, 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 &Authorized Account Number Signature of Aunt sized Signatory Date Southern Trust Company Inc. Jeffrey fiestoin Institutional Account Name --Matte 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 Pilot oil 'A, dotimrl in AMU Rules. it:rot/mom Otioettatteit CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) ii8-SbNAIM183 EFTA_00020053 EFTA00169770