EFTA01373120.pdf

From: Stewart Oldfield Sent: 1/18/2019 9:45:29 AM To: Richard Kahn BCC: Subject: RE: Annual EBC Notification-2019 It's not asking you to do anything, just an annual notice. At some point we will terminate the ISDA and related DF dots. Thanks From: Richard Kahn [maiItoe Sent: Friday, January 18, 2019 9:43 AM To: Stewart Oldfield < Subject: Fwd: Annual EBC Notification-2019 i assume this is irrelevant as well as we are exiting bank.. please advise thanks Richard Kahn HBRK Associates Inc 575 Lexington Avenue 4th Floor New York, NY 10022 tel fax cell Begin forwarded message: From: DF Protocol <E > Subject: Annual EBC Notification-2019 Date: January 17, 2019 at 5:32:43 PM EST To: DF Protocol Dear Valued Client, Please see the attached important reminder regarding the Deutsche Bank Dodd-Frank Resource Centre(www.clb.com/doddfrank) and certain disclosures that Deutsche Bank as a registered swap dealer is required to provide to US-Person counterparties when entering into swap transactions. If you are an agent, you are being sent this notice on behalf of all accounts, clients, funds, investors and/or other principals that you represent and that are US-Person counterparties of Deutsche Bank. Thanks & Regards, DF Protocol Dodd Frank — Regulatory Operations Tel: I Email: CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067149 CONFIDENTIAL SDNY_GM_00213333 EFTA01373120