EFTA01363151.pdf

Docitsclie (3;3 nlc Wea tit l'ilanaraert lent GRSA ITFA This questionnaire is highly relevant for Deutsche Bank's compliance with the requirements stipulated in the German Bank Separation Act (GBSA). Violation of GBSA prohibitions can be prosecuted as a criminal offense and expose Deutsche Bank to significant penalties and reputational risk. This questionnaire must therefore be completed with the utmost diligence. In case of any questions regarding this questionnaire, please contact your line manager or your local contact at Deutsche Bank's Legal Department. HBRK Associates, Inc Nom.: of Chew ifictithrodl Section 1: Proprietary Trading This section deals with activities of Deutsche Bank Group entities involving the pun:nese err sale ni financial instrument in a principal capacity. Level 1 01. Do the proposed activities involve transactions in financial instruments by a Deutsche Bank Group entity as principal (i.e., not as agent, broker or in any other role as service provided? Please indicate YES or NO, and describe the basis for this conclusion in the Comments section as well as by checking the appropriate box in below table with examples. YES al the answer is "YES- . please proceed to O2 of this questionnaire for dOCUMeatetiOn of applicable exclusions or exemptions) I NO (this is permissible trading under GBSA) Comments This is an accounting firm and is solely owned by Richard Kahn WM178929 025/R8 07;1317 For internal use only Rip u! 1 I CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053046 CONFIDENTIAL SDNY_GM_00199230 EFTA01363151