EFTA01467771.pdf

Subject: Re: TOMS Capital - Onboardin Package [I] From: Amanda Kirby Date: Thu, 13 Mar 2014 15:57:02 -0400 To: Jay Lipman Cc: Paul Morris Tazia Smith Classification: For internal use only Thank you very much, Jay Kind regards, Amanda Kirby (Embedded image moved to file: pic12448.gif) Amanda Kirby Associate Deutsche Bank Trust Company Americas Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Fax Email ■ (Embedded image moved to file: pic22906.gif) Securities offered through Deutsche Bank Securities Inc. From: Jay Lipman/db/- dbcom To: Amanda Kirby/db/- dbcom@DBAMERICAS, Cc: Paul Morris/db/dbcom@DBAMERICAS, Tazia Smith/db/- dbcom@DBAMERICAS EFTA01467771  Date: 03/13/2014 03:55 PM Subject: TOMS Capital - Onboarding Package [I] Classification: For internal use only Amanda, Attached, please find the necessary paperwork to begin the Capital Markets on-boarding process with the Key Client Partners (KCP). I have included completion instructions below and highlighted relevant areas on the forms. In addition to the completed paperwork, we will also need: 1) Current copies of ID's for all Authorized Individuals 2) Executed Operating Agreement (that identifies trading authority and ownership breakdown) 3) Certificate of Good Standing (dated within past year) Please do not hesitate to let me know if you have any questions. KCP Documents QIB Letter (not required but recommended) - All information at the end of pg 2 must be completed and signed.One required for Each entity [attachment "Q_-_Qualified_Institutional_Buyer_Certification_Letter.pdf" deleted by Amanda Kirby/db/dbcom] ISDA Requirements In order for us to progress with providing an ISDA for the client, please ensure that all the information requested in the attached document is provided. We do not recommend sending this document to the client, as the client information form will provide much of it. As such, please provide the rest of the information. [attachment "ISDA Preliminary Requirements - Collection Sheet.docx" deleted by Amanda Kirby/db/dbcom] Capital Markets Documents Completion Instructions: -Account Agreement — Please complete highlighted areas on pgs. 1, 6, 7, 14, and 15 EFTA01467772  -Electronic Consent Form - Please complete highlighted areas and sign/date bottom of form -Corporate Information Sheet - Please complete ALL highlighted areas -FX Agency Direction Letter - Please sign/date bottom of form -Options Agreement - Please complete highlighted areas, sign/date pg.2 and initial pg. 3 -Structured Products Approval - Please complete highlighted areas and sign/date pg. 3 -After Hours - Please sign the last page of the document -Email Waiver Letter - Please Sign the Client Section [attachment "Account Agreement.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "Corporate Information Form.pdf" deleted by Amanda Kirby/db/- dbcom] [attachment "FX Agency Direction Letter.pdf" deleted by Amanda Kirby/db/- dbcom] [attachment "Options Account Agreement.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "Structured Products New Agreement and Approval Form.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "After Hours Authorization Letter.pdf" deleted by Amanda Kirby/db/dbcom] [attachment "Email_Waiver_Letter.pdf" deleted by Amanda Kirby/db/dbcom] Kind Regards, Jay Lipman (Embedded image moved to file: pic17724.gif) Jay Lipman Analyst I Key Client Partners DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue 10154-0004 New York, NY, USA Tel. Mobile Email From: Tazia Smith/db/- dbcom EFTA01467773  To: Jay Lipman/db/- dbcom@DBAMERICAS, Date: 02/03/2014 10:01 PM Subject: Re: New Capital Markets Flow Client - Onboarding Package [I] Classification: For internal use only Let's revisit our checklist? Get Joerg and all back involved? (Embedded image moved to file: pic09848.gif) Tazia Smith Director I Key Client Partners - US Deutsche Bank Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY 10154 Tel. Fax Mobile Email (Embedded image moved to file: pic20203.gif) From: Jay Lipman/db/- dbcom EFTA01467774  To: Kevin Quinn/db/- dbcom@DBAMERICAS, Cc: [email protected], [email protected], Tazia Smith/db/- dbcom@DBAMERICAS Date: 01/25/2014 03:59 PM Subject: Re: New Capital Markets Flow Client - Onboarding Package [I] Classification: For internal use only Hi Kevin, I agree that we should put together on-boarding packets for each type of client, I will take ownership of these and work on putting them together. With regards to client set up for Capital Markets trading, thus far I have only been involved on the AWM/PCS side (i.e. options, SP's, FX). As such, I do not have the extensive list of what would be required for Autobahn/CB&S set up. I will reach out to the appropriate parties downtown to get this information and provide it as soon as I have it. Thanks Kev Kind Regards, Jay Lipman (Embedded image moved to file: pic01036.gif) Jay Lipman Analyst I Key Client Partners EFTA01467775 DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 10154-0004 New York, NY, USA Tel. Mobile Email From: Kevin Quinn/db/- dbcom To: Jay Lipman/db/- dbcom@DBAMERICAS, Cc: Tazia Smith/db/dbcom@DBAMERICAS, [email protected], [email protected] Date: 01/24/2014 01:31 PM Subject: New Capital Markets Flow Client - Onboarding Package [I] Classification: For internal use only Jay, We will be setting up a new client to trade capital markets in KCP. Would be good to have a full set-up kit ready for these types of clients. Can you prepare a list of requirements? Cash, options, futures, CB&S, autobahn etc. EFTA01467776 I will review with you afterwards and then we can aggregate all paperwork and basic KYC requirements. Believe you have all this from Epstein. Please at least provide the list today. Let me know if you have any questions. Kevin (Embedded image moved to file: pic24688.gif) Kevin Quinn Associate I Key Client Partners - US DB Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York, NY, USA 10154 Tel. Mobile EFTA01467777