Deutsche Asset & Wealth Management NY Strategy # 7001307 ## DBTCA Deposit Account Opening Application Private Wealth Premium™ Elite Personal Accounts ☐ Checking Acct. # □ Elite Checking with Interest Acct. #___ APY___ □ Elite Money Market Deposit Acct. # ___ APY ___ □ Certificate of Deposit Acct. # ___ APY ___ Term ___ DB AG NY Preferred Certificate of Deposit Acct. # ___ APY ___ Term ___ Promo term ___ (DBTCA deposit account required, along with a DB AG Preferred Terms and Conditions) Private Wealth Premium™ Internet Banking Services DB Private Wealth Online Plus Link to Existing Online Relationship 1030850 (User/Co. ID Number) Private Wealth Premium™ Elite Business Accounts □ Elite Checking with Interest Acct. # ___ APY___ Checking Acct. # 42953723 Elite Money Market Deposit Acct. # 4412 9914 APY □ Certificate of Deposit Acct. # ___ APY ___ Term ___ DB AG NY Preferred Certificate of Deposit Acct. #___ APY ___ Term ___ Promo term ___ {DBTCA deposit account required, along with a DB AG Preferred Terms and Conditions} □ Cash Master Sweep Account Checking Acct. # ___ Elite Money Market Deposit Acct. # ___ APY ___ Target Amount ___ Trigger Amount ___ Private Wealth Premium™ Banking Services Joint Applicant Debit Card # ☐ Consumer Debit Card # Business Debit Card # Deluxe Checkbook Style # Checkbooks Configure Name Only Name and Address □ Mailing address (if different) Name ___ Addr___ City ___ State ___ Zip Code ___ Duplicate Statement Addr ___ City ___ State ___ Zip Code ___ ## Client Relationship Individual Account Custody under NY UTMA □ Corporation Joint Tenants with Right of Survivorship Foundation Limited Liability Company ☐ Joint Tenants in Common □ In Trust For/Payable on Death/As Trustee for Non-Profit Organization □ Partnership ☐ Trust Attorney Trust Escrow ☐ Limited Liability Partnership □ Landlord Master Escrow Estate 13-AWM-0101 NAOSOD00015602-000104611 013959.032613 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001359 EFTA_00014833 EFTA00165617
Account Title and Joint Application Information New York Strategy Group, LLC
Name of Account Title (last name, first name, middle initial) or Business 13-4097417Joint Applicant (last name, first name, middle initial)
Social Security Number or Taxpayer ID Number 10 HBRK Associates, Inc 575 Lexington Avenue,-4TH FLSocial Security Number or Taxpayer ID Number
Address NY NY 10022 Not applicableAddress
City, State and Zip CodeCity, State and Zip Code
Home Telephone Number 212-971-1306/1307/1314Home Telephone Number
Business Telephone NumberBusiness Telephone Number
Date of BirthDate of Birth
Name of EmployerName of Employer
Address Not applicableAddress
City, State and Zip Code City, State and Zip Code ## Notice of Customer Identification Policy ## Important Information To help the government fight the funding of terrorism and money laundering activities, Federal law requires all financial institutions to obtain, verify, and record information that identifies each person who establishes an account, investment or other business relationship with a financial institution. This means that we will ask for your name, address, and other information that will allow us to identify you. We may also ask to see identifying documents such as a certificate of formation or good standing (legal entities) or a passport or other photo identification (individuals). ## 3rd EU Notice Governmental rules have also broadened the scope of the Bank's obligations to aid in the fight against money laundering and terrorist financing: these rules call for an active involvement of both asset management firms and their clients. For new and existing clients we currently have a legal obligation to ask our customers questions regarding their identities, addresses, source of funds and, if necessary, legal representatives, authorized signatories, beneficial owners or control structures and to collect requisite documentation to substantiate the information. Also, enhanced anti-money laundering requirements require that should any of the above personal or institutional information change, our clients would be obliged to immediately notify us of the change(s) and provide us with relevant documentation to verify these changes. ## Telephone, Facsimile or Email Instructions By signing below, you agree that from time to time you may give instructions by telephone, facsimile or email regarding the above captioned account(s) (defined herein as "Verbal Instructions"). It is understood that the risk of Verbal Instructions being given by person or persons purported to be you is your own. Absent the gross negligence or willful misconduct of Deutsche Bank Trust Company Americas (DBTCA), you agree to indemnify and hold harmless DBTCA for any claims, losses, expenses, costs or attorneys’ fees resulting from DBTCA’s acting upon such misunderstood and unauthorized Verbal Instructinns. You understand that DBTCA may, but shall not be required to, seek verification of your verbal, facsimile or email instructions by call back. In case of doubt, DBTCA may in its sole discretion refuse to execute your Verbal Instructions or any part thereof, without incurring any liability. DBTCA is under no obligation to execute your Verbal Instructions to transfer funds or securities to any account(s) without written instructions bearing your original signature. ## Joint Account Disclosure You have opened a joint account with DBTCA and acknowledge receipt of the following information: This deposit and any additions to the account shall become the property of each owner as joint tenants, and DBTCA may release the entire account to any owner during the lifetime pf all owners. DBTCA may honor checks, orders or withdrawal requests from any owner during the lifetime of all owners. The Bank may be required by service of legal process to remit funds held in the joint account to satisfy a judgment entered against, or other valid debt incurred by, any owner of the account. DBTCA may honor chcks, orders or withdrawal requests from the survivor(s) after the death of any owner(s) and may treat the account as the sole property of the survivor(s) after the death of any owner(s). Unless DBTCA receives written notice signed by any owner not to pay or deliver any joint deposit or addition or accrual, DBTCA shall not be liable to any owner for continuing to honor cheoks, orders or withdrawal requests from any owner. After the receipt of the notice referred to in the previous sentence, DBTCA may require the written authorization of any or all joint owners for any further payments or deliveries. 2 13-AWM-0101 013959.032613 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001360 EFTA_00014834 EFTA00165618 ## ATM/Debit Service You agree that the retention or use of the ATM/Debit card constitutes acceptance of the terms and conditions of the Cardholder Agreement contained in the Terms and Conditions of Deposit Accounts. ## Internet Banking Service If you have selected to receive Internet Banking Services, you understand that you will be required to enter into a separate Internet Bonking Services Agreement with DBTCA before you can access the Internet Booking Service. ## Acknowledgement of Receipt of Privacy Notice By signing below, you acknowledge receipt of DBTCA's Privacy Notice included in the Application Package. ## Non-US Individuals: Confirmation of Tax and Compliance Responsibilities. You confirm that it is your responsibility to fulfill any tax obligations and any other regulatory reporting duties applicable to you in any relevant jurisdictions that may arise in connection with assets, income or transactions in your account(s) and your business relationship with DBTCA. ## Non-US Organizations: Confirmation of Tax and Compliance Responsibilities. You confirm that it is your responsibility to fulfill any tax obligations and any other regulatory reporting duties applicable to it in any relevant jurisdictions that may arise in connection with assets, income or transactions in your account(s) and your business relationship with DBTCA. Furthermore, you confirm that the necessary information (to the best of your knowledge and capabilities) is made available no less than annually to the relevant beneficial owner(s), settlor(s), beneficiary(ies), partner(s), etc. to enable him/her/ them to fulfill any respective tax obligations that may arise for him/her/ them in connection with your business relationship with DBTCA. Please complete and attach separate W-8 or W-9 documentation as applicable. ## Terms and Conditions and Representations By signing below, you acknowledge receipt of the Terms and Conditions for Deposit Accounts attached to this Application and agree to be bound by them. In addition, you agree to notify us immediately of any material change to the information provided by you on this Application. You represent and warrant that all of the information provided by you on this Application is accurate. The Terms and Conditions for Deposit Accounts are subject to change. ## Acceptance You understand that this application is subject to acceptance by DBTCA. Account Holder's Signature 9/18/13 Date Joint Account Holder's Signature 13-AWM-0101 013959,0G2613 3 CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0001361 EFTA_00014835 EFTA00165619