CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0001593 EFTA_00015067¶
EFTA00165845¶
Deutsche Bank Private Wealth Management¶
Institutional Suitability Certificate¶
Affirmative Indication Of Exercise Of Independent Judgment¶
(Pursuant To FINRA Rule 2111)¹¶
In connection with any recommended $ ^{2} $ transaction or investment strategy by Deutsche Bank Securities Inc. (DBSI) or its Client Advisors, the undersigned acknowledges on behalf of the institution named below that:¶
- It is an Institutional Account as defined in FINRA Rule 4512(c)3; namely,
a) A bank, savings and loan association, insurance company, or registered investment company¶
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)¶
c) Any other entity (whether a natural person, corporation, partnership, trust, or otherwise) with total assets of at least $50 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 (1) 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 persens, 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 securities laws, including without limitation, any 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 and investment strategies involving securities that are entored into by the “Institutional Account” named in this Certificato, 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.¶
CONFIDENTIAL – PURSUANT TO FED. R. CRIM. P. 6(e)¶
DB-SDNY-0001594 EFTA_00015068¶
EFTA00165846¶