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