1AleaIth Management
Institutional Suitability Certificate
Affirmative Indication Of Exercise Of Independent Judgment
(Pursuant To FINRA Rule 211 1)'
In connection with any recommended' transaction or investment strategy by Deutsche Bank ... Institution named below that
I. 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 ... Date
Client Advisor Signature Date
'Avelable at http://Www.RnreorgAnclusUy Owlet des/
'As defined In FINRA Rules. 12•PWAi.0.109
C11088.041612
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01392912.pdf
EFTA01424571Set 10
2018-01-228p1,195w
available only for persons who
are sophisticated institutional investors within the meaning of the FINRA
Rule 4512(C)(3), and who are capable of evaluating the strategies,
characteristics and investment ... available only for persons who
are sophisticated institutional investors within the meaning of the FINRA
Rule 4512(C)(3), and who are capable of evaluating the strategies,
characteristics and investment ... available only for persons who
are sophisticated institutional investors within the meaning of the FINRA
Rule 4512(C)(3), and who are capable of evaluating the strategies,
characteristics and investment
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01424571.pdf
EFTA00474857Set 9
2018-05-152p564w
sharing this
information. This communication has been prepared for institutional accounts, as defined within FINRA Rule 4512(c) , who (1) are capable of evaluating investment
risks independently, both in general ... sharing this
information. This communication has been prepared for institutional accounts, as defined within FINRA Rule 4512(c), who (1) are capable of evaluating investment
risks independently, both in general
https://www.justice.gov/epstein/files/DataSet%209/EFTA00474857.pdf
EFTA01418211Set 10
2018-03-226p1,155w
available only for persons who
are sophisticated institutional investors within the meaning of the FINRA
Rule 4512(C)(3), and who are capable of evaluating the strategies,
characteristics and investment ... available only for persons who
are sophisticated institutional investors within the meaning of the FINRA
Rule 4512(C)(3), and who are capable of evaluating the strategies,
characteristics and investment
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418211.pdf