EPSTEIN
page 8 / 338 . OCR, unverified
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From:
Jay Lipman....
To:
Kevin Quinn/
Cc:
david.manIIIIIIII mathew.negu
Tazia Smith
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/CMS 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
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Jay Lipman
Analyst I Key Client Partners
DB Securities Inc
Deutsche Asset & wealth Management
004 New York, NY, USA
From:
Kevin Quinn/db/dbcom
To:
Jay Lipm
Cc:
Tazia Smith/db/dbco
david.mann
mathew.negusi
l
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.
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Can you prepare a list of requirements? Cash, options, futures, CB&S,
autobahn etc.
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
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Kevin Quinn
Associate I Key client Partners - US
DB Securities Inc
Deutsche Asset & wealth management
345 Park Avenue, 26th Floor
mew York. NY. USA 10154
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Deutsche Asset
& Wealth Management
[Click here to enter addressJ"
Dear (Client Namel
Tazia Smith
Director
Deutsche Bank Securities Inc
Deutsche Asset & Wealth Management
345 Park Avenue. 26th Floor
New York. NY 10154
This letter is provided to you as a prospective client of the Asset & Wealth Management (AWM) Key
Client Partners (KCP) Desk - US.
All services offered by KCP are provided on a strictly non-advised basis. In order to become a client of KCP,
please sign and return the FIN RA 2111 Institutional Suitability Certificate, which accompanies this letter. In
addition, we will separately provide you with any additional documentation that we may require in order
for you to become a client of KCP.
Clients of KCP are also clients of the AWM Private Wealth Management group (WM). Please be aware that
WM products and services are distinct and separate from the products and services of KCP. WM will not
advise you on products and services provided to you by or through KCP, and in becoming a client of KCP
you represent that you will be capable independently of evaluating the investment risks of each transaction
made available to you by the KCP Desk, and that you will exercise independent Judgment in evaluating each
such transaction, and you will notify us if you are unable to make the preceding representations with
respect to any such transaction.
If you have any questions regarding the distinction between KCP and WM services or if you wish to
learn more about WM, please contact (client facing professional].
To confirm that you accept and understand the matters raised in this letter, please sign and return a
copy of this letter to (client facing professional].
Sincerely yours,
AWM KCP — US
Acknowledged and accepted by:
Client Name on behalf of
(insert entity name]
Secuoties Orfe'ed
cogh Deutsche rank Secucit✓.'s Inc
Signature
Date
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(Qualified Institutional Buyer Certification Letter to be Used with 144a
Transactions)
Gentlemen:
We certify, to enable you to make offers and sales of securities pursuant to Rule 144A under
the Securities Act of 1933 (the "Act"), that we are a qualified institutional buyer in that we satisfy the
requirements of one or more of paragraphs (i) through (v) hereof (check applicable box(es)).