EFTA01282412.pdf

SOUTHERN FINANCIAL LLC
Nos
III IIIIII II II El
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KS
SONY_GM_00037896
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000720
EFTA_00 I 48505
EFTA01282412

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Private SAlealth Managernen
Institutional Suitability Certificate
Affirmative Indication Of Exercise Of Independent Judgment
(Pursuant To FINRA Rule 21 / 1)'
In connection with any recommended2 transaction or investment strategy by Deutsche Bank Securities Inc. (OBSII or
its Client Advisors. the undersigned admowledges on behalf of the Institution named below that:
f. It is an Institutional Account as defined in ANRA Rule 4512(0)3; namely,
a) A bank, savings and loan association, Insurance company, or registered investment company
a
EZI bl 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 persona, Urt1838 it hes otherwise notified
Deutsche Bank Securities Inc. in writing;
Ill. It will notify the Deutsche Bank Securities Inc. Client Advisor servicing the Institutional Account if anything in this
Cenificato 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 stale securitiee 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 end investment strategies involving
securities that are entered into by the "Institutional Account" named in this Certificate, 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.
Southern Financial Ile Jaffrey Epstein
Institutional Account Name Name of Authorized Signatory
Kcc ler
ofA uthorized Account Number
Signature of Auth• crci d Signatory Date
Southern Trust Company Inc. Jeffrey Epstein
Institutional Account Name —Natffirof Authorized Signatory
Titl Authorized Sign Account Number
ignature of Autttorized a t nbt. Date
( O
\'v- F---
Client Advisor Signature Date
lAvikleblo at http:iiwww.finie.didnndusilY
'As defined in FINRA Ruled 12•PW%1430G
011C(4.041512
SDNY_GM_00037897
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0000721
EFTA_00I48506
EFTA01282413