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EFTA Document EFTA01344474EFTA Document EFTA01344476
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sd-10-EFTA01344475Dept. of JusticeOther

EFTA Document EFTA01344475

VI. Appendix: Paperwork Checklist [Vahe/Amanda - with Harry] a. ISDA Unilateral b. DB Dodd Frank Protocol (STINC and SFLLC) C. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional suitability certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC, )eepers, Haze, Personal, Foundation) f. Structured Solutions (all 6 entities) g. FX (all 6 entities) h. Pre-Post Market Trading Form (all 6 entities) (See attached file: Epstein Meeting Agenda 10.22

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sd-10-EFTA01344475
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VI. Appendix: Paperwork Checklist [Vahe/Amanda - with Harry] a. ISDA Unilateral b. DB Dodd Frank Protocol (STINC and SFLLC) C. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional suitability certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC, )eepers, Haze, Personal, Foundation) f. Structured Solutions (all 6 entities) g. FX (all 6 entities) h. Pre-Post Market Trading Form (all 6 entities) (See attached file: Epstein Meeting Agenda 10.22

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
VI. Appendix: Paperwork Checklist [Vahe/Amanda - with Harry] a. ISDA Unilateral b. DB Dodd Frank Protocol (STINC and SFLLC) C. KCP Non-Advisory Letter (for STINC and SFLLC) d. FINRA 2111 Institutional suitability certificate (for STINC and SFLLC) e. Options (all 6 entities - SFLLC, STINC, )eepers, Haze, Personal, Foundation) f. Structured Solutions (all 6 entities) g. FX (all 6 entities) h. Pre-Post Market Trading Form (all 6 entities) (See attached file: Epstein Meeting Agenda 10.22.13 - revised.docx) (Embedded image moved to file; pic14379.gif) Tazia Smith Director I Key Client Partners - US Deutsche Bank Securities Inc Deutsche Asset & Wealth Management 345 Park Avenue, 26th Floor New York NY 10154 Tel. Fax + Mobil Email (Embedded image moved to file: pic12529.gif) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0029966 CONFIDENTIAL SDNY_GM_00176150 EFTA01344475

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