Skip to main content
Skip to content
Case File
sd-10-EFTA01368249Dept. of JusticeOther

EFTA Document EFTA01368249

5022 Gate Parkway KCP products and services ore intended and ovoilabfe only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)a), and who ore capable of evaluating the strategies, characteristics and investment risks of, and exercising Independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ate subject to relevant internal approvals of OBSI or its affiliates prior to execution, and the execution

Date
Unknown
Source
Dept. of Justice
Reference
sd-10-EFTA01368249
Pages
1
Persons
0
Integrity
Loading PDF viewer...

Summary

5022 Gate Parkway KCP products and services ore intended and ovoilabfe only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)a), and who ore capable of evaluating the strategies, characteristics and investment risks of, and exercising Independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ate subject to relevant internal approvals of OBSI or its affiliates prior to execution, and the execution

Ask AI About This Document

0Share
PostReddit

Extracted Text (OCR)

EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
5022 Gate Parkway KCP products and services ore intended and ovoilabfe only for persons who are sophisticated institutional investors within the meaning of the FINRA Rule 4512(C)a), and who ore capable of evaluating the strategies, characteristics and investment risks of, and exercising Independent judgment in evaluating, the ideas and products discussed herein. Trades and transactions ate subject to relevant internal approvals of OBSI or its affiliates prior to execution, and the execution of ony transaction or idea discussed herein is condthanol on your becorring o client of Deutsche Bonk. Key Client Partners (KCP) products, investment ideas and sotutions and related molten discussed herein are provided for discussion purposes only, and stnctly ono non-advisory basis. The KCP Americas desk does not provide imestrnent advice. The information set forth herein is confidential and personal to you and is being presented for your information and for discussion purposes only. Any reproduction and/or redistnbution thereof fin whole or in port)or disclosure of its content without our written consent is strictly forbidden. This communication does not creole any legally binding obligation on the port of OBSI or ony of its offiliotes. 14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059928 CONFIDENTIAL SDNY_GM_00206112 EFTA01368249

Related Documents (6)

Dept. of JusticeOtherUnknown

EFTA Document EFTA01384899

Richard Kahn I TURK Associates Inc. 575 IA:kink:el Avenue 4th Floor New York, NY 10022 On Feb 11, 2019, at 6:I& PM, Ilnide-A Sfarana Classification: Confidential Darren and Rich, The password for the NPV document ■ Please let me know if you have any :owes Regards. Deride limp-44n titi Davide Sforrazza Investments & Trading I Institutional Wealth Partners Deutsche Bank Securities Inc. Deutsche Bank Wealth Management 345 Park Avenue. 24th Floor Visit us: Sip oimage002.gira IV.1>

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01473151

Subject: Catch-up on Southern Financial [I] From: Todd Stevens ‹ > Date: Wed, 20 May 2015 10:51:20 -0400 To: Paul Morris Daniel Sabba When: Wednesday, May 20, 2015 4:30 PM-5:00 PM (UTC-05:00) Eastern Time (US & Canada). Where: Conference Call Todd and Daniel will dial Paul at cell Note: The GMT offset above does not reflect daylight saving time adjustments. Classification: For internal use only EFTA01473151

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01394432

iCapital Advisors, LLC GLDUS140 Lawrence Hirsch Form ADV Part 2A investment selection process and it believes its due diligence and investment selection process is thorough, there can be no assurance that the Underlying Funds selected will ultimately be successful. Further, operational due diligence will be limited and will not consist of a full forensic accounting or a detailed review of internal conflicts. Accordingly. there is the risk that iCapital may not detect conflicts of interest

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01370669

From: Martin Zeman Sent: 4/11/2018 12:13:54 PM To: 'Richard Kahn' CC: 'Paul Barrett (I ; Xavier Avila Stewart Oldfield Subject: CRS + UK FATCA form ICI Attachments: CRS + UK FATCA Entity Self Cert.pdf Classification: Confidential Richard, ; Liam Osullivan Davide-A Sferrazza I r; We are working on extending Southern Financial to trade Equity and also Credit Derivatives. Our Verification team noticed that we are missing this one form (attached) to complete the file. The reason w

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01370659

tory disclo sures. Deuts the Bank does not render legal or tax advice , and the inform ation contai ned in this comm unicati on should not be regard ed as such. <Roths child interda y 5.22.17 .pdf> This communication may contain confidential and/or privileged information. If you are not the intended recipient (or have received this communication in error) please notify the sender immediately and destroy this CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P

1p
Dept. of JusticeOtherUnknown

EFTA Document EFTA01365905

KYC Print Page 10 of 13 DB PWM GLOBAL KYC/NCA: US/LatAm/Int'I PART B elabonship Name SOUTHERN FINANCIAL RELATIONSHIP oking Center F NY F NY/Offshore F Offshore IF.skNIGIerate F High Risk Yoonsun Chung (Compliance signature) F DB Employee F DB Managed PIC F DB is Trustee/Co-Trustee F Bearer Shares 4. Attachments A. Type of Photo ID Provided F Drivers License F Passport F National/State ID F Other Checklist of names (individuals and/or entities) that were submitted for database B.

1p

Forum Discussions

This document was digitized, indexed, and cross-referenced with 1,400+ persons in the Epstein files. 100% free, ad-free, and independent.

Annotations powered by Hypothesis. Select any text on this page to annotate or highlight it.