EFTA01454014.pdf

ISDA preliminary requirements: 1) New Account Forms (PWM Account) — n/a 2) Name of Counterparty - 3) Authorized trading persons (email, phone and fax) — 4) Primary contact with regards to documentation (email, phone and fax) - 5) 2 years of financial statements (audited preferred) - 6) Ownership Structure and Purpose 7) Bank Statements (if client does not hold a lot of assets with DB) - Preliminary Background Information: ***Documents should be less than a year old, if possible 1) Legal Name and Address of account — 2) Account contact email, telephone number, fax number — 3) Trading Capacity (as Agent or Principal) - 4) Nature of Business - 5) If trading as Agent/Investment Manager, we will need to know the Legal Entity Names of the Managed (sub) Accounts — 6) US Tax ID Number for US Domiciled Accounts - 7) Corporate Resolution Letter / Certificate of Incorporation Certificate of Limited Partnership — Trading Relationship Authority - Corporate Resolution, etc. If needed, you may also complete the attached blanket Corporate Resolution. This document should be printed on your company letter head, fully executed and returned to us. - 8) An Investment Management Agreement/Investment Advisory Agreement or Trading Authorization — 9) Name of a Senior/Controller Officer (CEO, COO, CFO, Principal) — 10) All legal representatives (List of Directors - Registrar of Directors/Annual Report/3rd Party Auditor/internal Legal Counsel) - 11) Senior Management - 5 Control Person(s) or all if fewer - 12) List of all Ultimate Beneficial Owners (25% or more): a. Full Legal Name - b. Nationality - c. Date of Birth - d. Exact amount of ownership interest - e. Source of wealth - For above UBOs with Nationality from Level 314 Country, Government Photo ID e.g. Passport/ Driving License required Ownership must be documented with Operating Agreements if this lists a breakdown with along with a percentage of holdings of the Ultimate Beneficial Owners. Also may be done through Share Register/ Annual Report/ Reliable 3rd party/ Internal Legal Counsel. "If there are no such individuals nor entities please provide an email or letterhead with a statement to that effect. The information must be provided by a senior manager, internal counsel, compliance officer, etc. - 10) Settlement Instructions (Full DTC instructions needed for account opening coming directly from the client) — 11) Products that Account is interested in trading - '"Please keep in mind depending on the Entity Type of the Account, additional documentation or due diligence may be required from TMG QA Confidential CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0 111908 CONFIDENTIAL SDNY_GM_00258092 EFTA01454014