Illegal Activity
none
Blackmail
none
Date
2017-09-30
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document confirms the client's status as a 'Qualified Purchaser' under the Investment Company Act of 1940 and outlines their understanding of the risks associated with investing in structured products. The client authorizes Deutsche Bank to acquire and dispose of structured products for their account, acknowledging potential fees and compensation received by Deutsche Bank from issuers.
Metadata
- Subject
- Representations Relating to Qualification of the Client
- Sender
- —
- Recipients
- —
- Document ID
- WM179078 SPAA 0B91013017.093017
- Date
- 2017-09-30
Relationships 1
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| Client | Business | Deutsche Bank | Client authorizes Deutsche Bank to acquire and dispose of Structured Products for their account. |
Notable Quotes 2
I represent that Client qualifies as a "Qualified Purchaser as defined in the Investment Company Act of 1940, because Client is: a natural person (including any person who holds a joint, community property, or other similar shared ownership interest in an issuer that is excepted under section 3(c)(7) with that person's qualified purchaser spouse) who owns not less than $5,000,000 in investments;
I represent that the purchase of Structured Products is suitable for my account in light of my investment objectives and experience, financial situation and risk tolerance.
Financial Information
Amounts:$5,000,000$25,000,000
Assets:
- Investments
- Structured Products
- Principal Protected Structured Notes
- Certificates of Deposit
- Buffered Notes
- Contingently Protected Notes
- Reverse Convertible Notes
- Callable Yield Notes
- Market Participation Notes
- Warrants
Transactions:
- Purchase of Structured Products
- Acquisition and disposal of Structured Products
Raw Analysis JSON
click to expand
Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 2
Deutsche BankFDIC
Financial Entities 1
Deutsche Bank
Text Analysis
- Tone
- Formal, Legal
- Purpose
- To document the client's qualification as a 'Qualified Purchaser' and their understanding of the risks associated with Structured Products.
- Significance
- This document outlines the client's understanding of the risks associated with structured products and their authorization for Deutsche Bank to manage these products on their behalf.
File Info
- File Name
- EFTA01370537.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:52.991282
- DOJ Source
- View on DOJ