Illegal Activity
none
Blackmail
none
Date
032813
Document Type
legal filing
Model
gemini-2.0-flash-001
Processed
2026-02-07T18:43
Summary
This document is an account agreement between a client and DBSI, outlining the terms and conditions of the account, including potential conflicts of interest, SIPC coverage, and definitions of key terms. It also addresses tax implications for tax-exempt entities and the handling of account statements and notices.
Metadata
- Subject
- Account Agreement
- Sender
- —
- Recipients
- —
- Document ID
- 13-AWM-0196
- Date
- 032813
Relationships 2
| Entity 1 | Relationship | Entity 2 | Description |
|---|---|---|---|
| DBSI | subsidiary | Deutsche Bank AG | DBSI is a subsidiary of Deutsche Bank AG. |
| DBSI | business | Pershing | DBSI provides SIPC coverage through Pershing and shares revenue received by Pershing from mutual funds. |
Notable Quotes 2
Notices and other communications may also be provided to Client verbally. Such notices and other communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, are considered to have been delivered to Client whether actually received or not.
Services and recommendations that DBSI provides to Client may differ from the services and recommendations provided to other Clients or by other individuals or groups at DBSI and/or affiliates of Deutsche Bank AG, whether acting as principal or agent.
Red Flags 1
- DBSI may receive compensation, in addition to the compensation Client pays DBSI, in the form of Rule 12b-1 fees, distribution fees, finder's fees, fees based upon fund management fees and cash or non-cash payments that are paid by mutual funds lout of fund assets in the case of Rule 12b-1 fees) or by the managers and other service providers to the funds (not out of fund assets). All of these payments may vary based on sales volume or assets under management and may give DBSI a financial incentive to recommend certain funds or strategies and to include those funds in models and programs.
Financial Information
Assets:
- securities
- shares of money market funds
- mutual funds
Transactions:
- dividends or distributions credited or reinvested
- shares of money market funds that are purchased or redeemed
- transactions effected pursuant to a periodic plan or an investment company plan
- investing in certain securities
- borrowing monies under a margin loan
- investing in a partnership or limited liability company that generates UBTI or other leverage or loan arrangements
Legal Compliance
- Possible Conflicts of Interest: DBSI provides services to many clients and may have differing or conflicting strategies. DBSI may recommend securities or strategies that are issued, underwritten, implemented or advised by DBSI or one or more of its affiliates.
- Tax-Exempt Entities: Charitable remainder trusts, foundations, pension plans and other tax-exempt entities may be deemed to receive unrelated business taxable income (UBTI) as a result of investing in certain securities, borrowing monies under a margin loan, investing in a partnership or limited liability company that generates UBTI or other leverage or loan arrangements.
Raw Analysis JSON
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Themes
Financial transactions/money flowLegal matters/litigationBusiness dealings
Organizations 8
DBSIDeutsche Bank AGPershingSecurities Investor Protection Corporation (SIPC)FINRASecurities and Exchange CommissionFederal Reserve BoardOptions Clearing Corporation
Locations 1
Americas
Financial Entities 1
mutual funds
Text Analysis
- Tone
- Formal, legal
- Purpose
- To define the terms and conditions of an account agreement between a client and DBSI.
- Significance
- This document outlines the legal and financial responsibilities of both the client and DBSI, including potential conflicts of interest and SIPC coverage.
File Info
- File Name
- EFTA01448509.txt
- Dataset
- dataset_10
- Type
- Text
- Model
- gemini-2.0-flash-001
- Processed
- 2026-02-07T18:43:41.638454
- DOJ Source
- View on DOJ