Epstein Index›Documents›EFTA01377836
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01377836: Client, Treat and Arrangement (DS10)

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This document outlines the terms of investment advisory and broker-dealer services provided by Deutsche Bank Securities Inc. (DBSI) to clients. It explains that DBSI may provide both investment advisory and broker-dealer services to the same client, and that when providing investment advisory services, DBSI has a fiduciary duty to put the client's interests ahead of its own. The document distinguishes between the obligations applicable to advisory arrangements versus brokerage arrangements.

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🔑 Evidence Keywords
clienttreatarrangementDeutsche Bank

📋 Key Excerpts6

PersonKeyword
Excerpt 1
the investment advisory services DBSI will provide to the **client** and DBSI's obligations to the **client**.
Excerpt 2
DBSI may provide both investment advisory services as well as broker-dealer services to the same **client**.
Excerpt 3
investment advisory arrangement with the same **client**.

📄 Original Document

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Source: U.S. Department of Justice

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