EFTA02687149Set 11
26p6,253w
actual assets Capital flows and pricing data: ability
Performance and fees in funds & counterparties Market and sector data
Cleaned security, product, OTC masters and identifiers Credit data: concentration, contagion measures ... subsequently divested to investors, is...
- An independent platform/network, giving investors, managers and their counterparties transparency and control of their investments
- A turnkey outsourcing solution, reducing investors' overheads and operating costs ... govemance codes and investment mandates
- Effective risk oversight on both the assets and their counterparties, i.e. managers, administrators, banks
- Improved investment returns through superior fund selection and portfolio construction from
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02687149.pdf
EFTA01144269Set 9
2014-07-010p12,898w
rate yield curves, interest rates, credit curves, recovery rates, current credit spreads,
and the counterparty's creditworthiness. Many inputs into the model do not require material subjectivity as
they ... supported by
market data, third-party pricing sources, industry accepted pricing models, counterparty prices, or other
methods the Committee deems to be appropriate, including the use of internal proprietary pricing
https://www.justice.gov/epstein/files/DataSet%209/EFTA01144269.pdf
EFTA01471483Set 10
2014-01-069p1,582w
Trading Commission ("CFTC") rule 23.701 in respect of one
or more of our swap
counterparties (each, a "Counterparty").
Please note that failure to confirm receipt of this notice and make ... CFTC rules)
that are not submitted
for clearing (each, an "Uncleared Swap") with Counterparty on or after the
relevant CFTC
compliance date^ (the "Compliance Date") due to CFTC rules ... accordance with CFTC rule 23.701, we are hereby notifying you that, to
the extent Counterparty posts
"Initial Margin" (as defined in CFTC rule 23.700) ("IM") in respect of any
Uncleared
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01471483.pdf
EFTA01462926Set 10
2014-04-256p1,574w
Trading Commission ("CFTC") rule 23.701
in respect of one or more of our swap counterparties (each, a
"Counterparty").
Please note that failure to confirm receipt of this notice and make ... CFTC rules) that are not submitted for clearing (each, an
"Uncleared Swap") with Counterparty on or after the relevant CFTC compliance
datd2 (the "Compliance Date") due to CFTC rules ... accordance with CFTC rule 23.701, we are hereby notifying you that, to
the extent Counterparty posts "Initial Margin" (as defined in CFTC rule
23.700) ("IM") in respect of any Uncleared
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01462926.pdf
EFTA00803405Set 9
2017-03-3043p16,141w
potential illiquidity of securities and other financial instruments and the risk of loss from
counterparty defaults. No guarantee or representation is made that a client's investment objective
will ... investment, the judgment or assumptions are incorrect,
clients can suffer losses.
Necessity for Counterparty Trading Relationships; Counterpart), Risk. Honeycomb expects to
establish relationships to obtain financing, derivative intermediation and prime ... significant impact on client business due to such client's
reliance on such counterparties.
Some of the markets in which clients may effect transactions are not "exchanged-based", including
"over
https://www.justice.gov/epstein/files/DataSet%209/EFTA00803405.pdf
EFTA01412643Set 10
2014-01-2953p9,023w
Addendum with Annex (US Person Only)
4. Part C -Provisions for Npn-US Person Counterparties
5. Swap Agent Statement (US Person Only, if applicable)
6. ECP Questionnaire for Guarantors ... dealers,
including.an obligation to observe certain conduct standards in its swap
business with US counterparties
and clients. Tlie CFTC lias also made certain swaps subject to mandatoo'
clearing (subject ... 648/2012 of the European
Parliament and of the Council on OTC derivatives, central counterparties and
trade depositories dated 4
July 2012 ("EMIR").
This Swaps Protocol is the means- by which
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412643.pdf
received with respect to such Securities Lending Agreement, either (i) to the Securities
Lending Counterparty or (ii) to the Collection Account for application as Interest Proceeds or
Principal Proceeds ... applicable.
(9 If a Securities Lending Counterparty no longer meets the required ratings, then
the Investment Manager, on behalf of the Issuer, within ten Business Days thereof, will take ... following actions:
(i) terminate each Securities Lending Agreement with such Securities
Lending Counterparty;
(ii) require the Securities Lending Counterparty (at such counterparty's
expense) to obtain a guarantor (satisfying applicable
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376246.pdf
EFTA01092343Set 9
2007-01-17141p86,219w
Issuer will usually have a contractual
relationship only with the related Synthetic Security Counterparty, and not the reference entity on the Reference
Obligation. The Issuer generally will have no right ... subject to set-off
rights exercised by the reference entity against the Synthetic Security Counterparty or another person or entity, and
10
EFTA01092365
generally will not have any voting ... Reference Obligation. In addition, in
the event of the insolvency of the Synthetic Security Counterparty, the Issuer will be treated as a general creditor of
such Synthetic Security Counterparty
https://www.justice.gov/epstein/files/DataSet%209/EFTA01092343.pdf
EFTA01467785Set 10
2012-07-0417p2,837w
DEUTSCHE BANK AG
PRIVATE WEALTH MANAGEMENT DIVISION
DODD-FRANK PROTOCOL FOR
US SWAP COUNTERPARTIES
AMENDMENT NO. 1
6453332
This Amendment No.1 (the "First Amendment"), effective as of the date ... Addendum (the "Addendum")
and other Parts of
the Dodd-Frank Protocol for US Swap Counterparties (collectively, the "Dodd -
Frank Protocol") entered
into between Client and DB in order to reflect ... certain counterparty status,
portfolio reconciliation and
dispute resolution requirements set out in Regulation (EU) No 648/2012 of
the European Parliament and
of the Council on OTC derivatives, central counterparties
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01467785.pdf
EFTA01471982Set 10
13p2,924w
Deutsche Bank AG, acting through its London branch ("Party A" or "Deutsche")
and [insert
counterparty name] ("Party B" or "Counterparty"). This Confirmation
constitutes a "Confirmation"
as referred ... amended and
supplemented from
time to time (the "Agreement"), between Deutsche Bank AG and Counterparty.
All provisions
contained in the Agreement govern this Confirmation except as expressly
modified below ... Securities Exchange Act of
1934, as
amended (the "Affected Shares"), Counterparty represents and warrants to
Deutsche
that the aggregate of Counterparty's exposure to the Affected Shares through
actual
ownership
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01471982.pdf
EFTA00614340Set 9
7p2,882w
Deutsche Bank AG, acting through its London branch ("Party A" or "Deutsche") and [insert
counterparty name] ("Party B" or "Counterparty"). This Confirmation constitutes a "Confirmation"
as referred ... amended and supplemented from
time to time (the "Agreement"). between Deutsche Bank AG and Counterparty. All provisions
contained in the Agreement govern this Confirmation except as expressly modified below ... Securities Exchange Act of 1934, as
amended (the "Affected Shares"), Counterparty represents and warrants to Deutsche
that the aggregate of Counterparty's exposure to the Affected Shares through actual
ownership
https://www.justice.gov/epstein/files/DataSet%209/EFTA00614340.pdf
delivered to the Trustee as security for the obligations of the Securities Lending Counterparty under
the related Securities Lending Agreement, the Investment Manager on behalf of the Issuer will negotiate ... with the
Securities Lending Counterparty a rate for the loan fee to be paid to the Issuer for lending the loaned Collateral
Obligations.
If either Rating Agency downgrades a Securities ... longer in compliance with the rating requirements applicable to the Securities Lending
Counterparty, then the Issuer, within 10 Business Days thereof. will take one of the following actions:
• terminate each
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376303.pdf
delivery is before the Compliance Date, on or after the Compliance Date): (check one)
Counterparty hereby elects to require IM Segregation in accordance with the CFTC
Segregation Regime. Note ... Counterparty chooses this first election, certain documentation,
including a tri-party custodial agreement that meets the requirements of the CFTC Segregation
Regime, must be put in place. After the Compliance ... Date, choosing this election may prevent
Swap Dealer from entering into Uncleared Swaps with Counterparty until such documentation is
in place.
Counterparty hereby elects not to require IM Segregation
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448088.pdf