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
EFTA01118864Set 9
46p21,591w
level 3 instruments include dealer quotations, pricing services, third-party valuation
firms, counterparty prices, recent transactions in identical or similar instruments, completed or
pending third-party transactions in the underlying ... Confirmation will govern.
This Confirmation evidences a complete and binding agreement between Citigroup and Counterparty to the
terms of the Transaction to which this Confirmation relates. This Confirmation shall supplement ... Cross
Border) (the "Master Agreements', a copy of which has been made available to Counterparty) as if we had
executed an agreement in that form (but without any Schedule except
https://www.justice.gov/epstein/files/DataSet%209/EFTA01118864.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
Moody's rating of the Hedge Counterparty (or its guarantor under
the Hedge Agreement) is downgraded to
(A) the first downgrade level or lower (but above the second
downgrade level ... such Hedge Counterparty must provide, at its own cost, Hedge
Counterparty Credit Support or assign the Hedge Agreement to a Hedge
Counterparty within the shorter applicable time period specified ... second downgrade level or lower, or if the rating of the Hedge
Counterparty (or its guarantor under the Hedge Agreement) is withdrawn, such
Hedge Counterparty must, at its own cost
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376254.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
EFTA01464308Set 10
2013-07-30105p15,379w
will be levied on all transactions
involving financial institutions where one of the counterparties is
established in a participating member state and/or where the financial
instrument is issued ... liable to pay when undertaking
transactions with
non-financial entities. Any trade involving a counterparty established in,
or a
financial instrument issued in a participating member state will be captured ... financial entities
are
not primarily liable for payment, where the FTT goes unpaid both
counterparties
are jointly and severally liable, potentially introducing a new risk to
corporate
hedging decisions where
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464308.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
EFTA01153656Set 9
7p2,871w
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/EFTA01153656.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
EFTA01467829Set 10
2012-07-0417p2,840w
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/EFTA01467829.pdf
EFTA01297271Set 10
2018-01-0311p5,798w
above with "no"):
02. (If the answer to 01 is "yes"): Does the direct counterparty (i.e. the borrower under the loan transaction or the
principal of the guarantee transaction ... table below the applicable fund criteria
Mark (X) If Yes Is the counterparty registered as AIFM with, or euthorixrd by, competent authorities in the
relevant jurisdiction ... term 'counterpart?' refers to the direct counterparts' under the transaction. or, in ease the counterparty is an investment
management company, to the investment fund managed by this investment management company
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01297271.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
EFTA01438649Set 10
2018-03-3061p17,699w
decades and may fluctuate substantially in the future.
Credit Risk. An issuer or counterparty may fail to pay its obligations to a
Fund when they are
due. Financial strength ... primary factors influencing credit risk. Changes in the
financial condition of an
issuer or counterparty, changes in specific economic, social or political
conditions that affect a
particular type of security ... political conditions generally can increase the risk of default by an issuer
or counterparty,
which can affect a security's or other instrument's credit quality or value
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01438649.pdf
accordance with the Distribution
Date Report, pay amounts due to any Hedge Counterparties under the Hedge Agreements in
accordance with Article XI. In the event the Trustee does not receive ... payment from a Hedge
Counterparty that is due and payable under a Hedge Agreement, the Trustee shall make a
demand on such Hedge Counterparty, or any guarantor, if applicable, demanding ... Trustee shall give notice to
the Holders upon the continuing failure by such Hedge Counterparty to perform its obligations
for two Business Days following a demand made by the Trustee
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376253.pdf