EFTA01412643Set 10
2014-01-2953p9,023w
that any price,
rate, or otlier
financial terms of such swap are for an uncleared swap„ and clearing such
swap after it is
entered into cannot occur without the consent ... clearing organization on which such swap is cleared.
EFTA01412679
4.2 With respect to an uncleared swap:
(a) Client agrees tliat, with respect to each uncleared swap between.Client ... business day;
(b) Client agrees that, in respect of the daily mark for an uncleared swap:
0) such daily mark may not necessarily be set at the price at which
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412643.pdf
derivatives clearing organization on which such swap is cleared.
4.2 With respect to an uncleared swap:
(a) Client agrees that, with respect to each uncleared swap between Client ... business day;
(b) Client agrees that, in respect of the daily mark for an uncleared swap:
such daily mark may not necessarily be set at the price at which ... would agree
to replace or terminate the uncleared swap;
(ii) unless otherwise agreed in writing by DB and Client, margin calls in respect of
the uncleared swap may be based
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368415.pdf
Frank Title VII Regulation: Annual Notice of Right to Segregation of
Initial Margin for Uncleared Swaps ("IM")
Dear Collateral Officer':
Deutsche Bank AG ("Deutsche Bank') is provisionally registered ... right to segregate any initial margin
that you post in respect of CFTC-regulated uncleared swaps.
In accordance with CFTC rule 23.701, we are notifying you that, to the extent ... post IM in respect of any CFTC-
regulated uncleared swap with us that is executed on or subsequent to the applicable compliance date, you have the
right to elect that
https://www.justice.gov/epstein/files/DataSet%209/EFTA00590660.pdf
EFTA01047648Set 9
2018-05-312p679w
right to segregate any initial margin that you post in respect of CFTC-regulated
uncleared swaps.
In accordance with CFTC rule 23.701, we are notifying you that, to the extent ... post IM in respect of any CFTC regulated
uncleared swap with us that is executed on or subsequent to the applicable compliance date, you have the right to elect
that ... arrangements, if any, will remain in effect and will apply to future CFTC regulated uncleared swap
transactions. You may change your election at any time by delivering written notice
https://www.justice.gov/epstein/files/DataSet%209/EFTA01047648.pdf
EFTA01448096Set 10
2014-05-051p470w
notify
counterparties of their right to require segregation of initial margin ("IM") for uncleared swap transactions'
— The notification must be made to an officer (your "collateral contact) responsible ... counterparty who may post IM to Deutsche Bank AG ("DB") with respect to
uncleared swap transactions. Please note the regulation applies to each such counterparty at the legal entity
counterparty ... agreement (e.g., an ISDA Master Agreement) existed between the counterparty and DB
concerning uncleared swap transactions as of January 6, 2014 ("new counterparties")5
— November 3, 2014, if an agreement
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01448096.pdf