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11 results for “"the End-User Exception"”

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EFTA01368427Set 10

END-USER EXCEPTION SELF-CERTIFICATION Any Client intending to elect the End-User Exception but that has not filed an End-User Notice in accordance with Section ... /CNC%)sk v“...• On each date on which Client elects to use the End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents ... complete in every material respect and covers the particular swap for which the End-User Exception is being claimed; and (d) it generally meets its financial obligations associated with entering

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368427.pdf

EFTA01412704Set 10

promptly notify DB of EFTA01412745 the error and any apphcable correction(s). 12. END-USER EXCEPTION FOR ELIGIBLE NON-FINANCIAL ENTITIES. 12.1 On each date on which Client elects ... End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents to DB that: (a) Client is either not a Financial Entity ... which such exemption is being claimed; or (B) Client has duly completed the End-User Exception Self-Certification set out in Part 6 of this Protocol and submitted

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412704.pdf

EFTA01412643Set 10

2014-01-2953p9,023w

applicable) 6. ECP Questionnaire for Guarantors (US Person Only, if applicable) 7. End-User Exception Self-Certification (US Person Only, if applicable) 8. Portfolio Reconciliation Procedures (US Persons Only ... End -User Self-Certification as a condition precedent of relying on the End-User Exception from mandatory clearing requirements. 2 -Please note that DB is not acting as your advisor ... shall promptly notify DB of the error and any applicable correction(s). 13. END-USER EXCEPTION POR ELIGIBLE NON-FINANCIAL ENTITIES. 13.1 On each date on which Client elects

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412643.pdf

EFTA01376708Set 10

shall promptly notify DB of the error and any applicable correction(s). 13. END-USER EXCEPTION FOR ELIGIBLE NON-FINANCIAL ENTITIES. 13.1 On each date on which Client elects ... End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents to DB that: (a) Client is either not a Financial Entity ... which such exemption is being claimed; or (B) Client has duly completed the End-User Exception Self-Certification set our in Part 6 of this Protocol and submitted

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376708.pdf

EFTA01368390Set 10

shall promptly notify DB of the error and any applicable correction(s). 13. END-USER EXCEPTION FOR ELIGIBLE NON-FINANCIAL ENTITIES. 13.1 On each date on which Client elects ... End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents to DB that: (a) Client is either not a Financial Entity ... which such exemption is being claimed; or (B) Client has duly completed the End-User Exception Self-Certification set out in Park 6 of this Protocol and submitted

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368390.pdf

EFTA01368420Set 10

shall promptly notify DB of the error and any applicable correction(s). 12. END-USER EXCEPTION FOR ELIGIBLE NON-FINANCIAL ENTITIES. 12.1 On each date on which Client elects ... End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents to DB that: (a) Client is either not a Financial Entity ... which such exemption is being claimed; or (B) Client has duly completed the End-User Exception Self-Certification set out in Part 6 of this Protocol and submitted

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368420.pdf

EFTA01368433Set 10

discretionary basis, the aggregate of which is in excess of 510,000,000. "End-User Exception" means the exception provided by Section (2)(h)(7XA) of the CM and CFTC ... affiliate acting as agent of a person eligible to rely on the End-User Exception (in accordance with section 2(hX7)(D) of the CEA); or (3) excluded from

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368433.pdf

EFTA01368397Set 10

END-USER EXCEPTION SELF-CERTIFICATIO1 Any Okla intending to elect the End-User Exception but that has not filed an Etid.User Notice in ccconlance wish Section ... ctAC, (-LC On each date on which Client elects to use the End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client represents ... complete in every material respect and covers the particular swap for which the End-User Exception is being claimed; and (d) it generally meets its financial obligations associated with entering

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368397.pdf

EFTA01376712Set 10

END-USER EXCEPTION SELF-CERTIFICATION Any Client intending to elect the Elul-User Exception bat that hos not filed an &Utiliser Notice in accordance with Section l3.1 ... Vehicle: SocYCKIth) CiNPrMCIPIL On each date on which Client ejects to use the End-User Exception with respect to a particular swap entered into pursuant to this Addendum, Client representsto ... complete in every material respect and. covers the particular swap for which the. End-User Exception is being elaimed;:and (d) it generally meets its financial obligations associated with entering

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376712.pdf

EFTA01376695Set 10

2012-07-041p475w

cbmplete the End-User Self-Certification as a ronditionpreeedem of relying on the End-User Exception from mandatory clearing reqUiretnents. CONFIDENTIAL - PURSUANT TO FED. R. CRIM

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376695.pdf

EFTA01368377Set 10

2014-01-291p97w

Only, if applicable) 6. EC? Questionnaire for Guarantora (US Person Only, ifapplicable) 7. End-User. Exception Self-Certification (US Person Only, if applicable) 8. Portfolio Reconciliation Procedures (US Persons Only

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368377.pdf

Corpus: 1990-03-17 – 2025-12-01

December 2025

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Results by Dataset11 total

Set 10

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