EFTA01356953.pdf

Fixed Income business will be made II. CODES OF CONDUCT available on the following website: humbisys% w.db.comkotripanvieti/fixed- Client acknowledges that DB may carry income-disclosures him or as otherwise out transactions with Client that may fall notified to Client from time to time. within the scope of the Global Foreign Client should read the disclosures Exchange Committee FX Global Code, contained on the websites specified the UK Money Markets Code or codes above in order to understand DB's issued by the Fixed Income, Currencies business practices, use ofinformation and and Commodities Markets Standards conflict management in foreign Board, and that local rules and exchange, fixed income and any other requirements may also apply. relevant business. The contents of these 12. ORDER EXECUTION POLICY websites may be updated from time to time. 12.1 Client agrees that all transactions executed by DB on Client's behalf will be 10.6 Information in relation to DB's sales and carried out in accordance with DB's order trading business will be made available execution policy, information on which on the following website: has been provided by DB to Client and is hops:/rjr,-ww.db.com'corupanvien/infomi available at ation-on-sales-and-traditht httosl/www.db.comicoomanv/en/order- businesses.litin or as otherwise notified to Client from time to time. The contents of PAIN4110117P9i.k):htni. the website may be updated from time to 12.2 Client hereby consents to DB's order time. execution policy. Client acknowledges that DB's order execution policy 10.7 To the extent DB is holding Client assets provides for the possibility that its orders in custody and/or holding Client's funds, may be executed outside a Regulated information on the safeguarding of such Market, MTF or OTF and expressly assets and funds and the risks identified consents to the execution of its orders in by DB in relation to the holding of this way. Client's assets and funds is set out in the information statement on the safekeeping 12.3 Client acknowledges that, when of client assets and funds available at: executing transactions in certain types of https://www.db.com/compamlen/client- financial instrument, DB will not be asset-disclosure.htm as amended or executing orders on behalf of Client and supplemented by DB from time to time. accordingly will not be subject to the obligation under Applicable Law to take 10.8 In accordance with Article 15 of the all reasonable steps to obtain the best SFTR and Article 6(3) of the MiFID possible result for Client. The Delegated Directive, DB hereby informs circumstances in which DB will not be Client of the risks and consequences that executing orders on behalf of Client are may be involved in consenting to a right set out in the information on DB's order of use of financial instruments received execution policy referred to in clause 12.1 as collateral under a title transfer above. collateral arrangement or security collateral arrangement and the effect of 12.4 Unless otherwise notified in writing to any title transfer collateral arrangement DB, Client instructs DB not to by means of the disclosures which am set immediately make public any client limit out at: latosfiwww.db.com/sfn or as order (as defined in MiFID) in respect of otherwise notified by DB to Client. shares admitted to trading on a Regulated 9173 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043193 CONFIDENTIAL SDNY_GM_00189377 EFTA01356953