EFTA01356914.pdf

Deutsche Bank TERMS OF BUSINESS — Updated as of August 2018 These Terms of Business apply to business with or 1.5 "Client" means the legal person or entity on behalf of Client carried on by Deutsche Bank AG to which these Terms of Business are acting through: its London branch, ("DB London") issued. whose address is at Winchester House, 1 Great Winchester Street, London EC2N 2DB; or any other 1.6 "Client Investments" means all financial branch or office of Deutsche Bank AG which is instruments and other investments which notified to Client by Deutsche Bank AG from time to DB holds or is entitled to receive for time; in each case, "DB". Client under any other agreement between DB and Client, any dividends, 1. DEFINITIONS interest, further financial instruments or other entitlements received or receivable 1.1 "Applicable Law" means (a) any in respect of those financial instruments applicable law contained in any law or and other investments and the proceeds statute of any jurisdiction applicable to thereof. the provision of services to Client by DB under, or in connection with, these Terms 1.7 "Connected Person" has the meaning of Business, including European Union given to it in clause (2) of the definition regulations which are directly applicable in the FCA handbook. in the European Economic Area 1.8 "CRR" means Regulation (EU) No. ("EEA"); and (b) any other applicable 575/2013 ofthe European Parliament and principle, rule, guidance. decision, of the Council of 26 June 2013. determination, ruling, article, by-law, procedure, usage and custom of any 1.9 "CSD" means any trans-national or local relevant regulatory body, Exchange, securities depository, book entry system Clearing System or CSD applicable to the or other person that provides settlement provision of services to Client by DB or similar or related services in which DB under, or in connection with, these Terms participates as a customer or member. of Business. 1.10 "DB Entity" means a legal entity that is 1.2 "BaFin" means the Bundesanstalt fur part of the DB Group. Finanzdienstleistungsaufsicht (Germany's Federal Financial 1.11 "DB Group" means the DBAG group of Supervisory Authority). companies. being DBAG and any subsidiary or holding company ofDBAG 1.3 "Business Day" means a day on which or a subsidiary of such holding company. commercial banks in England arc open for general business (including dealings 1.12 "DBAG" means Deutsche Bank AG, a in foreign exchange and foreign currency company organised under the laws of deposits). Germany with its registered office at Taunusanlage 12, D-60325 Frankfurt am 1.4 "Clearing System" means any person (or Main. Germany. any system or platform operated by such person) providing clearing or similar or 1.13 "ECB" means the European Central related services, whether or not as part of Bank. an Exchange including, without 1.14 "Exchange" means any exchange, limitation, any central counterparty. market, automated trading system or platform or association of dealers in any part of the world on or through which CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043108 CONFIDENTIAL SDNY_GM_00189292 EFTA01356914