EFTA01376706.pdf

written communication(which confirmation may be provided posMrade) by a means specified in Section 9.3. 9.5' Notwithstanding the. requirements of Section 9.4(b), Client agrees that DB need not disclose the pre-trade mid-market markin respect of any Exempted Pre-Trade Mark Transactions. 10. OTHER REGULATORY NOTIFICATIONS. 10.1 DE hereby notifies Client that DB may disclose transaction and pricing data for a swap to its other customers prior to the public dissemination of such data, provided that such disclosure is made no earlier thaw the disclosure of such data to a registered Swap data repository that accepts swap transaction and pricing data foe public dissemination: 10.2 DB hereby notifies Client that: (a) Client has the right to require segregation of the funds:or other property provided to DB to margin, guaranty or secure Client's obligations in respect of uncleared swaps (other than variation.margin payments); and (b) any funds or other property referred to in (a) will be held at a custodian enaffiliated with pa or with Client in an account segregated, and designated as such, for and on behalf of Client., pursuant to a written agreement between Client, DB and such. eustbdian. 10.1 pa hereby notifies Client that DB (Al) is not an Insured Depository Institution and (B) Is not a financial company (as. defined in the Dodd-Frank Act). 1.0.4 DB.hereby notifies Client of the following: In the event DB is, or heOrimes at any time, a covered financial' company (as defined in section 20l(aX8) of the Dodd-Frank Act, or an insured depository institution for which the Federal Deposit Insurance Corporation ("FDIC") has been appointed as a receiver; certain limitations under Title 11 of the Dodd-Frank Act or the Federal Deposit Insurance Act may apply to the right of the Client to terminate, liquidate; or net any swap by reastin'of the appointinent of the FDICas receiver, notwithstanding the agreement of the parties in the swap trading relationship docuinentation, and that the FDIC may hove certain rights to transfer swaps of the covered party under sectiortr 2I0(eX9)(A) of the:Dodd-Frank Act, 12 U.S.C. 5390(cX9XA), or t2 U.S.C. 1821(e)(9XA). 10.5 Each party agrees to giVe notice to the other party if it becomes, or creases to be, a financial company (as defined in the Dodd-Frank Act) or art Insured Depository institution. II. CONFIDENTIALITY. 11.1 Client hereby ..authorizes DB to disclose confidential information (including; without limitation; material confidential. information) that 'is provided to DB by Client or an Client's behalf and is identified to DB as such ("Confidential Information") where doing so is necessary: (a) for the effmtive exec-titian of any swap tbr or with Client; (b) to hedge or mitigate any exposure created by such swap; or (c) to comply with a request of the CFTC, the US•Depattment of Justice, any selkegulatory organization designated' by the CFTC, an applicable prudential regulator, or as otherwise required by law. 11.2 Clietit further authorizet DB to disclose Confidential Information in the fbllowing circumstances: S'YM948, PART.B - PAGE 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073060 CONFIDENTIAL SDNY_GM_00219244 EFTA01376706