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FIA Tech Electronic Give-Up Automated Invoicing System (eGAINS

1. osec ny TA Teen c6 do lA dices cr onm ah RE ente certs enin naue INS Sareng Tercer is an gabe tz The soca shed siasa Author zed Ser fpa e APL Borar Ip sisse print a Vr EAS Focusing AGBU Eenuest uv Z3 TIA Tecefhinolugy Services lac n FIA gU P Y iaga TUB esha c M eu ep Sn M Ue DAT elton ioe Eh sly iri ECH Woe Sow UM yao X73 uum er FM Aish Zor Mania Eagon gu ix Mark Memes Ranger u NN MN EE Ear a Conner Nares LIB Ur ren 1 LaF TFS vnl TTY at A gr FAT Aseo Names UPLSOTUENEM 24 STU Pot STU UE Lo oam s ST anm Sars ert Cedeie lien Sara 5 Acocunr Pur tur we tren pes Pu rikis nen sure a GR AS Of uem i irane Ou rasen ETL Sup Pme tREESQUS C GU mE ee Uae lS OSA ITU Ty DP D evita Bah Mach Cay etf Form MSDE Get ance 0 ureno FE Gecin krang Sampan Wara i Hes anie Ceu 1 Me Bani Mares S pe rrr T 4 Corrects TEN arant a ae 1 LIUM ny Gores SRDS Sat BI AMY SOE METER ELT Mee i eee Sot Coca Canes Accor tla ciere an Bers EL n cours catene eg Pitre ary X ren iuueni mank bare a JS Hof ct Py CF EE Locations my Gomeri Such aic or BAN 5 Attach oop A s Dory Of rout weBHER FEO Io AGKROWIEC genet and Aysthgrzed shee TG cao azea ards isad aros ee ba oe wad zu FA Taz oc go mt care Shey OI TITTY oA NS seg g
2. LEUR 1554 td 5 ri ee Trax NRI d bolis Flectramie Give Us Agreement Santer Microsol Indorne xplerer 5 La I Fie Ede Fe Poste Tok Kelp Ow O x Z f Ps Jr S a LIEB 3 dress iB Hip firen ga markt np View f Manage Agreement Pr ae ading A Hala Schedules and Execuling Acecomd a enm 22 May 2008 17 33 56 by Train BiProresior aed Mec cin z2 May 2000 17 33 56 by Traind BiProcessor Effective Date Teamiin Debe Palins cont Chming Kccounis occ O A eri Clearing Broker Ea escription Eeit Enpi Taha Irageri Party Cimmers Add Cammenia erate d SO Marke ou LEE AI ight reserved a EK CEN start Be G FIL un Conran tu a terra Dorkwee Gol mOAINS Training G EI Merosolt Pese 4 B 13 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gui p m 1 5 l 1 1 E mia ECEraTic Salve p amp greecmm ni vystenm MESO PAGER MEE rus rect Give Up Ag 1 5yst n ft Internet xpi mata 2 Fe dk Wew laeker Took Heb O SZ fn x re 0 3 1783 Address 4 tia hte markt title common Hoan pie MEUS ET Anacn Ke menal Copy the rate schedules from an existeig agreement select rate schedule bemplates from your kbrary or upload as a POF file OTE Electronic rate proces sing is supported only for rate schedul
3. FIA TECH Table of Contents e eGAINS User Guide e eGAINS Initial Set Up Form e eGAINS User ID Request Form e eGAINS Processing Agreement e ICE Exchange Instruction Form e LIFFE Exchange Instruction Form e EUREX Exchange Instruction Form e Banking Documentation O O O O Banking Instructions ee International Drawdown Set Up Third Party Debit Authorization Form SAMPLE Designated Account Sheet DAS SAMPLE eGains Processing Calendar EGUS Adherence Agreement CHF Swiss Franc DKK Danish Krone EUR Euro Currency GBP British Pound ISK Icelandic Krona JPY Japanese Yen NOK Norwegian Krone PLN Polish Zloty SEK Swedish Krona TRY Turkish Lira USD US Dollar ZAR South African Rand Completed mark FIATECH eGAINS Training Guide Copyright Unpublished work 2008 FIA Technology Services Inc This work is an unpublished copyrighted work and contains confidential information Only authorized users are permitted to access this work Any unauthorized use disclosure reproduction or dissemination in full or in part in any media or by any means without the prior written permission of Markit Group Limited will subject the unauthorized party to civil and criminal penalties Trademarks Mark it Markit Markit Loans Markit RED and Markit C
4. FLA Fech Xotice Information FEA Techzolngy Services Ine Address O01 Pennsylvania Avenue NW Sune 600 Washington EXC 200606 A TIN PENI FAX CAAT metas Poges AG eerie So FF ROR System f ser Notice Information System Lser eooo Address ee Attn NENNT Title Lc Telephoneta Facsimile ee Emal Address ooa eGaAINS Admmisirar Name ee L eGAINS Administrator Title LLL LL eGAINS Administrator Telephones lt ee LLL cCOAINS Administrator Email CULO TY METN aay x3 2208 Letterhead of System User FORM OF SYSTEM USER INSTRUCTIONS amp CONSENT ICE Futures Europe DATE Re Instructions to ICE Futures Europe to Send User Data to FIA Technology Services Inc Dear Sirs As you may know the undersigned and or its affiliate System User and FIA Technology Services Inc FIA Tech will be entering into an eGAINS Processing Agreement Processing Agreement pursuant to which FIA Tech will calculate and initiate debit and credit entries to System User s account to effect payment of fees relating to give up execution services using the Give up Automated Invoicing System the eGAINS System in connection with transactions occurring on ICE Futures Europe the Exchange The Exchange maintains the data relating to System User s business and or Give Up obligations arising
5. 1 In EGUS gt gt Admin gt gt Maintain Party gt gt Permissions select or click on the box adjacent to ENABLE RATE DATA FEED gt gt eGAINS KU TN E EGUS Electronic Give Up Agreement System MicresofT internet Explorer td Fie EJ Vm Ferie To Help P O ix s K 2 F Sch sg rell d 2i mj Lad i up 3 AK Eri amp bli f Pigs re t iore PR roa f Hn Pie lt Eje us Amir Login User Dawid Wilson oe Comma eke Adm lele Leger Foshan E Pais Search Coles ge Reges Ging Wwe Er ee GERE EET STEED Enhance rim codes re E Party Mame COUS system Manitor 5 PF 7 User Agreement Segred Signed By ARAR Signed On 2 Map 2008 Wandar Party i5 a Customer and Cusbamer must maintain Broker visibility 1 g Party 5 a Trader and Trader must mantan Braker yrebiity Enable Rabe Gma Feed Aige the following external sycbhens to download Eum rote data Far che nasty GPS Garis rake Wrasbiliny If your Party acts a5 customer and or trader you must sprchy the Broker you do business with If you do mot approva a Broker the Broker can NOT add your party to agreements ar look up your party on search screens AE nrokarz Approved Brokers E Copyright di 2007 Markt Group Liej All rights reserved Bg 2 eet odi 0 ahe FINAL ec FEF 2 Mere ois 10 of 43 Confidential Copyright 2008 FIA and Markit Group L
6. Blanket LI Aji n L All a 0 Mixnd 1 w Hle EH Copyrigrt D T Heki Group Limited AI rights 1551551 start OE G ak E Mark Cone fae i Feret Dolor Gd GAINS Trara a 12 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH EE 3 Access the agreement gt gt My Queue page and link the e Rate to the agreement by clicking the ID and on the gt gt View Manage Agreement gt gt EDIT on the following screen zh EGUS Electronic Give Up Agreement System MicresofT Internet Explorer Z t E Fe Edt View Fonie Teo Help b d i 3 L ii 3 ig TA 4 Q DAG P Jr 6 2 3 4 PE irig 2 0 Main pio eri 4 batt fine gun ruht cordia Lienig broker Hare Pxecuting Account D A ceu ID Clearing Broker Mame Clearing Account D Account ID Trader Hama Seen Party Hela Hama TL I Hare Enel Party Rone wv Hume Agreement ID ID Agnagmant Type Any i han rit Enci Gate w isoncraler did Myy Al In Progress Exvesw Ageroval Keitel Sale Terminated Executing Rate Chewing Termination E Urge AcE Sch Moki U ERS Mader Cusinrmer I LNEERE iae ur by Pad Hbr prr ai acl Eni Copyright d oT Haki Group Lined All rights reserved Zimt E E E T MnysdE Li kt hae bi Ciir
7. Emm 29 01010101010007 122 Party Relationships eet 30 3 3 5 Chapter 4 Trade PROCS 01001010100 31 EMEN RVW 1 1 1 1 1 1 1 1101000 31 4 1 1 icula M 32 42 Trade Reversal Eurex ee recor deban pce out loniduisueion o nt M rnrn rnrn VE er ua Us wl EE dde au xncunipaf ted s sae unu oS EnEn nnn 32 43 Trade Reversal ICE erre trice tenu eeu tre aus menos ial a oa ia loe aiv Sa Vu xac cO Saga Ces xa 33 4 4 Trade Reversal Liffe ssssssssssssssssesen n em em nene nn 33 AS A TAS t R A 33 4 6 Correct Manually Added Trades sess 34 Umm 34 AS MESURE com 38 Chapier 5 i e 1 00101010101010101010100 39 NS Um PRI EDI cmuxP dC rUQUI UDIN DI VOUS 41 Chabpier 5 Bankilig o cates esse ew 41 Payment SYSTEM ea 6 1 41 0010 6 2 41 Processing Guidelines 6 3 42 Managing Accruals and Reducing the Credit WiNQdOW 6 4 Processing Deadlines sss 42 6 5 Chapter7 Gontact US
8. Eastern Prevailing lime deadline fer DAY OF EACH Executine Party to make corrections and CALENDAR adjusiments to data within eOGAINS MON FH 5 BUSINESS 8 04 p m Easier Prevailing Tine deadline for DAY OF EACH Clearing Brokeris to accept amended dala or reject CALENDAR the information im etiATXS STON TH Dala nol ina rejected status on eli A INS at thts Day 5 ime is deemed accepted by the applicable Clearing Broker s HG FH BUSINESS FIA Tech enters debit insiructions with the DAY OF EACH applicable Bank s On eG APIS System User will Reports and data files avallable distribution method to be determined i Final reports and data files available via eC ATIS CALEADAR have access to end of cycle Payment Summary AION TH Repon that reflects final payment amounts Bay 67 welding any adjustments made during the payment review pernod and debis and credits for the current month 3 SOE MLPrzlosnap nuBme a e 23 AINE 17 BUSINESS Clearing Brokers accounts are debited This BAY OF EACH represents the first dav et the Float Period CALENBAR MONTH Debt Date LAST BUSINESS Executmr Parties accounts are credited DAY OF THE FLOAT PERIOD Credit Date LAST Last day for System User to submit or change By written notice to BLSINESS DAY Fxhilut banking mformation TA Tech OF EACH CALENDAR MCG NTH Processing AgeeT ant lube 73 ES Exhibit E
9. ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID No JPM ACCESS Yes No GID FIA Account Currency PEN reor eU Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency SEK Roe Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil
10. ale Et Lhe bul a Y E Fis Tt E DHA E AIHE Ti b HET t IHE Sree L m mi 11 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gui d EGUS Electronic Give Up Agreement System Microsol Internet Explorer ull m 5 Fle Edt Wem Foie Tode Hele ar Qm O Wi 2 frm 8 4 Adres M hos epus ab markt E pe 1 teil ath Mairitam Rate Schedule permasa Hide Mens Maw Type Hank Trade Type Sprudd Rate Type Tiers Client Des Client Pil Doskike DeekPa Amount Amount Gey Mixed Rabe EU i i aoe start 2b EGUS Electronic Give Up Agreement System Microsoft internet Explorer im Ed r Om O DAG Pe mm O E D s L o3 Address d bape ifia oa markt cordis Mini big ngin User Train 8 Processor _ Get Cones Help Leger biymi a E dis m Xr E tiir aside Wes POF uen B emnt M conc m Ae T RAAE A PA B sedat O6 CURSE Ves d oit Buon al rahl Party Mamy Broker Party Ll Share edit and view with all partes at my mstitubian only with Manta Pate Schedule perredaice Rate Schedule Name Pate Schedule i Last Modified By O2Jun2008 1 E ala ai Microsoft Internet Explores l raductz Res Blanket Du Exchange Gif Preduct Group Type Fink Trade Type Spread Fate Type
11. e Cur currency When adding or changing rate tables the user will be prompted to gt gt Recalculate All Recalculate results in a recalculation of associated trades only if the effective date is prior to the current date Rank determines the rate hierarchy relative to the rate schedule Generic rates i e a flat rate for the entire exchange are typically added after specific rates and therefore are ranked lower than specific rates Rates are ranked in the order submitted and users can re rank rates as needed 25 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui Licey Rate Information EXCH COM Tra uc Tran Future Rate FRT E lype Source ex vt al xl eee ana ff 00 iow Rates FHecilve Cate Ui Rank EXCH ua Gaopetight 2001 2008 THE GUEARINES GOP ORATION All ighis macm MED Par ripamiD CCORP Hole Executing O Carry Mire tns Facile Daie A EXCH COM 1 n Mi Foe Mar fea CUR Copsright 5 2001 2008 THE GUERIN CORPORATE Al ighis marha 26 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com eGAINS Training Guide Bdgrsrment Beie Acton Te ELE Logo Agreament s Ramie Lisi a Add Rate Informotlan EXCH Future Rabe Tran COM LL rw Rate
12. ride Rates from all Parties except Executing Brokers Dealers Traders or Customers Exacuting Accounts ant not required Each Executing Account ID can be added to only one rate schedule pe Sect Rare Effect Dare Expaaben Duae Execting Account Account Description Clear Accounts iD HF HMM yyyy Od MME yyy corum ID Add Accounts Camiyi O 200 Maki Croup Lined 20 rights resensed I E E 7 che P Maki Conr few i kibeni Eel AS Tr 15 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui Chapter 3 eGAINS Navigating the Application 3 14 Sign On To sign on to eGAINS 1 From the Internet Explorer access the following web page https fiaegains markit com 2 Enter your FIA assigned User Name and Password and select SUBMIT Give up Automated INvoicing System 3 The Participant ID and Role appear GAINS Give up Automated INvolcing System E 16 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com la k FIATECH eGAINS Training Guide 3 2 Toggle between Roles Executing and Carry Participants To change Role Executing Firm to Carrying Firm 1 Select any function from the main menu Agreement gt gt Adjustment gt gt Review gt gt Action see eGAINS Site Map below for additional screen inf
13. Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com la k FIATECH eGAINS Training Guide 3 Modify as needed all fields may be modified except the Agreement Ref and SUBMIT The status Agreement added successfully finalizes and update s mT Hewew Acton ATE Loge Agreament s Agreement List dir Agreement SEDE Contact Executing Contact SUTE 2100 OPERATIONS DEPARTMENT Cuslomer ddress Logan PartecipantiID CCORP Role Executing Carry Eee ms Cuslomer ddress SIS 21 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 3 4 3 Search for an Agreement To search for an agreement e Click in Agreement gt gt Agreement List and input the search criteria and select SEARCH To view the entire list of agreements do not specify search criteria and select SEARCH Customer Name Agreement Ref Bill To Participant drop down menu option listing participants Date From mm dd yyyy Date To mm dd yyyy Agreement Type see 3 4 1 Enter Agreement Information for option details Customer Ref Customer Ref is not a searchable file for Carry participants 4 fugreerruent Bdgrstment denen Acton fiir Loge P
14. IXS calculation aWn Gie Up Agreement Fee Transfers FIA Tech will efiecr the debris and or credits as the case may be to the System L ser s Aceount s m the amount s calculated in accordance with the provisions of Section MaWi above and the Processing Schedule FLA Tech or ins destgnee will effect corresponding dehils credils to the Other Svsiem Users owing Debit Amounts or due Credit Amounts on the dates set forth in the Processing Schedule f the System User owes a Debit Amount in any applicable calendar month FLA Tech or its designee will debit System L ser s Account equal to the Debil Amount on the Debit Date of such month IL the System User is due a Credit Amount in any applicable calendar month FIA Tech or Us designee will make a credit entry to System User s Account equal to the Credit Amount on the Credit Date in the applicable Float Period lik Gira OTE APESTA QW 7d Too FTA Tech shall not be obligated to pay any Cave Lip Agreement Fees due to any Executing Party from FLA Tech s own funds if the corresponding Clearing Broker owing the Debit Amount to such Exeeutme Party in the applicable month fails to provide or make available the requisite funds tn such Clearing Broker s Account on the applicable Debt Date Il any Clearing Broker fails to provide or make available the Debit Amount or any portion ihereof due to any Executing Party during any Float Period FTA Tech shall have ne liability for any such failure an
15. gt gt iet greerneni Adrien Bene duc Don Admn Logoa Par eipam D CCORP Hole Executing O Carry Agreamenr s Ficcount List Seach rieri Agresempni Rad amp rti E xacuting Annari Carry Account Search Gear 5rasch Fesult Agrecimend Bot 8 Pall To Pasricipant Exc utin Accra Carry Accouni CR xa e e Accounts per page 10 M 4 Copyright 2001 2008 THE GUEARINE CORPORATION All ighis rescence 28 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com marki FIATECH eGAINS Training Guide 3 To view and edit the ade account or rates gt gt Action gt gt notepad image fugreerruent Bdgrstment Hirie MED Partisipan iD CCORP Role D Executing Carry Agreament s Accounts a Add Mime Accounts Bul To Parca Carry Excharspsictirm n t He la e E Accounts per page 10 pay Gopatight 2001 2008 THE CLEARING CORPORATION Ali ighis rsen 3 4 8 Search for a Rate To search for a rate 1 Click in gt gt Agreement gt gt Rate List input the search criteria Customer Name Agreement Ref Date From mm dd yyyy Date To mm dd yyyy Bill To Participant and or Customer Ref and select SEARCH To view the entire rate list do not specify search criteria and select SEARCH fugreerruent Bdgrstment iuo Loge Participant CCORP W Mole Executing O Carre Change Agreement Rate Lis
16. the Bank officer affirms receipt of applicable instructions in the name of the Customer Signature Print Name d JPMorgan Multibank Payment Service Executing Bank I nstructions Dear Sir or Madam Our mutual customer has subscribed to the JPMorgan Multibank Payment and Reporting Service This service enables them to route their Payment and Advice to Receive messages via JPMorgan for onward transmission to yourselves as the executing bank and also to receive their statement reporting via SWIFT from you via JPMorgan We would very much appreciate your prompt attention being given to the completion of the enclosed Designated Account Sheet The below description is designed to assist you in understanding and completing this form Once completed the form must be sent for the attention of our JPMorgan s Multibank Co ordinator per the address on the form Designated Account Sheet Page 1 contains specific information about the customer both with JPMorgan and your bank Page 2 contains a grid to capture customer specific information relating to our customer s account s with your bank and their Multibank payment and or reporting requirements Please complete the highlighted sections and ensure the form is signed by an authorised signatory of your bank Please ensure that the account no s on this page are in the exact format you need to receive from us in field 50H of the MT101 or field 50 53B of the MT103 payments
17. Bill the customer and process the give in payment through eGAINS or 2 Bill the customer and process the payment outside of eGAINS See below for a summary of system set up parameters Contact FIA Tech for complete details 1 Bill the customer and process the payment through eGAINS e Customer completes the eGAINS Processing Agreement e Customer provides FIA Tech with detailed banking instructions e EGUS Bill To Customer e EGUS Hide Rates e eGAINS Designate the agreement as a Third Party Agreement allows eGAINS to facilitate payment from customer to Executing Firm eGAINS Bill To Third Party e eGAINS Add the Third Party s carrying participant Exchange Firm code Or 2 Bill the customer and process the payment outside of eGAINS e Executing Firm completes the eGAINS Processing Agreement e EGUS Bill To Customer e EGUS Direct Bill Y 30 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH Chapter 4 Trade Processing 4 1 Trade Review The Trade Review function allows Executing and Bill To participants to review trade details including fees to identify accounts and rates missing from an agreement and allows the Bill To participants to reject trades To review give up transactions set the appropriate Role Executing or Carry participant 1 Click in gt gt Review gt gt Trade Review and input the search criteria in the Search Criteria section Select
18. CFIRM CODE CamyFirmlD CHAR 5 106 24 CFIRM ACCNT Carry participant CHAR 15 111 NUM Account Number E e ros ACCNT NUM 26 FILLER CHAR 9 141 SPACES WEN TUN KNEE Lodo slo ots so WDC 99 1554184 3 022983 0026 Letterhead of System User FORM OF SYSTEM USER INSTRUCTIONS amp CONSENT EUREX DATE Re Instructions to Eurex to Send User Data to FIA Technology Services Inc Dear Sirs As you may know the undersigned System User and FIA Technology Services Inc FIA Tech will be entering into an eGAINS Processing Agreement Processing Agreement pursuant to which FIA Tech will calculate and initiate debit and credit entries to System User s account to effect payment of fees relating to give up execution services using the Give up Automated Invoicing System the eGAINS System in connection with transactions occurring on EUREX the Exchange The Exchange maintains the data relating to System User s business and or Give Up obligations arising in each case from activity on the Exchange s markets System User Data The initial proposed System User Data required 15 described in more detail in the attached document known as the Data Specification In order for System User to utilize the eGAINS System the Exchange must provide the System User Data to FIA Tech in an acceptable format as preliminarily described in the Data Specification T
19. CODE Valid values are B or BENE U B Browse I Update Lo Tal 19 4 1 4 Trade File GAINS EXCHANGE YYYYMMDD File Description This file contains the trade data details Daily excluding Clearing Holidays Fixed Length ASCII Expected Number of Need Exchange estimates Records Checksum Field ee Primary Key SEN RECORD FILE TYPE CHAR HDR Header PROCESS DATE CHAR YYYY Ee aa NUMERIC 8 Ju EE ei pf otal 150 5 TRADE RECORD m He cce MRNA EXCH CODE Unique field for the CHAR exchange being processed Gino MMM a DATE Contract nan CHAR 13 Blank contract 15 only di mti YYYY digits OPTION TYPE unl il Futures C Call Option P Put Option CHAR CHAR 8 2 STRIKE PRICE D sc 8 TRADEPRICE di i YYYY T DATE DD PREMIUM AMOUNT CHAR CHAR 2 NUMERIC al 8 digits positive or 7 digits plus sign negative 999999 99999 IF trade is an OPTION then the field 1s the PREMIUM If trade 15 3 FUTURE the field 15 the NOTIONAL amount applicable to unit quantity NUMERIC Ue NIN C RIO OO TYPE E BUY E SELL cen EN CLOSE IND Open close I O OPEN e C CLOSE Values are in a TRAN SOURCE CODE Master a 16 TRAN SOURCE Trade source ETS CHAR CODE Floor etc M TRAN TYPE Trade MN MON EFP 18 RVR
20. City Country Intermediary Correspondent Bank Name s account not in country of currency Swift BIC or IBAN S Attach Copy of Form W 8BEN below f applicable CompanyName Bank Contact s Name Email Phone Swift BIC or IBAN Account Namel pt Account Number s Bank Routing ABA Number s US Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspondent Bank Name s account not in country of currency Location s City Country SWftBICorIBAN Attach Copy of Form W 8BEN below if applicable Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 23 FIA Technology Services Inc 202 466 5460 ES a 2001 Pennsylvania Avenue N W 202 296 3184 fax Suite 600 www futuresindustry org 1 3 5 Washington DC 20006 1823 Executing Clearing Both CHF Swiss Franc Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Bank s Account Number with Intermediary Bank s account not in country of currency Location s City Country fp Swift BIC or IBAN S Attach Copy o
21. ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency USD Roe Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M gt if known or 3 Party Acct ae gt S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency ZAR Fax No 202 772 3094 Te
22. FIATECH REN 4 6 Correct Manually Added Trades Recall the trade highlight the appropriate field and enter the correction Select UPDATE This prompt the system to change the trade record and trade status from blank to C 4 7 Reject Trades Trades may be rejected by the Bill To participant only due to misinformation trade rate fee or account Further the Carry participant may add a rejection message to the reject record indicating the reason for the rejection If the rejected trade is not re accepted before the start of the banking cycle eGAINS will not process the payment calculation Rejections create an action notification to the Executing participant To reject all or part of a transaction recall the transaction 1 Click in gt gt Review gt gt Trade Review Correction drop down menu option within Review Change the Role from Executing to Carry if needed and select CHANGE MES DET Hal s rade Raeubew Corect Saarch Tili Trek Chat F L E lina Partici tE 58 i COM HI Of I opo EE Ci TT TS Order humit Ri Sint imi 1 MIT m mony P 8 2 Ug TFI d lov ww Search Clear Copyright amp 2001 2008 THE LEMAIRE CORPORATION All rights msgr 2 Input the search criteria in the Search Criteria section and select SEARCH To review all trades do not input a search criteria and select SEARCH eGAINS displays the full trade record however due to size constraints the below screen
23. Fees duc by and or awed to System User pursuant Io eG System User will provide a completed Exhibit A setting forth its Account information to FEA Tech within five 5 Business Days of the Effective Date THR SYSTEM USER AGREES THAT SYSTEM USER AND THT SITS L SER 5 BANK WILL HAVE SOLE RESPONSIBILITY FOR THE ADMINISTRATION OF SUCH ACCOLNT AND ACENOGWLIEDCGUS THAT FIA TECH HAS NO RESPONSIBILITY OR LIABILITY WHATSOEVER WITH RESPECT THERETO Zt bi Moditications of Svsiem Liscr Account Intormation system User agrees that tt will provide writen notice to FIA Tech at least thirty 30 calendar days in advance of any change System User s Account identified in Exbubit A to this Agreement Such notice shall include a revised Exhibit A to this Avrecment setting forh the same information for the new Account required lor the minal Account in exhibit A Abi Debits and Credits system User agrees ta pay Give Up Avrecment Fees to and shall have the right lo receive such Give L p Agreement Fees from each Other System User im the amounts due and owed as a result of its participation in GAINS and ns abligations hereunder System lser authorizes FIA Tech directly or through a designee to effect the debit and or credit entries as the case may be in ins Account for amounts owed by er payable to the System User as determined bv eG AINS system L scr acknowledges and agrees that the Debit and Credit Amounts and the Debit and Cre
24. IBTA AEP BOURSE DE MONTREAL MONTREAL EHCHANGE BUENOS AIRES FUTUREE MARKET MATEA MATE TE Primary T MEME EEEN UERHALD MOGs MEDS I gt 0 JMERCADO M XKCAHO DE DERIVADOS aes 0 O a i r1 i o o OL il 8 a O o a 5 ja LI Hc O v a 0 ri B a 3 Copyrigr i mo Band Group Limited Bl rights reserved d KESS 1 sial MEG pm 0000 p EI E 7 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui Jh EGUS Electronic Give Up Agreement System Microsoft Internet Explores X File Ed Wee Foame Tot Hee i Ou DAG Pe E D 4 9313 Address ial hugs peat marit cond quidcomencnf Pain ip Maintain Party Detass Permissions Exchange Firm Codes Party EGS System Monitor 5 juna ueiete Selec Exchange Firm Code E LI a mE E a p ni ii i ac H Li FI s EI O i j a LI Ir A v 0 n E 6 6 Y E ay i Copyright b 2007 Markit Group Limted Allright reserved gl Me bl Crete E lrdzaz gt Mein Firet E rj eS 8 of 3 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gui 1 6 eGAINS Participant Set Up The participant
25. Rate Transfer one time 2 1 11 Recone 90 91 TEE O O eee 2 16 Chapter3 eGAINS Navigating the Application CS OLO E RR 16 Toggle between Roles Executing and Carry Participants sss 17 3 2 Do NE NOD 17 18 0000 0660 Standalone Processing eGAINS direct 3 4 18 Enter Agreement Information standalone processing 3 4 1 Modify an Existing Agreement standalone processing eseseeesseesssess 20 3 4 2 22 Search for an Agreemenit 3 4 8 23 60 0666066 0000 21066581176 Add Accounts to an Agreement standalone 3 4 4 Add Rates to an Agreement standalone processing ccccssseeeeeeeseeeeeeeeeeeaeeeeseeees 25 3 4 5 nnne 27 View Agreements All Fields 3 4 6 Srey 25 8810001 Ora NCC OUAI or m s 28
26. SEARCH To review all trades do not input search criteria and select SEARCH e Trade Date mm dd yyyy Executing Account Bill To Participant Carry Account Com commodity B S buy sell indicator O C open close indicator Contract Date mm yy C P call put TT trade type indicator TS transaction source code Order Number RI reversal indicator Status rejected unlinked rada Review J arractlon Search rileria Cmrphcoam com C55 Of Conran dete Gl ae Order Humber Ri Status MM s Iren rg F NL IL UU 2 31 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gu 2 Trade details or search result information appears in the Search Result section The STA status DEL delete and UND undo fields are auto populated and represent the disposition of the trade The dispositions change as the trades are modified See 4 1 1 Status Codes for a list of status codes Lama Parteipant i TET Role 55 lamung dam Change IT T5 r r Cone Daa Cr 5 Co mmm P Search Chaar pee S q kd uisi EIA TZ iR rade Deve Exsculing HE Firm In Account XH firm I pr ran yy o mame je fee ure jee pmo Pp o D of ud 4 update Delete Trades per page 1D i 4 1 1 Status Codes eGAINS recognizes the following trade status codes e
27. Search Resul Facer citing Cany STA DEL UND Trai fate Ammyy EXCH Hier ID LT EXCH Hirm I Le LOL persee uere i unda Tradas per pape aq 1 3 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH EE 4 8 Cash Adjustments To add a cash adjustment 1 Click in Adjustment gt gt Cash Adjustment gt gt Add Emm pinay Acooauni ES FE 1 T LW e prec A regis eee 2 Add adjustment details the Adjustment Date Bill to Participant Amount and Currency are mandatory and select SUBMIT Adjustment Date mm dd yyyy Bill to Participant Executing Account if applicable Carry Account if applicable Amount Debit or Credit Currency Description free form text field used to describe the nature of the adjustment Lagoa Participant In CCORP UN cee beung cany Ox z Adjustments s Cash Acjasimernd s Add unn emm a any accour Cash Adj 5 SQusiment Dae maidd yy m SS NOTE Once a cash adjustment is added into the system the adjustment date determines if the adjustment is a current or prior month adjustment The Review Payment Review screen allows users to search by payment month 38 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www mar
28. System User based upon give up services provided to er reeenved from Aher System Users related to transacti ns en the Exchanges The credits debits pavments and reports will be effected or provided in accordance with the Processing Schedule 2a eGAIMS Process aii Calculation of Payments CO AINS using Trade Data will calculate the amount of Givc Up Agreement Fees owed ly and or duc to the System User based on the System E ser s total transactions for each applicable calendar month Provided that System User A 15 not in breach of any of its obligation s under this Agreement eGAPSS or EGUS B 18 in comphance with all requirements under this Agreement and C is not delinquent with respect lo any Debit Amounts or other amounts due hereunder FIA Tech in accordance wilh the Processing Schedule will provide the System User with the opportunity to make corrections or adjustments prior lo the Debit Date to reject all or part of the Give p Agreement Fee information for such month Ifthe System monthly Give Up Agreement or Grve L p Avreement Fee information is not rejected in accordance with ihi Processing Schedule such information and the correspandme Debit and Credit Amounts will be deemed accepted for that month IF System User does nol meet the requirements of Section 2 aW1W A through C in any calendar month FIA Tech may remove System Laer 5 wive up transaction information from such calendar month s eG
29. all Exhibits hereto and any other document s provided by System User m connection with this Agreement embodies the entire agreement of the Parties with respect to the subject malter hereof and supersedes all previous negotiation representations and agreements with respect hereto and shall be binding upon the Parties hereto and theit respective SUCCESSOTS and asstims Severability W any prevision of this Avreement or the application thereof shall for any reason and to any extent be determined by a court of competent jurisdiction to be invalid oz unenforceable the remaining provisions of this Agreement shall be interpreted so as best io reasonably effect the intent of the Parties The Parties further apree to replace any such invalid or unenforceable provisions wilh valid and enforceable provisions designed lo achieve the extent possible the business purposes and intent of such invalid and unenforceable provisions Yu Partnership or Third Party Beneficiaries Nothing in thts Agreement shall be construed to create a partnership or joint venture between the Parties This Agreement does not create nor shall it be interpreted as creating any standard of care duty or rights enforceable to or by any person not a Party hereto o Waiver o fallere en the part ol any Party to exercise and no delay m exercising any right onder this Agreement shall operate as waiver thercof nor shall any partial exercise of any such nghi preclude th
30. and adjustments to data within eGAINS 8 00 p m Eastern Prevailing Time deadline for Clearing Broker s to accept amended data or reject the information in eGAINS Data not in a rejected status on eGAINS at this time is deemed accepted by the applicable Clearing Broker s FIA Tech enters debit instructions with the applicable Bank s On eGAINS System User will have access to end of cycle Payment Summary Report that reflects final payment amounts including any adjustments made during the payment review period and debits and credits for the current month Clearing Brokers accounts are debited This represents the first day of the Float Period Final reports and data files available via eGAINS Executing Parties accounts are credited Last day for System User to submit or change Exhibit A banking information By written notice to FIA Tech eGAINS Processing Schedule March 2009 NENNEN 1 BUSINESS DAY OF EACH CALENDAR MONTH 2 March 7th BUSINESS DAY OF EACH CALENDAR MONTH 10 March 15 BUSINESS DAY OF EACH CALENDAR MONTH 20 March 16TH BUSINESS DAY OF EACH CALENDAR MONTH 23 March 17 BUSINESS DAY OF EACH CALENDAR MONTH 24 March LAST BUSINESS DAY OF THE FLOAT PERIOD 19 June LAST BUSINESS DAY OF EACH CALENDAR MONTH 31 March Preliminary month end reports available Month end accounting completed for the prior calendar month Daily reports begin for cu
31. be nor shall it be constmed to be trustee or fiduciary under this Agreement of ar for ether the System User or any Oher System Lisers 3 Interest Payments Funding of GAISS Other Payment Terms Mu Interest lav ments Any shortfall the Full Debit Amount owed by the System User on any Debit Date and not made available to FIA Tech shall accrue interest from the applicable Debit Date at the Interest Rate from and including the applicable Debit Date to but cexcludmg the date such Debit Amount owed is paid or the date the System User is removed from eGAINS interest Amount Within three 5 Business Days of the FLA Tech invoice date system User will pay the Interest Amount duc to FIA Tech by deposit or transfer of immediately available funds to the account specified in the myoice Mb Funding of eGAINS System User hereby directs and instructs FLA Tech to deposit in the applicable GUAF Account s during any applicable Float Period all Give Up Agreement Fees collected by FIA Tech eGOAINS will be funded from the Float Payments which Float Payments shail accrue solely for the benefit and be the sale property of FIA Tech and shalt canstitute Income earned by TTA Tech under the terms of this Agreement Float Payments will be processed as provided m the Processimpe Schedule The tenpih of the Float Period wili be determined by PLA Tech in its commercially reasonable discretion provided however ibat the Float Period shall in ne cve
32. cireumstances provided that ihis notice period shall net apply to any modifications made pursuant to Section 3 c the notice periad of which is set forth in Section Heh or any Force Majeure event under Section 14 Any use of or access to eOAINS by System Liser alter the effective date set Forth in any given notice shall be deemed to constitute acceptance of such changes modifications additions or deletions and signifies System User s agreement to be bound by the amended Agreement Assigninent This Agreement and or any obligations hereunder may not be assigned or transferred by ether Party without the prior written consent of the other Party provided however that a Party may assign or transfer this Agrecmen without consent a an Affiliate or bY a Successor m comection with a merger consolidation or sale af all or substantially all of its business telated to this Avreement provided that cach such successor ar Affiliate lransderec agrecs in writing to assume and be bound by all the provisions of this Agreement and upon request a copy thereof is provided ta FLA Tech and provided further that if System User is the transferring Party System User delivers such tax authority proper registration status and enforceability assurance as FIA Tech may reasonably request eC APSE Wane MrT O Joy d SIE 13 15 20 21 212 24 Entire Agreement This Agreement together with the Form of Instruction System Lser Agreement
33. cy 7 A Tagh aret pon e A de hans g pata F Byte SOUT ate Tue indet amas unl nc Oe OOS Stet dfc Y pe Court ey Patra lh Bon n2 20 mere CES ISTAN s auasi Cite lost nm US GO fee 202 223 318 Toes is a section an gaa af fas 11 Tiger ay gvr eat frg ler Lb EARNER Fee el oe changed for tea set up of esd Da TOTGY BETS 50 j pag SOTE ORLY De ECO 186 uD esporel tg a E AES nr Sens Xe Jog une Dens cA DD der gez Soe pare on gedh pass OF tns Solent and Ally LATE a Sep emm ase aue c Sut ance sec 2 Te asl pagt ara Wee your ncm n7 E2enmec Earkryg eirin org ara nnn F i ua tmt Een a Ale OU BLUT as 2 TASC Tee ead cin o aol pease ch eck t te 2 PEER UD RK oa Ine a f 5 Batt 1 aT m a C ee Dearg l GaP Hmi c1 Pani ore MT Creme Rare eee SEET iy Co a 111111111111111 Werk arem Bere arg ENT E che wgra mmu PRE EO SOO E BIC oF Boiss 101010101111111 roo 0000001111 Pe cg Sara Zar cotB S Lat lI o dnm LTTE Y ti pieri Ties ar Ehan RIE arp vet p onu LE DAD iter ed zs TE Tes IO ar Bank Pee an eis Par ry Loa hi iy oct EC CI WAND Attac Conv l Ser WYSE Ete ct enn cans Tr ct TULLILUALL TTT PE t aU QR s a Pd Acknowtegugerent and Autbonzed Sige aie Tat Luma ct apps fisted abnen are to be gari be TIA Teh in eo reb t nank E mori OURS soto arts an
34. does not include information that a is as of the time of its disclosure or thereafter becomes part of the public domain through a source other than lhe recetving Party in breach of his Agreeinent b was known to the receiving Party as ofthe time of its disclosure c is independently developed by the receiving Party without reference to the Confidential Information of the disclosing Party or td is subsequently learned from a third party not subject to an obligation of confidentiality With respect to the information disclosed Eredil Amount means the Cive Up Agreement Pees duc in any applicable calendar menih to System User or Other System Users as Executing Party ies to be credited to the Executing Pany ies at the end of the applicable Float Period Credit Date means the dax set forth in Exhibit D or as otherwise set forth in ihis Agreement when the accounts of the Executing Parties due Credit Amounts are credited in cach appheable Float Period a CASE Proge Agrees m y V LOL Debit Amount means the Give Up Agreement Fees owed Dy System User or any Other System User s as Clearing Brokers in any applicable calendar month Debit Date means the dav set forth m Exhibit D or as olhemvise set forth herein when the accounts of the Clearing Brokers are debited in each applicable Float Period Effective Date means the date on which FEX Tech executes this Agreement as set forth Inthe Srenature Pave belo
35. eGAINS participants e Carry Exchange Firm drop down menu provides the Exchange and Firm codes for Bill To Third Party participants only e Carry Account e Executing Account e Profit Center profit center is an eGAINS free format pass thru field for participant use only often denoting location or office NOTE Only the executing participant can add edit delete accounts whereas the carry participant can iue EEE accounts ED outs Bete Executing Carry Change ID View Bopbnuniz Arim fil Te Pariani Carry Esche Carry Acemi E ecutiem AeH H Data Pound Accounts per page 10 3 Click SUBMIT to add the trade to the View Accounts section repeat the process to add me Jh JT 2 Ag eere cus rent Hine Limiti rp Div gig Logout Participant ID CCORP nole Executing Carry Agreament m Fucouns s Judd Account information Dill To Participant Carry Carry Account 5 S rw Accounts i o Pario Carry Excharupestirm Lamy amp ccount Executimg amp coourt Pron Center a RR e MTT h nM ACCOUNTS per page LI d rn Comey Th amp 2001 2008 THE aU ARR CoP TFA TEN AI nani escena 24 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH REN 3 4 5 Add Rates to an Agreement standalone processing To add rates to an agreement 1 Enter the agreement number and se
36. have occurred or been incurred prior to the date of termination In addition in the event of any fermmation of this Agreement Sections 3 E nterest Payments Funding of eGAINS Other Payment Terms 8 Limitation of Liability 9 Indemnification 1 Set off and 13 Contidentiality shall survive such termination II wSet off 1i a Executing Party Set off In addition io any rights granted under applicable law in equity or otherwise FIA Tech for the benelit of the Executing Parties during the applicable Float Period is hereby aulborized and any related prior notice and demand are hereby expressly waived to scl olf recoup appropriate and apply any and all Give Up Agreement Fees held by FIA Tech agamst and on account of obligations or amounts due hereunder by System User or any Other System User to System User or any Other System User as applicable whether such obligations are fixed contingent matured or unmatured FIA Tech shali vive the System User notice of any applicable setoff pursuant to this Section 1 lla as soon as practicable thereafter provided however that failure lo give such nedice shall nol alfect the validity of the ser olf nor be deemed to be a breach of this Agreement lift FIA Tech Sct off In addition to any rights granted under applicable law in equity or otherwise FIA Tech is hereby authorized and any related notice and demand are hereby express y waived to sct ol1 recoup appropriate and apply any an
37. in country of currency Location s City Country Swift BIC or IBAN s Attach Copy of Form W 8BEN below if applicable Currency NOK Norwegian Krone Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Location s City Country EET Swift BIC or IBAN L Account Namel _ Account Number s S O Bank Sort Code s UK A Bank s Account Number with Intermediary Bank s account not in country of currency M Intermediary Correspondent Bank Name s account not in country of currency A Location s City County O Swift BIC or IBAN Attach Copy of Form W 8BEN below if applicable Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 25 FIA Technology Services Inc 202 466 5460 2001 Pennsylvania Avenue N W 202 296 3184 fax Suite 600 www futuresindustry org Washington DC 20006 1823 Executing Clearing Both PLN Polish Zloty Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspond
38. instructions and or that you will send to us in field 25 of the SWIFT statement If you have any questions regarding the above or the enclosed documentation please contact JPMorgan Multibank Co ordination via Telephone on 44 0 1202 346606 Fax on 44 0 1202 342349 e mail at CTS Multibank mplementations J PMorgan com SAMPLE d JPMorgan DESI GNATED ACCOUNT SHEET Executing Bank Forwarding Bank Name Multibank Co ordinator Title Address Address Treasury Services 320B 1 Chaseside Bournemouth Dorset United Kingdom BH7 7DA Tel 44 0 1202 346606 Fax 44 0 1202 342349 e mail cts multibank implementations jpmorgan com JPMorgan Chase have been requested by our customer the Instructing Party as detailed below to execute Request for Transfer SWIFT Multibank messages between our banks JPMorgan Customer Details Company Name Contact Person Telephone No Please add to the following table the details of the account s Designated Accounts your customer has requested to be included in this service Executing Bank Customer Details Account Holder Name Contact Person Telephone No Title Designated Account Sheet Page 1 of 2 Version 15 Issued June 2005 SAMPLE Payments Required Your Receiving SWIFT JPMorgan Payment Yes No Address SWIFT Address Executing bank only Reporting Required Your Sending SWIFT JPMorgan Reporting Tr
39. mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency EUR Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiat
40. on the Agreement Contact List for this Purty Copyrigni mz Haki Group Limited Ad rights reser EK E IBE start E E G El Wie bal Corus E lidrin rens zdnberet Dxlon 3 id Dapurt Hi a Support Gears 5 E 6 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui Jh EGUS Electronic Give Up Agreement System Microsoft Internet Explores el E Fle EM Wee Foame Tot Hee i O O DAO pe Je 80 3 3 193 Add ers A bites Hives markt corn errem fH be Maintain Party Geral Perressiong Exchange Firm Codes E save EGIS System Montor 5 Selec Lachange Sinn Code O 10 JB o D E 8 a jo O __ o E H o a i iO O TE oO f m E c m E LET E Stoll E 1 E Whee bal Eee E Dx Misi ze irtera a Dsm EE SU CHICAGO MERCANTILE EXCHANGE CLEARING 360 OME 360 Bil ON COPENHAGEN STOCK EXCHANGE CSF Ead OWA GOLD COMMODMES EXCHANGE ox HONO KONG EXCHANGES AND CLEARING LIMITED HEE ll INTERCONTINENTAL EXCHANGE CE OTC SERI NTERCONTINENTAL EXCHANGE FUTURES CA SE FUTURES CA INTERCONTINENTAL EXCHANGE FUTURES EUROPE dick FUTURE ELE INTERCONTINENTAL EXCHANGE FUTURES U S QCE FUTURES UE Bi KANSAS CITY BOARD OF TRADE ECT KOREA EXCHANGE KF Party Se MATH s oki Est Lus ore E ETAL EXERANOR
41. pays as a fee to an Executing Party pursuant lo gach Give Up Agreement GUA Accounts means the account s set forth in Exlulit C which may he amended by FIA Tech from time to time tn accordance with the terms of this Agreement in which al Crive Up Agreement Fees are deposited during anv applicable Float Period 3 CLAE BIB g Agpo gni wi TE 2M Interest Rate means the lesser of the rate of one and one half 1 2 percent per month or the maximum interest rate permitted by applicable Taw Other System Users means any system user s other than System User who also hashave executed an eG ANS Processing Agreement with FIA Tech Payment Summary Repo means the electronic report posted online via eGATNS thal summarizes the System User s dehits and credits related to the applicable Give Lip Avreement Fees for the current month Processing Schedule means the eG ATFNS process sel forth m Exhibit B hereto or as otherwise set forth herein which may be amended by FLA Tech irom ume to time in accordance with the terms of this Agreement System User means the ently who exccutes this Agreement with FIA Tech and any Authorized Arhhatets eluding any authorized employeets or designec s thereof notwithstanding the foregoing for the purposes of Sections 6 Representations and Warranties 9 indemnification and 10th Fermination the tenn System User shall net refer lo or include a System User s employee hvstem
42. true accurate and complete in every imatenal respect FEA Pech wilh be entitled to rely conclusively upon any request instruction or document furnished to FLA Tech or any action taken on by System User s emplovee s designee s or Attiliate s in connection with this Agreement as though such request instruction or document was piven or such action was taken by the System User and His wholly bound to perform the obligauons incurred on its behalf by any af is employee s designee s or Affiliate s under this Agrecment and responsible and hable for any aud all actions or failures to act by its 11 BATHE DEER Age ey cs ud CIE employee s destenee s and Affiiiate s on eGATNS and under this Agreement Limation on Kepresentation and Warranties EXCEPT AS EXPLICITLY SET FORTH HEREIN FLA TECH MAKES NO REPRESENTATION OR WARRANTY OF ANY KIND EITHER EXPRESSED OR IMPLIED INCLUDING ANY WARRANTY OF MERCHANTABILITY GR OF FITXESS FOR ANY PARTICULAR PURPOSE Limitation nf T iabilitv Bid Sb Sce IN NO EVENTI SALL EITHER PARTY BE LIARLE TO THE OTHER PARTY POR LOST PROFITS OST CONTRACTS LOST REVENUE LOSS Gl UST BUSINESS STEER PTION 1 35 GF DATA COST OF COVER GR ANY OTHER COSShOLLNTLAL SPECIAL PLESITIVE EXEMPLARY TNOTDRN TAD GR INDIRECT DAMAGES OR LOSSES ARISING OLT OF OR IN CONNECTION WITTE THIS AGREEMENT GR THE SUBJECT MATDIER HEREOP REGARDLESS OF THE FORM OF ACTION WHETHER BASED ON STATE TE GE
43. tune TEE ONLY Sec Des jue COTE Er Se ees eco icy cbe panig at ongbe Fruit as A inre S grat r on gach page of ins document or fady correo 2 6 T s Aces e ener ard iT 5 grat re SEOL or m ies page DEL te EDA WI Proocoscg Asmecatt ga TD tas Exhibit B Authorized Affiliates Authorized Affilate Address AMM uu ss es sese Title Telephones NENNEN MEME Facsimile S Emat Address NEN Authorized Aliate Auldress _ MEME LLL At 2 _ Tile oan a a NEN Facsimile o susc MM Email Address O ees Orcas Agripo eet dy PE FOS Exhihit FLA Tech Bank and Give Cp Agreement Fee Accounts L For the purposes of this Agreement with respect lo FIA Tech Bank means JPMorgan Chase Bank A FEA Lech is authonzed and instructed by System User te deposit and maintain the Give Up Agreement Fees debited during any applicable Float Period in the follwing GUA Accounts a inicrest bcaring currency accounts held by FIA Tech at JPMorgan Chase Bank N A in London and New York for each applicable currency and AAA rated money market funds aa at m H SERIN Tereki Tg EES 29 22 7022 Ex tbit D CAES Processing Schedule as of j Max 1 2068 1 BUSINESS Month end accounting completed for the prior DAY OF EACH calendar month CALENDAR MONTH Day 1 Hh BUSINESS 5 06 p m
44. 00014 Payment End of Month Report for Executing Participants Payment End of Month Report for Carry Participants GNS00015P Payment End of Cycle Report for Executing Participants Prelim GNS00015F Payment End of Cycle Report for Executing Participants Final GNS00016P Payment End of Cycle Report for Carry Participants Prelim GNS00016F Payment End of Cycle Report for Carry Participants Final GNS00017 GNS00018 GNS00019 GNS00020 GNS00021 GNS00022 GNS00023 Rate Set Daily Report for Executing Participants Rate Set Daily Report for Carry Participants Rate Set Differences Daily Report for Executing Participants Rate Set Differences Daily Report for Carry Participants Rate Set Differences End of Month Report for Executing Participants Rate Set Differences End of Month Report for Carry Participants Rate Set Differences End of Cycle Report for Executing Participants Prelim GNS00023F Rate Set Differences End of Cycle Report for Executing Participants Final GNS00024P Rate Set Differences End of Cycle Report for Carry Participants Prelim GNS00024F Rate Set Differences End of Cycle Report for Carry Participants Final GNS00025 GNS00029 GNS00030 GNS00031 GNS00032 Only GNS00033 GNS00034 Prelim Daily Audit Report Summary of Payment by Billing Participant for All Participants Summary of Payment by Billing Participant Only Summary of Payment by Billing Participant Rerun Production Participants O
45. 1 the Indemmfizd Party shall have the right but not the obligation to contest defend and litigate with counsel of its own selection any third party Claim alleged or asserted agamst the Indemnified Party in respect ol resulting from related 10 or arismg out of any matter for which I is entitled to be Indemnified hercunder and the reasonable costs and expenses thereof shall be subject 10 the indemnification obligations of the Indemnifying Party hereunder FE No Indemnifying Party shall be entitled to settle or compromise any such clatm suit action or proceeding as the case may he without the prior written consent of the Indemnified Party which consent shall not be unreasonably withheld 10 Suspension l ermination Na Suspension of Service FEA Tech may in its sole discretion at any ime with or withoul notice to System User suspend limit discontinuc or modify i eGATNS or any part thereof or 11 access by System Liser to AIRS Without limiting the foregoing if co mmercialiv reasonable under the then prevailing circumstances FLA Tech shall give System User notice of any suspension limitation change or drscontmuance of cGATXS or System User s access thereto l b Termination libi FIA Tech Termination This Agreement may be terminated by FLA Tech at any timc for any reason upon at least thirty 30 caleudar days prior written notice to System User and such tennination will be effective upon the date set forth in the termina
46. A Add e C Change e E Error unlinked trade due to missing rate e R Rejected e X Delete 4 2 Trade Reversal Eurex Eurex does not have a trade reversal system for processing trades taken up in error To reverse the misallocated take up the clearing firm simply initiates a give up to the originating firm executing firm through the Eurex give up system Upon receipt of the give up from the misallocated clearing firm the executing firm would give up the trade to the correct clearing firm Each leg of the give up process three legs total presuming each entity is an eGAINS participant will appear on the end of day eGAINS trade file If all parties agree via joint conference call the Exchange allows the clearing firm of the misallocated trade to redirect or give the trade directly to the clearer thereby bypassing the give back to the originating executor For trades yet to be yet to be taken up by the clearing firm the executing firm has the ability to cancel or delete the unclaimed transactions and re initiate the give out as desired However at the end of the day all unclaimed trades are cancelled and the position remains with the executing firm With respect to busted or deleted trades exchange procedures require counterparties to the trade to communicate misclears to the exchange within 30 minutes of execution All trades 30 minutes after execution are good trades Busted give up trades are also reversed but will remain in the e
47. A Technology Services Inc 2001 Pennsylvania Ave N W Washington DC 20006 Data Specification The Licensed Data concerns allocations by one member to another member or claimed from one member by another member in relation to business executed on the Exchange s market s and subject to the Exchange s rules and procedures 4 1 1 Commodity File GNCMDTY EXCHANGE Y YY YMMDD File Description This offload file will contain details of the commodity information Fixed Length ASCII Expected Number of Varies by exchange Records Checksum Field RR EUR Primary Key EXCH CODE CMDTY CODE EXCH CODE ur system Exchange ID 2 CMDIYCOE CHARS 5 3 CMDIYNAME CHARj30 jo 2222 ee a a an ef otal fo HN MEN QN 4 1 2 Firm File Expected Number of Varies by exchange Records Checksum Field Primary Key FIRM EXCHANGE CODE FIRM CODE CODE 2 FRM COE X CHAR 5 5 3 FIRR NAME CHAR SO0 I10 a 4 1 3 User File GNFRMUSER YYYYMMDD File Description This offload file contains details of the exchange firm and user Ad Hoc Not required from Exchanges Fixed Length ASCII Expected Number of Varies by exchange Records Checksum Field Primary Key EXCHANGE CODE FIRM ID USER ID EXCHANGE CODE CHAR S HRM COE CHARS 5 USER ID 8 do ACCESS
48. AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency TRY Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M gt if known or 3 Party Acct ae gt S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN
49. ARISING IS CONTRACT COMMON LAW OR TORT INTELEG NEGLIGENCE AND BREACH OF DUTY AND REGARDLESS OF WHETHER SUCH PARTY HAS REASON TO KNOW OR IN FACT KNOWS OF THE POSSIBILITY THEREOF FIA TECH AND THE EXCHANGES MAKE NO WARRANTIES REGARDING AND HAVE NO LIABILI PY FOR ANY CLAIMS ARISING FROM ANY INACCURATE GR UERROXECGUS TRADE DATA USED EY EGAINS OR EGUS OR THE LACK Gl SUPRICIENT TRADE DATA NECESSARY TO OPERATE EOGAENS IN ANY MANNER FLA FECE SHALI NOT BE LIABLE TO SYSTEM USER OR ANY DHIRD PARTMY FOR ANY TERMINATION DISCCEN TINLANCE OR INTERRUPTION OF SYSTENXIUSER ACCESS TO ECADNS IN BU EVEN SITALI FEA TECH BE LIABLE TO SYSTEM USER FOR ANY DAMAGES CLAIMS LOSSES LIABILITIES JL DOMENTS AWARDS FIXES PENALTIES COSTS OR EXPENSES INCLUDING REASONABLE ATTORNEYS FEES AND DISBURSEMENTS AS A RESULT OF FLA TECH DEPOSITING GiViE LP AGREEMENT FEES N ACCORDANCE WITH SECTION Ab INCLUDING WITHOUT LIMITATION IF THE GUAT ACCOUNT FESSIITUPFRNIS DECLARED BANKRUPT GR INSOLVLNT SYSTEM USER ACKNOWLEDOELS AND AGREES THAT THE EXCHANGES AND FIA TECH AND THEIR RESPECTIVE AGENTS SUPPLIERS AFFILIATES EMPLOYEES MEMBERS REPRESENTATIVES CON FEAL TORS OFFICERS AND DIRECTORS SHALL NOT BE LIABLE LUNDER ANY CIRCLMSTANCES WIATSOERVER TO SYSTEM USER FOR ANY DAMAGLS CLAIMS LOSSES LIABILITIES JUDGMENTS 12 SOA R 2 Almere iy 22 3208 AWARDS FINES PENALTIES COSTS OR EXPENSES INCLUDING ATTORNEYS FEES AND DISBURSEMENIS AS A R
50. Account Name s Account Number s Bank Sort Code s UK Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspondent Bank Name s account not in country of currency Location s City Country Swift BIC or IBAN s Attach Copy of Form W 8BEN below if applicable CompanyName ft Bank Name s Beneficiary Bank Contact s Name Email Phone Location s City Country Bank Sort Code s UK Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspondent Bank Name s account not in country of currency Location s City Country Swift BIC or IBAN s Attach Copy of Form W 8BEN below if applicable SSS Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 27 FIA Technology Services Inc 202 466 5460 2001 Pennsylvania Avenue N W 202 296 3184 fax OF Suite 600 www futuresindustry org FATE CH Washington DC 20006 1823 Acknowledgement and Authorized Signature The bank account s listed in this document are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments which
51. BUM Sie Tes izy rd HE ore Paull yt nex e Iri sri M eB n T d BIT xiu en n Ag S vi art SrA E Aver Pao Barer mM 2e AROS S grer lll 12 EDEL prt n m 5 O A EDA ha PEST Mercere Jiy Y3 XE FE Techaalogy Seevieces Fic ne a uat 1 se az 7 E a J Yam dic 73 ta 587 i HEP 1 i tom L LE DpoW sn d t a amr T ori aT oer Due mt ry oc aa v HE Won II n mor na PI Selina ethos 0 il Cuius Jagi AcknQwladgarrent ard Ayunoerzec Sigratua THe ran noccusue sten oin dexznoY up mte iem gue ons FA Dun to des lu draws tor rnnt ex sgcgrrents amd ege eta wIivebeser 5 acc laos obs comedy sc Syste Leer nmpaeg Nee Ia pese prn WDE a Cu Cope AS pur Ainge fune 0 mE esr ate n Sean TEM D Wee pnr 2 Te ALS amp gra Dae MEME QQQ dA lIlllll l HBIIMMMMMM NM 3 PE nd 1 aA TL 5 mec ear yr i5 1A TO Li eee Tus yOu for FA TIE tay Maal los footw be used Dy RA Taco ces your SAM panang ioie Hesse gormeye 9 152 BBTA Gane an ig Fer Fu r ELH PIL a c ry i CAT HI IE 3 witty il na Tecta Semvces EBD Deu auge deo on ph PEET Poe px ee OD 1841 Tre sdp mous Bich of Pe T Cuneo ces aage at he ponen GA RE TA Tech wT be paced ortos set s of ese Doroniy Aconarts 35
52. C REJ Trade Date mmdEwyyv EXCH Firm ID amp occount EXCH Firm ih Account eC chee s EDO Fr fwi haw 5 iy RCL eer 5 1 2 a Tradas par page x 1 5 Scrolling to the right via the eGAINS screen the Bill To participant may add a comment regarding the reason for the reject gt gt Reason A A EL MOS h i J Arg err Paleo rel Hunni fc tao L CHj SPLA 1 j Trada Date Fearing 9 a E F Cc amp cocuni COM T amp Drda Humba RI in m ane xecuting Participant Carry r Sint eee amp Trades per page 10 ES H 36 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 6 Add reject reason to the pop up window Select SUBMIT e FR Lf LEES In Expl gt IE d are sya wer Les PLEASE ADVISE 7 When the Executing firm searches their record by Rejected status gt gt Review gt gt Trade Review Correction the rejected trade and detailed message appears T i hm 2 a y a E 2 i E Henn Acton MEO rete TET Nj mue O cory REED Review Trade Review Carraetion Bi O Contact Bate Ci TT Cancer Burnber RI 1 Immy F int xncubng Fall Ta Participi Carry Account COM ec 8 2
53. Clearing Broker tn any applicable month System User as Clearing Broker releases ail claims and title to the applicable Debit Amount as of the applicable Debit Date For the avoidance of doubt nothing herein shall prohibit System User from resolving any mistake or otherwise making any adjustment with respect lo any prior or current applicable Credit or Debit Amounts s permitted by this Agreement or engaging in a vood faith system User Dispute with any Other System User s with regard to any appticable Credit or Debit Ameuntts tbh viii ppomiment of FLA Fech as Custodian For the term ol this Agreement System User hereby constitutes and appoints FIA Tech as System User s agent and true and lawful attomey in fact with the full itrevacable power and authority to act in the name place and stead of System User in FLA Tech s discretion for the purpose of collecting holding transferring and taki any and all other action with respect to the System User s funds held by FLA Tech as custodian for System User pursuant to this Agreement and solely for the purposes of Tul filling FLA Tech s obligations hereunder System User agrees that the applicable Give Lp Agreement lees will be retained by FIA Tech as custodian and held and administered for and on behalf of eG ATNS Executing Parties for the duration of cach applicable Float Period System User acknowledges and agrees that FLA Tech as custodian is an agent and bailee only and ja not intended to
54. Customer or client may authorize another party to place orders on its behalf the Customer is always a party to the give up agreement eRate Schedule A set of rates that can be defined and saved in EGUS using the Maintain Rate Schedule Library option In EGUS users define rates using a structure of Exchange Product Type and Product and or set up blanket rate schedules for all Exchanges selected Exchanges and selected Product Types for an Exchange Executing Broker The party that executes trades on a futures exchange pursuant to orders received from the Customer Trader or another authorized agent of the Customer The positions ultimately are given up to the Customer s account maintained by the Clearing Broker Give Out The process of transferring a trade from one exchange member firm to another whereby one member performs the execution and the other member performs the clearing maintains the account on behalf of the customer Institution An entity or organization with associated parties and contacts in EGUS Party A Broker Trader or Customer organization that can be added to an EGUS Agreement Each party is associated with an institution This term is equivalent to counterparty on a Give Up Agreement Take Up The process of the clearing member accepting trades traded by an execution entity on behalf of a Customer Trader The party to whom the Customer has given authority to place orders on its behalf with Execu
55. ESULT OF FIA TECH BAILING TO NOTIFY OR AS A KESLI T OF PROVIDING INCORRECT OR PARTIAL NCHFVIFICATICEN TO SYSTEM USER S BANK OF ANY MATTER REA TISL TO OBLIGA FIG S DILBITS OR CREDITS OR ANY INCORRECT CALCULATIONS OR ANY MISTAKES ERRORS GE COMISSIONS EY TIA TECI RELATED TO THE DEBIT OR CREDIT EN TRIES EXCEPT 10 THE EXTENT ARISING FROM FRAUD GROSS SEGLIGENCE OR WILLUCGL MISCONDUCT BY FLA TECI SD LIA TECI S TOTAL LIABILITY TO THE SYSTEM USER RESULTING FROM THIS AGREEMENT SHALL GE LIMITED TO THE TOTAL DOLLAR AMOUNT OF THE LESSER Ob D USD 10 000 OR I7 SYSTEM USER S ACCOLNT IS HELD IN ANY COUNTRY OTHER THAN THE UNITED STATES OR TN ANY CURRENCY OTHER THAN USD THE EQUIVALENT THEREON AS REASONABLY DETERMINED BY FLA TECH AND 0D THE SYSTEM USERS FLOAT PAYMENT PERCENTAGE EARNED ON THE GIN E L P AGREEMENT FEES PAID TO OR BY SYSTEM USER VIA IG IN THE SIX 4 MONTHS IMMEDIATELY PRECEDING THE DETERMINATION OF THE SYSTEM USER S FLOAT PAYMENT PERCENTAGE AS REASONABLY DETERMINED BY TIA TECH 9 Indemnification Ha The System Elser hereby indemnifies defends and holds hannless FIA Tech and ns Affiliates and their respective members officers directors employees contractors legal representatives and agents from any and all third party Claims to the extent arising directly out ef 1 any breach of or any false or misleading representa on under or failure to perform any covenant or obligation under this Agreement by System Lser or
56. GAINS file as give out cancels To reverse the misallocated take up on T 1 the clearing firm would simply initiate a give up to the originating firm executing firm The T 1 give up will contain the process date T 1 or current date 32 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH ren and the original trade date T Upon receipt of the give up from the misallocated clearing firm the executing firm would give up the trade to the correct clearing firm The end of day eGAINS trade file will include both legs of the as of give up The original leg was received on trade date Give ups are also possible on 1 2 after initiating a Eurex HITT Historical Trade Transfer 4 3 Trade Reversal ICE ICE like Liffe uses the Trade Registration System TRS for processing trades That said ICE does not have a trade reversal system for processing trades taken up in error In the event of a misallocation the firm s must notify exchange officials providing the trade details as well as requesting a trade reversal The exchange confirms the request with all counterparties and changes the trade status from allocated to unallocated Since the reversal and re allocation occurred on trade date the exchange provides only the execution and clearing entry on the eGAINS trade file The misallocated give out is not included in the end of day trade file Give outs yet to be taken up by the c
57. ID provides user access to view or update the give up trade records Participant IDs are based on exchange clearing relationships and the maximum number of IDs is contingent on the number of firm mnemonics at the exchange For instance if an institution has two clearing firm affiliates at any respective exchange s eGAINS may create two user IDs Even though eGAINS can create distinct IDs per relationship it is not necessary to create an ID per relationship since the institution may want to group all trade activity under one ID In other words parent firms may segregate eGAINS Participant IDs to the extent they receive exchange trade data for multiple firms or affiliates see below illustrations The ID and firm relationship set ups are established via FIA Tech s eGAINS Participant User Set Up form the form can be found on the FIA web site http www futuresindustry org onboarding documentation asp FCMs and Associated Clearing Organizations ux LEFFE EL X Acker ACE BC E qu AC 1 GPE insi Deep Ae EE Pee eT E TT EE j my F er Ems A F uas f gum la ay Pariz queers Dash GAINS PARTICIPANTS One to One Relationship FCMs and Associated Clearing Organizations E f rm JLOE fae ear HR Fariq i Parte gee DEus s sar GAINS PARTICIPANTS Many to One Relationship 9 of 43 Confidential Copyright 2008 FIA and Markit Group Limited Al
58. RSL IND Reversal indicator CHAR 2 SELL 1 O OPEN C CLOSE Values are in a TRAN SOURCE CODE Master Table m m BLANK Non ORDER NUM CHAR EFIRM CODE Executing Firm ID CHAR 19 20 i l NUM Participant Acct No 23 Reversal Trade CFIRM EXCH Carry articipant CHAR Exchange Code CFIRM CODE Carry Firm ID CHAR 106 id ae BR RD NUM Account Number rmm D EL ACCNT NUM 26 FILLER CHAR 9 141 SPACES EE LL Lodo o Tol 0 Letterhead of System User FORM OF SYSTEM USER INSTRUCTIONS amp CONSENT LIFFE DATE Re Instructions to Liffe to Send User Data to FIA Technology Services Inc Dear Sirs As you may know the undersigned and or its affiliate System User and FIA Technology Services Inc FIA Tech will be entering into an eGAINS Processing Agreement Processing Agreement pursuant to which FIA Tech will calculate and initiate debit and credit entries to System User s account to effect payment of fees relating to give up execution services using the Give up Automated Invoicing System the eGAINS System in connection with transactions occurring on the London market of Liffe including Bclear the Exchange The Exchange maintains the data relating to System User s business and or Give Up obligations arising in each case from activity on the Exchange s markets System User Data The initial proposed System User Data requirement is d
59. SL IND Reversal indicator adi IL R NEN Trade BLANK Non Trade 19 ORDE NUM CHAR EFIRM CODE Executing Firm ID CHAR 81 1 2 EFIRM ACCNT Executing CHAR NUM Participant Acct No 22 CFIRM EXCH Carry Participant CHAR 5 101 Exchange Code 23 CFIRM CODE CamyFirmlD CHAR 5 106 24 CFIRM ACCNT Carry participant CHAR 15 111 NUM Account Number E e ros ACCNT NUM 26 FILLER CHAR 9 141 SPACES WEN TUN KNEE Lodo slo ots so WDC 99 1554184 3 022983 0026 FIA Technology Services Inc 202 466 5460 2001 Pennsylvania Avenue N W 202 296 3184 fax rl Suite 600 www futuresindustry org Washington DC 20006 1823 eGAINS PARTICIPANT Banking Set Up Information EXHIBIT A Thank you for participating in eGAINS This form will be used by FIA Tech to create your eGAINS banking profile Please complete the shaded areas and forward the completed form to Courtney Ragar FIA Technology Services email cragar futuresindustry org ph 202 772 3000 fax 202 296 3184 There is a section for each of the 11 Currencies available at the launch of eGAINS FIA Tech will be charged for the set up of these Currency Accounts so please complete ONLY the sections that correspond to Currencies your firm will be using at launch Provide an Authorized Signature on each page of this document and fully complete the Acknowledgement and Authorized Signature section on th
60. Section 3 c shall be deemed to constitute acceptance such modifications and to signify Svstem User s acceptance of and agreement to such Interest Rate and or fec adjustments Taxes AA System User Taxes All Cave Up Agreement Fees Interest Amounts and any other charges or fees hereunder are exclusive of Taxes System L ser shall be solely responsible for all Taxes and shali pay FLA Tech within five 53 Business Days of demand any amount er cost that FLA Fech incurs in relation to any and all Taxes payable in respect of which arise out of or are meurred in connection with this Agreement or FIA Tech s perfomiance of its obligations hereunder If System User is obligated to pay FLA Tech for any Taxes pursuant ta this Section Ha FLA Tech upon reasonable request by System User will promptly provide capies lo System ser of any documents received or provided by FLA Tech from or to the applicable tax authority respectively related to such System User Taxes Ll 4b Withholding Nob iistanding the foregoing in the event that PLA Tech reasonably determines that System User has received any income from which United States income tax withholding 1 required 0 if Systeni User is an Executing Party durme any applicable period FIA Tech reserves the right to deduct any such withholding from the Give LUp Agreement Fees due lo System Loser during any Float Period tac purposes of satisfying United States wihhelding obligations and 1 if System U
61. System User s employees designees or Affiliates 1 auy violation of applicable law regalation or order by System User or System User s employees designees or Alfiliates un FIA Tech s payment of any Taxes duc irom the System 1 ser but paid by FIA Tech on System User s behalf 1v any claim or action by any Other System User related to System User s or system Liser s employees designees or Alfilates actis or omissions under this Agreement or any Give Up Agreement or eGATXS or v any action taken with respect to the funds deposited m System User s Account or GUAF Account s during the Float Period or any agreement between the Bank System Liser and or FIA Tech except to the extent arising from fraud gross negligence or willful misconduct by CLA Tech as determmed by a non appealable order of a cort ot competent Jurisdiction WD PLA Tech hereby mdemnifies defends and holds harmless the System User and ts Affiliates and their respective officers directors employees contractors legal Fi DITS SS Proceed Aare Jon 3 285 representatives and agents Trott any and all third party Claims to the extent arising directly out of 1 any breach of or any false or misleading representation under or failure to perform any covenant or obligaron under this Agreement by TIA Tech or ir any violation of applicable law regulation or order by FLA Tech provided however that with respect to any claim caused by or the responsibilit
62. User Apreement means the system user agreement between System User and PIA Tech System User Dispute means any dispute claim action or proceeding between System User and any Other System User arising under or in connection with this Agreement any CRher System User IANS Processing Agreement or GAINS system Ler l laat Payment Percentage means the monetary amount equal lo the percentage ot the applicable Float Paymunt s attributable only to System User s payment and any receipt as the case may be of its Give Up Agrcement Fees via eGAINS during the applicabie Float Period s Taxes means all nauenal iederal state municipal and other governmental excise sales use customs stamp revistration value added or other taxes fees levies or duties or other charges or withholdings of a similar nature af any country whether imposed direcily or indirectly now in force or enacted in the future including any interest additions to Taxes er penalties applicable thereto excluding taxes based on the income af FIA Tech Trade Data means the wade data used by FIA Tech to facilitate the calculation of payments ty et AIDS or otherwise for use tn connection with cGAINS or EGUS EGANI Pegen Agree et o y v3 FE LSD means Uniled States Dollars i cOsAINS Process and System Lser Authorizaiions FLA Tech aprees to ctfect pursuant to GLANS the payment and debit of Give Up Agreement Pees owed by or payable to the
63. amp BED a axVE Cu a 43 3 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com Y a rk FIATECH eGAINS Training Guide Chapter 1 eGAINS Welcome to the FIA Tech Electronic Give Up Automated Inventory System eGAINS This section defines eGAINS terminology provides a systems overview outlines eGAINS functions reviews participant set ups and details steps necessary to sign on to the eGAINS system 1 1 Overview The Futures Industry Association FIA spent the last three years helping the listed derivatives industry address inefficiencies in the give up process In February 2007 FIA launched EGUS an electronic system to execute give up agreements Concurrently FIA has been working with the Futures and Options Association to put a system in place to manage give up payments between executing and clearing brokers U S exchanges and clearing organizations have developed proprietary systems to automate their billing process and manage the clearing member firms payables and receivables i e GAINS The FIA European Chapter worked for over a decade to get a similar system in place for the European markets Attempts to launch a similar system for the European markets were unsuccessful because the exchanges did not want to share their data with competing clearinghouses To solve this dilemma the FIA agreed to license GAINS from The Clearing Corporation CCorp and enlist the services of an i
64. ansmission Yes No Address SWIFT Address Start Date Executing bank only Executing bank only Reporting SWIFT MT940 detailed end of day a MT942 detailed intraday Message Type Tick appropriate boxes MTo50 summary end of day _ MT900 910 Debit Credit _ Confirmations Electronic Account Formats Currency Account No Executing bank Account No Executing bank use only use only Per Field 50H of MT101 or Per Field 25 of MT940 MT950 Field 50 53B of MT103 MT942 MT900 MT910 Authorised Bank Signature Name Title Date Title Designated Account Sheet Page 2 of 2 Version 15 Issued June 2005 eGAINS Processing Schedule January 2009 d 1 BUSINESS DAY OF EACH CALENDAR MONTH 2 January 7th BUSINESS DAY OF EACH CALENDAR MONTH 12 January 15 BUSINESS DAY OF EACH CALENDAR MONTH 22 January 16TH BUSINESS DAY OF EACH CALENDAR MONTH 23 January 17 BUSINESS DAY OF EACH CALENDAR MONTH 26 January LAST BUSINESS DAY OF THE FLOAT PERIOD 21 April LAST BUSINESS DAY OF EACH CALENDAR MONTH 30 January Month end accounting completed for the prior calendar month Preliminary month end reports available Daily reports begin for current month 8 00 p m Eastern Prevailing Time deadline for Executing Party to make corrections and adjustments to data within eGAINS 8 00 p m Eastern Prevailing Time deadline for Clearing Broker s to ac
65. ar eipam D CCORP Role Executing O Carry fugreament s Agreemant List Search Criteria gung br F ME BIN S n Saa rion RT Dea ro cred Agreement Type feccomoones INN Nu Result Agreement K t F El raPesrecipant Agneta Dade Agreement yf Luct mer Bel m Bc twwn L p x eccomcomesumreo for uesemme o macamtanem Jee Agrenmanis per page wx ni 22 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 3 4 4 Add Accounts to an Agreement standalone processing To add accounts to an agreement Recall or access the agreement and select ACCOUNT 1 Loge d Acn eer Blgrstment Hine fAgreament s Agreement Lists Ea Copyright 200 7 Log cary Change amp Hirel eww Acton Partizipans ID CCORP ed ree uad Carry Account Account OF TAK Bill To Pastcipani Carry ExclsarsgeTirm e uN 1 PH ML C C e n M Mime Accounts Bap To Partien Carry Excharagetirm Carry Account Accounts ger gage TU gt 23 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui In the gt gt Account Information section input the account details and select SUBMIT e Bill To Participant drop down menu provides a list of
66. art of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency NOK Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M gt if known or 3 Party Acct ae gt S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No
67. by the undersigned to use the Services on System User s behalf including authorized employees designees agents or affiliates System User represents that this Agreement constitutes a valid and legally binding obligation enforceable in accordance with all of its terms signature This Agreement is executed by System User s duly authorized signatory below Printed name of System User insert corporate entity s full name Name of authorized signatory Title of authorized signatory Email address Signature Date II Administrator Details System User hereby appoints the person named below as its administrator for the purpose of administering System User s access to the Service Administrator System User represents that the Administrator has the internal authority to give access to the Service to only those individuals authorized by System User System User agrees that the Administrator is solely responsible for controlling and monitoring the use of passwords and that the Administrator will keep such information current The System User acknowledges and agrees that it will be bound by any actions taken through the use of passwords issued to it including the execution of GUAs whether or not such actions were authorized unless solely through the gross negligence or willful misconduct of the FIA Administrator Name Address Telephone Fax E mail Billing Contact the following is System User s billing contact information Name Ad
68. cept amended data or reject the information in eGAINS Data not in a rejected status on eGAINS at this time is deemed accepted by the applicable Clearing Broker s FIA Tech enters debit instructions with the applicable Bank s On eGAINS System User will have access to end of cycle Payment Summary Report that reflects final payment amounts including any adjustments made during the payment review period and debits and credits for the current month Clearing Brokers accounts are debited This represents the first day of the Float Period Final reports and data files available via eGAINS Executing Parties accounts are credited Last day for System User to submit or change Exhibit A banking information By written notice to FIA Tech eGAINS Processing Schedule SS February 2009 1 BUSINESS DAY OF EACH CALENDAR MONTH 2 February 7th BUSINESS DAY OF EACH CALENDAR MONTH 10 February 15 BUSINESS DAY OF EACH CALENDAR MONTH 20 February 16TH BUSINESS DAY OF EACH CALENDAR MONTH 23 February 17 BUSINESS DAY OF EACH CALENDAR MONTH 24 February LAST BUSINESS DAY OF THE FLOAT PERIOD 21 May LAST BUSINESS DAY OF EACH CALENDAR MONTH 27 February Month end accounting completed for the prior calendar month Preliminary month end reports available Daily reports begin for current month 8 00 p m Eastern Prevailing Time deadline for Executing Party to make corrections
69. ch Confidentiality lach Party shall protect any Confidential Information af the other Party and of any other person usme CAINS from unauthorized disclosure or use using at least the same level l care as it uses to protect its own Confidential Information Confidential Information may fot be used or disclosed by the recipient other than as reasonably necessary to perform under this Agreement or as authorized in writing by the disclosing Party Nothing herem shall prohibit disclosure by a Party of any information that is a evidenced to be generally available te the public or the recipient other than through a breach hereunder tb properly in the recipient s possessron prior to receipt hereunder c independently devetoped by the recipient without reference 10 the Confidential Information of the other Party d to an Affiliate successor or any potential permitted assigned 1n connection wrth an assignment pennissible under Section 7 fe required to be disclosed under applicable law revulation government court order or this Agreement or P reasonably requested by any eovernmental or regulatory authority having junsdichon over this Agreement or a Party Notwohstanding the foregoing FIA Tech is permited v to disclose the identity of any System User excluding details of specific system User personnel and fz to disclose or permn access ta System L ser s or ag T i ELAINE POIDS UD Agamer iv Z EDL i 4 ES necessary an
70. ch update or amendment Please regularly check the Markit website to obtain the current version of this manual Any download or distribution of data from the Markit website is subject to restrictions on the use thereof as set forth in the Data Services Agreement entered into between Markit and the client institution through which you were provided a username and password Access to the website is expressly conditioned upon the compliance by each user with the restrictions terms and conditions set forth in its client institution Data Service Agreement It is the responsibility of each user to be familiar with the restrictions terms and conditions contained in the Data Services Agreement 2 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH BED Table of Contents Sur ME C S 4 MEG a mrt H 4 L2 NRIOL OGY a E r c a 4 Aco Navigating Me DOCUMEN dace saam cod a TU din Romei duet Ro non od Pep Gn UR Ud RUN TRU RR Dd 5 JE MB Uncle AO EET 5 15 EGUS Participant Sel UD 6 1 6 eGAINS Participant Set Up sss 9 nnn nana nnn nana nans 10 Chapter 2 Data Mapping EGUS to eGAINS 10 660006600 5 Electronic
71. chnology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 SAMPLE m JPMorganChase 4 V 1 0 01 23 08 Drawdown amp Direct Debit Transfer Authorization Service Terms JPMORGAN CHASE BANK N A Against JPMorgan Chase Bank N A Authorization The Customer has authorized a sending bank the Representative identified to JPMorgan Chase Bank N A the Bank on a Drawdown and Direct Debit Transfer Request Form Request Form to issue instructions payment orders to transfer funds from the Customer s account at the Bank to the account of the Customer or third party at i the Representative or ii at another financial institution in accordance with the information set forth on the Request Form The Customer represents and warrants that this authorization has been duly approved by its board of directors or by an officer or officers to whom the requisite authority has be
72. d such Executing Parry shall have no claim or recourse against FLA Tech for such Debit Amount Ca wit chit Failures In the event the Account s of System L ser or any Other System User as applicable cannot be debited for the full amount owed en the Debit Date FLA Tech may CA delay the Debit Bate for all System Users and or adjust amounts as long as reasonably necessary and mstead debit any or all Clearing Brokers on a later date provided that FIA Tech will provide notice to System User of the delay only if the Debut Date is delayed for more than two 2 Business Days B remove the Trade Data regarding such System User s Give Up Agreement Fees or the applicable calendar month from the eGAVNS calculation and recalculate Give Lp Agreement Fees owed by or payable to alf remaining System Users andar C take any ether remedial action FIA Tech in its reasonable discretion deems necessary If System User s grvc up transactions are removed from the calculations of eGATNS for calendar month pursuant to this Section Ala System L ser will not be permitted to continue participate in eGAINS in subsequent months unless CLA Tech determines in its sale discretion that System User has deposited and maintamed sufficient funds in its Account io pay any Debi Amounts as required hereunder and due in prior current and or subsequent calendar mantis as applicable System User aprees to pay all Bank fees and costs Including afl reasonable atom
73. d all Grve Up Agreement Fees held by FIA Tech as agent and custodian during a Float Period on behalf of any Fxeceting Parties owed Credit Amounts during such Float Period apamst and on account of obligations or amounts due hereunder by the same such Exccuting Party es to FIA Tech or any of FLA Tech s Affiliates under this Agreement or any other agreements instruments or undertakings between the applicable Executing Party and FLA Tech or any of FIA Tech s Alfifiates whether such obligations arc xcd contingent matured or unmatured FIA Tech shall give the System User i System User is the applicable Exccuting Party notice ol any applicable set off pursuant to this Section IIIb as spon s practicable thereafter provided however mat failure 10 give such notice shall not affect the validity of the set alf nor be decmed to be a breach of this Agreement AIRS gies ng green Jei 23 2508 12 13 Governiug Law Arbitration Jury trial Watver This Agreement shall be construed n accordance with and vovemed by the laws of the State of New York without regard to the laws that Mil be applicable under conflicts of laws principles other than Scceron 3 144 of the New York General Obligations Law Any dispute arme oul of or relating to this Agreement or the breach termination or validity thereof shall be adjudicated by arbitration in accordance with the international Institute for Conflict Prevention and Resolution Rules for Non Administe
74. d ripae 264 MS nas TEMS wockeer g agn zab ede che FET S5 AL ite Signar un ort ea Authovized Sin e 0 EMEN m im BASE piri H 2 BOAT Promotes emesmert sov TA TTD PEA Technolgy Services inc F 1a 0a tat al of a cow D un H a ntu Lr ga Te hix SUNAT tesi i nS ZUM re na al hayi clear 3 aire oy EUR Burs TA Name I D Gott Date rap KE eT BIR iir LD CI PL EL 3 Peas Sorel Sey DIG or GAR isi AcE Tarr Sy ac ea Ti Bank Gur me i wig 1 nr Sarin 5 Agee ed Sa Forge a CE a CT i PTET ey anesan Aani Dare Nae acces rut n ecundy zt eure Lestat nni o7 vong Set BIC or IBAR s y Aarh mo st Son ASR voos ef antl NE LEP EC TE s USD US Dar oo maar iine Locator any i mm MM ank Mares onsiz ary Dank Concise Mere e a bore 1 Ue LU mna m pv Loc r TM 1 Sow AT o BANI at mm a ag he EE T RAMEE 7 TF a ALL E anbenie XE nk Tonic ADA Mercure 45 mec kak bz LK S AUDU TL Meer ar wir starred any Garis net prne LI ny i LEFT fC OTERO r Gave Nares aunt oe Logat omeiroty Courts Sot BG ct GANS d Push CIA od nT AGEN beue TU j a TELETA Y Ab heresy Pr T Ak Owe eet and Aytromzeg Sigrid S Tag bak aeccanls lalen abeu am tc be ured by EA Tech 1o oe re toin
75. ding agreement detail Therefore EGUS participants are required to add exchange and firm codes within EGUS as a prerequisite to eGAINS data integration To add the EGUS exchange and firm codes 1 In EGUS gt gt Admin gt gt Maintain Party gt gt Exchange Firm Codes gt gt Add select the appropriate exchange and input the firm code or mnemonic unique identifier assigned by the respective exchange corresponding to the exchange 0 zh EGUS Electronic Give Up Agreement System MicresofT Internet Explorer Lie EGR Wew Ferier Took Hels O DAA Paw yr O E D 9 145 9 3 ACER eri amp bli ie et core PR ri foa f Hn ie iret Corner Hee Admin tele Lego Details Parmeisions Em 5w Party imie Documentatrean Cond acts Parent Institution EGUS System Moniter 5 All Selected Documentation Contacts will display on Agreement Contact List for thiz Pety Party Nama EOUS Syalem Monier 5 7 F Active Al GER Documentation Contacts 8 Primary Contat Agreements Require 1 gt A nprowers Preferred initiator Warn other Parties when this Party prefere to initiate new Agreements This Party tradas an Italian Exchanges Send reminder for Transitory ECL Agreement upon executan Diling Oelels The details below will display on Agreement Contact List tor this Party Copy from Parent Irietitutian Billing Contacts Mailing Address Line 1 Al Selected Gilling Contacts will display
76. dit Dates will vary from month to month m ANA TG LEME cy Z2 IDE 2 bkv Accuracy af Data System User acknowledges and agrees that System User is solely responsible for ensuring the accuracy of ihe amounts to be debited and credited vta the applicable Bank or wire transfer system or information transmitted in accordance with Sect 2 a2 0 or otherwise in relation to Ws eG ATIS S Account and m the cvent of any inaceuracv in ils information or the applicable amounts debited or credited System User promptly will contact the relevant ther System User s directly to atlcmpl to resolve any such inaccuracy A b HI Dent and Credit Comecnons In the event any debits or credits to System User s Account on days not set forth in the Processing Schedule are decmed necessary by FLA Tech and or the applicable System User s each in its reasonable discretion System User authorizes FLA Lech directly or through a designee to initiate credit and or debit entries lo the Account s in the current or subsequent calendar month s A as set Forth m the Processing Schedule and Section Xia above B in the event ofa mistake error or omission relating io Debit or Credit Amounts by FIA Tech System Loser or any ether System User or third party and C m order to return or deduci Caive Up Aureement Fees as necessary based on recalculation of applicable Geb and Credit Amounts AY Clcaring Broker Release f System User is acting as a
77. dress Telephone Fax E mail Party Role please check all that apply O Executing Broker Li Clearing Broker Li Customer Li Trader I am a customer trader and wish to take advantage of the optional storage feature please note that there is a fee associated with this option Do you have staff located in Washington DC who will be using EGUS O yes Li NO January 18 2008
78. dustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency PY Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is p
79. e Beciki abe Expiration Dalle sese m Acco Description Eheu ig Accounts LP dd MMM yvw dd MMBM yry Account ID Descripbon m Addl Accounts 4 n E ig E k lu Hr ie an rar siari E m O0 E 2 Firceoft Cath NEIN I oore Po i TIETE E e dud Eg 14 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gu 4 The electronic rate file name appears in the Attached Rate Schedules and Executing Accounts section allowing the user to correlate the information Hide Rates suppresses Carry participant rate view J KAS Plectronie Give lip Agreemen System Micheal internet xnlarei E File dk Yew Fele Toch hH Oe O ff Pwo frm amp 83 LIE v3 Addes mihman mrkt comdexgs common Hain be Tago rae Are parari Anrracn HA iG Se hel a Copy the rate schedules from an existing agreement select rate schedule templates from your brary or upload as a POF file NOTE Becton rade processing amp supported only for rate eohedules creed im EGUE Ite not Supported for arrached POE rede schedule Copy from giring agreement d oR Select from your library and attach Fate Schedule 080208 5 m1 R Browse to select PDF fila and attach NOTE Page Onentaton must ba Portrait Bowe ad C Atloched Fate Schedules ond Executing Aecounis
80. e exercise of any other nghi Connter parts This Agreement may be executed in one or more counterparts by the duly authorized Officers of the Par es each of which shall constitute an original and all of which when taken together shall constitute one agreement Joint Efforts This Agreement shall be considered ior al purposes as prepared through the joint efforts ofthe Parties and shall not be construed against ane Party or the other s result of the preparation substitution submission or other event of negotiator draftine or execution hereof Headings Headings are used for reference purposes only and shall not be deemed a part of this Avrecment EIRA MI USC Agents 73 Fors Signature Page IN WITNESS WHEREOF the Partics have executed this GAINS Processing Agrecmen as ofthe Elfective Date FIA Technology Services ie Hy 5temnaturc NUTUS E Print or Type Titig Prim or Type Dat Liccuve Daig m a Boa FREE pa Aancement Joy 23 FES LES E g IS Y STEM USER the System User Print or Type Name of System User iv Sanature wame Prinl or Types Title Print or Type pate FIA Technulagy Services fac DB fuse 1 Poa all vi te ttes F EET D Socr ota uu 7 nit 5 0 3 beet tray F 3 a a V vEIVSQWA Ta M s EM an F D s J Mt Utm Dr MM un aL 7 1 eS F ARTICIPAMT Banking Set Up Information EESHIBIT A Thank vend Ste pantzudpelb oc eae BS 15 rT w ugar
81. e final page Are these your Initial or Revised Banking Instructions Initial Revised Are you acting as an Executing Firm Clearing Firm or Both please check the corresponding box Executing Clearing Both Currency Company Name Location City Country 11 Bank Name s Beneficiary Bank Contact s Name Emai Phone Location s City Country Swift BIC or IBAN 5 00 Account Name s fo Account Number s __ Bank Sort Code s UK ee Bank s Account Number with Intermediary Bank s account not in country of currency Pee Intermediary Correspondent Bank Name s account not in country of currency Cee Location s City County Swift BIC or BANS Attach Copy of Form W 8BEN below if applicable Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer Signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 22 FIA Technology Services Inc 2001 Pennsylvania Avenue N W 202 466 5460 Suite 600 202 296 3184 fax 0 Washington DC 20006 1823 www futuresindustry org Executing Clearing Both EUR Euro Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Location s
82. e notice information present on the imiial Exhibit F hereto 15 d Effective Notice Notice by hand delivery shall be effective on the day actually received and signed for apainst receipt thereof if received by 5 00 p m Eastern Prevailing Time on a Business Dav and otherwise shall be effective on the next Business Day Notice sent by overnight mail or courier shall be effective on the next Business Day after it was sent Amendments PHa Amendments to tr ENS FIA Tech reserves the right in us sole discretion and at any time to modify auzment acumen reformat reconttzoure or otherwise alter at any time the content structure er methods of transmission ef eG AINS Without limiting the foregoing 11 commercially reasonable wiler the hen preailmg circumstances FLA Tech shall gtve System User notices o any modification augmentation segmentation relormattmng reconfrguration or alteration of etCrAINS lob Amendments te amp greement FIA Tech reserves lhe Nehl in is commercially reasonable discretion to amend or modify this Agreement including any Exhibits and the Processing Schedule provided hal any amendments or modilicauions to this Agreement also will appiy to ali cA NS Processing Avreements bebween FLA Pech and all Other System Users FIA Tech shall provide System User with at least fourteen 14 calendar days prior electronic notice of material changes to ANS or this Agreement if commercially reasonable under the then prevailing
83. eadline 1st Bus Day Complete prior month accounting 7th Bus Day 8 p m EST Deadline for executing firm to correct adjust trades 15th Bus Day 8 p m EST Deadline for clearing firm to re accept or reject trades 16th Bus Day FIA Tech enters debits into banking system 17th Bus Day Clearing firms accounts are debited credit float begins Last Bus Day Deadline for firms to submit bank changes names locations accounts 60 Bus Day from debit End of float period variable 42 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH REN Chapter 7 Contact Us amp Help Markit Support For questions please contact Markit Client Relations by e Live instant help via Markit Connex or e Email at support markit com e Phone in North America at 1 877 7 Markit i e 1 877 762 7548 or in Europe at 31 0 20 502 5286 CCorp Support 312 786 5732 FIA Tech Support 202 772 3000 43 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com FIA Technology Services Inc 2001 Pennsylvania Ave NW 202 466 5460 suite 600 202 296 3184 fax T rl Washington DC 20006 1823 www futuresindustry org eGAINS PARTICIPANT User Set Up Information Thanks for participating in eGAINS This form will be used by FIA Tech to create your eGAINS user profile Please complete the shaded areas and forward the completed form to Courtn
84. ed Exchange estimates Records Checksum Field ee Primary Key SEN RECORD FILE TYPE CHAR HDR Header PROCESS DATE CHAR YYYY Ee aa NUMERIC 8 Ju EE ei pf otal 150 5 TRADE RECORD m He cce MRNA EXCH CODE Unique field for the CHAR exchange being processed Gino MMM a DATE Contract nan CHAR 13 Blank contract 15 only di mti YYYY digits OPTION TYPE unl il Futures C Call Option P Put Option CHAR CHAR 8 2 STRIKE PRICE D sc 8 TRADEPRICE di i YYYY T DATE DD PREMIUM AMOUNT CHAR CHAR 2 NUMERIC al 8 digits positive or 7 digits plus sign negative 999999 99999 IF trade is an OPTION then the field 1s the PREMIUM If trade 15 3 FUTURE the field 15 the NOTIONAL amount applicable to unit quantity NUMERIC I NIN AIN Oo TYPE E BUY E SELL cen EN CLOSE IND Open close I O OPEN e C CLOSE Values are in a TRAN SOURCE CODE Master a 16 TRAN SOURCE Trade source ETS CHAR CODE Floor etc M TRAN TYPE Trade MN MON EFP 18 RVRSL IND Reversal indicator adi IL R NEN Trade BLANK Non Trade 19 ORDE NUM CHAR EFIRM CODE Executing Firm ID CHAR 81 1 2 EFIRM ACCNT Executing CHAR NUM Participant Acct No 22 CFIRM EXCH Carry Participant CHAR 5 101 Exchange Code 23
85. ein Acton TET MET IET Agreament s Agreement List Edin Agreement T Rene Vow nan miri Ee TELE Execuiing Contact OHH DOE SLATE 2100 Hu H Gr Add dl Reset Recet eset Agreemeeed 001 added succes sTullg Cuslomer Address 19 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 3 4 2 Modify an Existing Agreement standalone processing To modify an existing agreement 1 Click in Agreement gt gt Agreement List and input the corresponding search field i e engen Ref ii to locate the 2 1 0 and select SEARCH bo fugreerrent mdgrstment Beview Acton drm Loge Participant iO CCORP M Mole P Executing Carry Agrenment Agreement List Areal Ref 8 N To Participant coe igi T ___ FREH Copyright 2001 2008 THE CLEARING CORPORA ighis m 2 To recall the agreement details select the notepad under gt gt Action fg ermal iment denen Acton drm MESSER Partisipan iO CCORP Role Executing Carry Change Agreement Agreement List E Agreement Ref E DIE To Participant Date From rni Data Eo Agreureted Type Custom Hore Agreement Ber F Luct mer Hel m itcr c oT Ageamants per page 10 pi Er a 4 al 20 of 43 Confidential
86. em The System User Agreement is posted on the FIA web site at http www futuresindustry org egus 2752 asp Please complete the Adherence document and return it to the address listed below The signed document must be mailed it cannot be faxed or emailed Once FIA receives this document we will contact you to provide access EGUS DOCUMENTATION Futures Industry Association 2001 Pennsylvania Ave NW Suite 600 Washington DC 20006 1823 Phone 202 466 5460 Adherence to the FIA System User Agreement System User hereby applies to use the Futures Industry Association s FIA Give Up Agreement GUA system and other related web services which may be offered by the FIA or its suppliers collectively the Service The System User agrees that the terms of this document the signature page the online System User Agreement the relevant posted Service fees and any automated click through terms shall comprise the Agreement that governs access to and use of the Service System User confirms it reviewed and agrees to the on line System User Agreement as available at http ww w futuresindustry org egus 2752 asp As the GUA system is merely an automated alternative to the current methods of documenting GUAs nothing in the Agreement shall affect the terms of the GUA or any other terms upon which System User s may agree I Specific Terms System User agrees that GUA s executed through the Service shall be deemed to be in wr
87. en delegated by the board of directors and continues in full force and effect By signing the Request Form the Customer agrees to the terms set forth herein Transfers The Representative may issue payment orders in the name of the Customer against the accounts of the Customer at the Bank subject to the Bank s acceptance Payment orders issued pursuant to this authorization and communications seeking to amend payment orders shall be subject to verification by the Bank in accordance with a security procedure acceptable to the Bank and the Representative The Bank may debit the Customer s account for the amount of each payment order on the date such order is executed by the Bank Payment orders may be issued via Fedwire SWIFT Bank Proprietary Channel or otherwise on the days and times and in the formats prescribed by the Bank Miscellaneous The Bank s terms and conditions governing the operation of business accounts the receipt of which is acknowledged by the Customer are hereby incorporated by reference except to the extent inconsistent with this authorization This authorization shall remain in full force and effect until the Bank receives written notice of its revocation or termination from the Customer This authorization shall be governed by and construed in accordance with the laws of the State of New York SAMPLE 5 JPMorganChase 4 Drawdown and Direct Debit Authorization Request Form Name of Customer Date The Customer autho
88. ent Bank Name s account not in country of currency Location s City Country Swift BIC or IBAN s Attach Copy of Form W 8BEN below if applicable Currency SEK Swedish Krona Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Location s City Country aaa Swift BIC or IBAN Account Namel ft Account Number s SSS Bank Sort Code s UK Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspondent Bank Name s account not in country of currency Location s City Country Swift BIC or IBAN s Attach Copy of Form W 8BEN below if applicable Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 26 2001 Pennsylvania Avenue N W 202 466 5460 8 rl Suite 600 202 296 3184 fax Washington DC 20006 1823 www futuresind ustry o rg Executing Clearing Both FIA Technology Services Inc TRY Turkish Lira Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Location s City Country Swift BIC or IBAN s
89. ent on its behalf is authorized to bind such Party to the extent of such obligations such execution delivery and performance do not violate er conflict with any law or governmental regulation applicable io it any provision of 13 conshtulienal documents any order decree or judgment of any court or other aveney of government applicabie to n or any of its assels or atiy contractual restriction binding on or affecting it or any of Its assets ius obligations under this Agreement constitute its legal valid and binding obligations enforceable in accordance with their respective terms subject te applicable bankruptcy reorganization insolvency moratorium or similar laws affecting creditors tights cencrath and subject as fo enborceabitty to equitable principles of general application regardless of whether enforcement 1s sought in a proceeding m equily or at law and it has entered into this Agreement as a principal and not as an advisor agent er broker or in any other capacity fiductary or otherwise Ghi System User Representations and Wurrantics System User represents and warrants lo FLA Tech as of the Effective Date and throughout the term of mis Agreement that by DH 1 tbt all information funushed m writing or otherwise including but not limited io Exhibits A and F attached hereto by System Liser or on tts behali by iuis emplovee s desiencets or Alfiliate s to FIA Tech Is as H the date of ihe information
90. es created in EGUS ft is not supported for attached PDE rate schedules Copy om exstng agreement R Sefect from your library and attach Browse to select PDF fila and attach Part123 Test percentage ret Sc ler de ID O dE MM Mery id Mey Account ID Description Link E Copyright 9 2007 Markl Group Limited 4 rigis reserved tore start E E 6 E Fr Brel ble E Hati Conr Dor B fete reed E eal miM rarum t d EE HS Ebecteenic Given Up preemie system Micraselt mierne Explorer Fie Edt Wem Foeke Tob Heb a merit A hiper BP sep em i 1 Anach Hale Schedules copy the rate schedules from amp n Being Agreement sE rate schedule templates from your Bray of upload xs PDF fle NOTE Electronic rate proces sing is supported only for rate schedules created in EGUS not supported for attached POF rate schedules Copy from existing agreement Lassssla siis QR Select from your library and attach ro ca A Mt Browse to select POF file and attach HTE Page Oriantatian must ba Portrait finached Fame Schsisioles and Fxecuting Accounts C Hide Rates from all Parnes except Execting Brokers Dealers Traders or Customers Executing amp cnmants ane nor necuinad Each Executing Aeunt 10 cn he added to only one rate schedule Select Ra
91. escribed in more detail in the attached document known as the Data Specification In order for System User to utilize the eGAINS System the Exchange must provide the System User Data to FIA Tech in an acceptable format as preliminarily described 1n the Data Specification To that end System User hereby authorizes FIA Tech and the Exchange as follows 1 Provide the System User Data The System User hereby authorizes and instructs the Exchange to provide to FIA Tech or its designee any and all System User Data required by FIA Tech in order to fulfill the purpose of the Processing Agreement Data shall be provided as described in the Data Specification which may be amended from time to time 2 Duration System User authorizes and instructs the Exchange to continue to provide to FIA Tech the System User Data until such time as System User rescinds these instructions in writing to FIA Tech and the Exchange 3 Integration These instructions are subject to all the terms and conditions as set forth in any membership agreement between System User and the Exchange In the event that the Exchange has any questions about these instructions please feel free to contact Sincerely EXCHANGE CLEARING MEMBER By Name Title Data Specification as of May 9 2008 The System User Data concerns allocations by one member to another member or claimed from one member by another member in relation to business executed on the Exchange s ma
92. ever is applicable to the company listed System User Company Name please print Location City Country please print Authorized Signer signature Authorized Signer please print Title of Authorized Signer Date Thank you for participating in eGAINS This form will be used by FIA Tech to create your eGAINS banking profile Please complete the shaded areas and forward the completed form to Courtney Ragar FIA Technology Services email cragar futuresindustry org ph 202 772 3000 fax 202 296 3184 There is a section for each of the 11 Currencies available at the launch of eGAINS FIA Tech will be charged for the set up of these Currency Accounts so please complete ONLY the sections that correspond to currencies your firm will be using at launch Provide an Authorized Signature on each page of this document and fully complete the Acknowledgement and Authorized Signature section on the final page eGAINS Processing Agreement July 23 2008 28 eGAINS Processing Agreement July 23 2008 29 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency CHF Fax N
93. ey Ragar FIA Technology Services email cragar futuresindustry org phone 202 772 3000 fax 202 296 3184 eGAINS Participant Contact Information All Users The eGAINS Administrator oversees give up processing approves system users liaises with Advisory Groups and addresses pay collect considerations The Operations Contact processes day to day give up transactions If your firm is establishing multiple participant IDs please provide a primary and secondary contact for each participant ID if individuals differ by participants The eGAINS application cross references the exchange s give up trade records against EGUS agreements The eGAINS Participant ID provides user access to view or update the trade records eGAINS Participant IDs are based on exchange clearing relationships and the maximum number of IDs is contingent on the number of firm mnemonics at the exchange For instance if an institution has two clearing firm affiliates at a respective exchange eGAINS may create two user IDs Even though eGAINS can create distinct IDs per relationship it is not necessary to create an ID per relationship since the institution may want to group all trade activity under one ID Please complete the table and in the event of multiple IDs please note the Firm Name s and Mnemonic s Please contact FIA Tech with questions Company eGAINS Title Telephone Email Number of Participant IDs Primary Operations Contact Telephone Email Seconda
94. eys fees incurred by FIA Tech in connection with any System User delit failure excepi to the extent arising from Iraud gross neghpence or willtul misconduct by FLA Tech 3f Credit Failures In thc event System User ig due Give Up Agreement Fees and System User s Account s cannot be credited m the applicable Float Period FLA Tech shall Inform the System User inimediately and will reasonably cooperate with System User to facilitate the transter of funds provided that System User agrees to pay all Hank ICS and costs including all reasonable attorneys fees incurred by FIA Fech i conmectian with such eooperatici taW v Reports PIA Tech via e zA Dv will provide System User access to a Payment Summary Report showing System User s pertinent data and related fee calculations b eA NA ECE EEL oov 23 Food ab System Liser Authorizations and Agreements bI Trade Data Instruction System User agrecs execute and deliver to FLA Tech and any other entity designated by FEA Tech the Form of Instruction as directed by FIA Tech System Liser hereby consentsto FIA Tech s use of the Trade Data for the purpose of admimistermg eC AINS and provision af the Trade Data io Other System Users to lhe extent necessary to document the calculation of ameumnts credited or debited to such System Lser or Other System Users via GAINS Aib cOoAINS Account System User agrees to maintain an Account in order to Facilitate the transfer of Give Up Agreement
95. f Form W 8BEN below if applicable Executing Clearing Both Currency ISK Icelandic Krona Company Name C Location City Country E Bank Name s Beneficiary Bank Contact s Name Email Phone Location s City Country Swift BIC or IBAN s 001111111111111 Account Number s SSS Bank Sort Code s UK SSS ee eee Bank s Account Number with Intermediary Bank s account not in country of currency DM Intermediary Correspondent Bank Name s account not in country of currency cg Location s City County Swift BIC or BANS Attach Copy of Form W 8BEN below if applicable Acknowledgement and Authorized Signature The bank accounts listed above are to be used by FIA Tech to do multibank drawdown s for monthly eGAINS settlements and make eGAINS payments whichever is applicable to the company listed above Authorized Signer Signature Authorized Signer please print eGAINS Processing Agreement July 23 2008 24 FIA Technology Services Inc 202 466 5460 2001 Pennsylvania Avenue N W 202 296 3184 fax Suite 600 www futuresindustry o rg um 5 Washington DC 20006 1823 Executing Clearing Both JPY Japanese Yen Company Name Location City Country Bank Name s Beneficiary Bank Contact s Name Email Phone Bank s Account Number with Intermediary Bank s account not in country of currency Intermediary Correspondent Bank Name s account not
96. h user upon his initial accessing of the Markit website must agree and acknowledge as a condition to his access thereto to be bound by the terms and conditions of the data services agreement through which it was provided a username and password Limited Warranty and Disclaimer Except for the express limited warranties set out in the applicable Data Services Agreement Markit makes and the user and the client it is associated with receives no warranties express implied statutory or allegedly extended in any communication with the user or the client it is associated with Markit specifically disclaims any implied warranty or merchantability or fitness for a particular purpose Markit does not warrant that the operation of the program or website or use of this publication shall be uninterrupted or error free In no event shall Markit be liable for any damages including without limitation direct damages punitive or exemplary damages damages arising from loss of data cost of cover or other special incidental consequential or indirect damages of any description arising out of the use or inability to use the Markit system or website or accompanying documentation however caused and on any theory of liability This user guide may be updated or amended from time to time and at any time by Markit in its sole and absolute discretion and without notice thereof Markit is not responsible for informing any client of or providing any client with any su
97. i Search Criteria Custonn Hame Agusta Auf 8 Dade From men dd yy dL Jo ow Copyright 2001 2008 THE GUEARINE CORPORATION Ali ighis onra 29 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SAAN training Gui 2 To recall the account details gt gt Search Result gt gt Action gt gt Lagu Par cipanilD COORP Rz Exscuting O Cary Change Search Chaar PE tras ch esl fiction ile ipa Apene Dea fees fain Jarome fate Hg tram Typen Cuslomer Bet E Ra car page ID quj 3 5 3 Party Relationships EGUS allows participants to list the Executing Broker Clearing Broker Customer and Trader in the give up agreement and eGAINS allows users to designate third party billing Working through their Execution Firm the third party or customer in order to facilitate payment to the executing firm through eGAINS must become an eGAINS participant by completing the eGAINS Processing Agreement and submitting their banking instructions to FIA Tech Within the EGUS eGAINS third party relationship the executing broker has the ability to bill the customer and receive the execution fees through the system Agreement rate trade and payment detail are only viewable to the executing and third party participants Systems EGUS and eGAINS may be set up to accommodate two billing options 7
98. ices or communications to FLA Tech required or contemplated herem may be delivered by electronic commenicatten sent return receipt requested t an address FIA Vech shall provide for electronic notices or hand delivery overnight mail or reputable overnight courier service lo the address set forth in Exhibit E provided however that a termination notice must be in writing and may be delivered ov hand delivery ovemight mati or reputable everntght courier service ta the address set forth in Exhibet LE ISD Notices to 5ystem User Except for termination all other notices er other communications to System User required or contemplated herem shall he sufficient and deemed delivered if sent return recent by electronic communication to the eGATNS Administrator at the address set forth in Exhibit E provided however that a termination notice must be in writing and may be delivered by hand delivery overnight mail or reputable ovemight courier seirvicc to the address set forth in Exhibit F Ise System User Notice Information Revisions system User agrees lo provide prompt written notice to FLA Tech of any change to the notice information identified in Exhibit F provided that such notice information revision shall not be effecuvc until such time as PLA Tech has the reasonable opportunity to act l 16 1T upon such change Such notice shall include a revised Exhibit F to this Agreement amp etimeg forth the sam
99. imited All rights reserved www markit com mark FIATECH REN 2 2 Electronic Rate Schedules EGUS PDF supported agreements and rates will NOT convert to eGAINS However with EGUS V2 2 users may create an electronic rate schedule and attach it to an existing fully executed agreement that currently has only a PDF rate schedule This enables the electronic rate schedule to pass to eGAINS automatically To create an electronic rate schedule 1 Access EGUS 2 Click in Tools gt gt Maintain Rate Schedule gt gt Party Name gt gt Hate Schedule Name free form text field Select Exchanges Product amp Hates and save the rate schedule into the e Rate library dh EGUS Electronic Give Up Agreement System MicresofT Internet Explorer ull t td Mie Edd Wem Footer Toot Hels a OnB Pn mew E 15 3 148 93 ers 4 utes f ian markt cordia Hain nio amp E ins Maintain Rate Schedule TM LEES 2 Party Name D Brokurl Party a are teen ee wrth all pares ab mg misbi tulian only ve Manta Rate Schedule cri C Rabe Schedule Name Fate Schedule 060008 E Galti ehangeg HES E Blanket H Asia E EMEA E Worth Amorica El South america i Products amp Rates xl arg Dir Cachange DiE Predect Group Blanket rl ay Copyright HT Markt Group Limited All rights reserved F Stari E E Bz Fh ri
100. in each case from activity on the Exchange s markets System User Data The initial proposed System User Data requirement is described in more detail in the attached document known as the Data Specification In order for System User to utilize the eGAINS System the Exchange must provide the System User Data to FIA Tech in an acceptable format as preliminarily described 1n the Data Specification To that end System User hereby authorizes FIA Tech and the Exchange as follows 1 Provide the System User Data The System User hereby authorizes and instructs the Exchange to provide to FIA Tech or its designee any and all System User Data required by FIA Tech in order to fulfill the purpose of the Processing Agreement Data shall be provided as described in the Data Specification which may be amended from time to time 2 Duration System User authorizes and instructs the Exchange to continue to provide to FIA Tech the System User Data until such time as System User rescinds these instructions in writing to FIA Tech and the Exchange 3 Integration These instructions are subject to all the terms and conditions as set forth in any membership agreement between System User and the Exchange In the event that the Exchange has any questions about these instructions please feel free to contact Sincerely EXCHANGE CLEARING MEMBER By Name Title Data Specification as of May 9 2008 The System User Data concerns allocation
101. ings and other papers related thereto and in reasonable detail the basis for its potennal claim for indemnification with respeet thereto provided that failure to vive such prompt notice or ta provide such information and documents shall not relieve the Indemnifying Party from the obligation hereunder lo respond to or to delend the Indemnimied Party faring 10 give such notice agaist such Claims Each Party agrees to provide reasonable cooperation and assistance in connectian with any Claims Hd the Indemnifying Party shall be entitled at its option and expense and with counsel of its selection to assume and cantrol the defense of any third party Claim that ts subject to any indemnity provided in this Agreement by such indemnifsing Party subject to the prier approval of the Indemnified Party which approval shall not be unreasonably withheld provided that the Indemnifying Party gives prompt written notice of its imention to do so to the Indemnified Party E DO MS Orocess in Aromas Jop 23 2078 and reimburses the Indernnified Party for the reasonable costs and expenses incurred by the Indemnified Party prior to the assumption by the Indemnifymg Party of such defense Nobwithstanding the provisions of Uns Section 9 d unless and until the Indemnifying Party acknowledges in writing its obligation to indemnify the Indemnified Party and assumes control of the defense of a claim suit action or proceeding m accordance with this Section 96
102. ion Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency GBP Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO JPM ACCESS Yes No GID FIA Account Currency ISK Fax No 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresin
103. iting and to have been signed for all purposes and that any electronic record of any such GUA will be deemed to be in writing System User will not contest the legally binding nature validity or enforceability of any GUA executed through the Services based on the fact that it was entered and executed electronically and expressly waives any and all rights it may have to assert any such claim System User agrees and acknowledges that the FIA shall have no involvement in and no responsibility or liability related to any GUA System User agrees that the FIA may disclose the identity of those System User s whom are executing or clearing brokers or dealers System User agrees to allow the FIA to make available on the system and to use any individual s contact information provided by the System User System User agrees that the on line System User Agreement may be amended from time to time including the posted Service fees and further agrees that such amendments shall be binding on System User upon continued use of the Services To the extent that the FIA sends out notices it will notify the Administrator defined below System Users who are supporting FCMs should understand that this Agreement is referred to as a subscriber agreement in the commitment letter between the FCM and the FIA January 18 2008 System User represents and warrants that it is authorized to bind any other Person defined in the System User Agreement authorized
104. k oreste afer ammo ott NS geter arts ad rake sa AS naang ts lg lever is zpp zene te e Gorey js ance Alaa red ego EN a egnat ATA MANET 000 0012 L L LLL LLL 0L please pn SGAMS Gp AG Sere Loy 73 ene FIA fFechnolapy Services Inc DE Dr Swiss Franz a C D 1 Gurren cy NEN ul Corta Mame u AEA zn boy Verbis 1 Sava heman Sara Contacts war EEn my cna Lecat arsi ta ty Cour Sch GIG cr RAN SS Bocce bare i AZER IS Ruri i Dada sat Clas dk BINS Account MS ambe sw tp nter eey Baa a tm a eray of aaee tarr sns Coran de Ge METE RT pa ERI ETE gry u Locators Dr mora cea DIL cr Abi Axach t Tepp i beer WAGES sew apr gane y ee mm n Ah annn 3 Tc m _ if Eu li m Gor sry kara a PLCS ure juegan jte Dan Serra Bar miie ary d CU e eee ie T Von Loc orga lay Crain Swit SIC IBAN amp AC Io Mure O a AS A PEL TEHL ist u v ale ELI Cog c 1 DOM S Ani Prices wilh LAAT Fares EEE N 3 LA pri ity Do Dune Aper eer ars Gores orden Bark Waras inset rtt zo d OW P Obue xls Dcus iy Cunt n sac Gory C For E EF below upplzaoa Ca m Acknowdzegement and Autncdaed Signatucs Tre pane ac2cOUris stes lve alm tus seedy A Teck to da rs came drevatewo st c romans BAND sete ends abd make eA NS 2a THIS fl c
105. king interface e eGAINS allows the third party or customer to view trades accept or reject transactions and payments and automatically process payments through the banking interface 1 2 Terminology It is helpful to understand the following terms when using eGAINS Agreement An electronic give up agreement that can be initiated in EGUS or uploaded in a PDF file legacy agreement and tagged for saving and easy retrieval in EGUS Banking Correspondent Commercial bank designated by FIA Tech to facilitate eGAINS payment transactions Carrying Broker A firm that carries on its books positions that were executed by it or by another firm 4 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com Na rk FIATECH eGAINS Training Guide Clearing Broker The party that maintains a futures clearing account for the Customer and to which the positions resulting from orders executed by an Executing Broker pursuant to the Agreement ultimately are given up Contact A person who is a associated with an eGAINS institution and can be assigned as a Documentation Contact Billing Contact and an eGAINS user with permissions to perform workflow actions on behalf of various parties within an institution Contacts log in to eGAINS to review trades reports and banking activity Customer The party to whose account the positions ultimately will be given up for clearing Notwithstanding that the
106. kit com mark Chapter 5 FIA TECH eGAINS Training Guide Reports eGAINS provides daily month end preliminary month end final end of cycle preliminary and end of cycle final reports for each processing month The following daily and month end reports will be available GNS00001 Trade Detail Daily Report for Executing Participants GNS00002 Trade Detail Daily Report for Carry Participants 01 500003 Trade Detail End of Month Report for Executing Participants GNS00004 Trade Detail End of Month Report Carry Participants GNS00005P Trade Detail End of Cycle Report for Executing Participants Prelim GNS00005F Trade Detail End of Cycle Report for Executing Participants Final GNS00006P Trade Detail End of Cycle Report for Carry Participants Prelim GNS00006F Trade Detail End of Cycle Report for Carry Participants Final GNS00007 GNS00008 GNS00009 GNS00010 Cash Adjustment Daily Report for Executing Participants Cash Adjustment Daily Report for Carry Participants Cash Adjustment End of Month Report for Executing Participants Cash Adjustment End of Month Report for Carry Participants GNS00011P Cash Adjustment End of Cycle Report for Executing Participants Prelim GNS00011F Cash Adjustment End of Cycle Report for Executing Participants Final GNS00012P Cash Adjustment End of Cycle Report for Carry Participants Prelim GNS00012F Cash Adjustment End of Cycle Report for Carry Participants Final GNS00013 GNS
107. l rights reserved www markit com mark FIATECH REN Chapter 2 Data Mapping EGUS to eGAINS Prior to EGUS firms maintained hard copy give up agreements and rate documents With the introduction and integration of the electronic give up system EGUS firms either keypunched the existing agreement and rate information into EGUS thereby creating an electronic record attached a PDF copy of the paper documents legacy agreements or both Given the electronic integration between EGUS and eGAINS PDF documents are not supported and the information contained within the PDF document must be electronically added to the system NOTE Agreement changes may be made in eGAINS direct however the recommended approach is to make changes in EGUS and avoid changing agreement and rate information in eGAINS Since the daily download from EGUS to eGAINS overwrites the previous eGAINS file changes made in eGAINS will be deleted with subsequent EGUS downloads Therefore to avoid losing the eGAINS changes always use EGUS for modifying agreement details 2 1 Electronic Rate Transfer one time set up EGUS agreements are auto converted to eGAINS EGUS agreement numbers pass thru or post to eGAINS Even though the data conversion is seamless the EGUS system administrator for each participating entity must direct or authorize EGUS to transfer the electronically entered rate data one time set up to eGAINS To enable EGUS to transfer the data to eGAINS
108. lear is gy j ar E83 e ile cz nca ELE sped neam A chonzed Snc E Aumont SGU 000000 a Du IM sss Lco cu EE pu 24 SLAM UICCES Dg Agger En nus EL IOU PTA Technology Servtees Inc EN 1 A REA E CH rd en iem dvi nuce Db Lip TEE uu tete K VLL UP LIES m dB Jr doeet erate Name Lone nv Corm i cun Rana SE Et ary Sank Lortacrs came mt rab be Location ss sap CoL uen bo BAN o Accent Haz Accion Nomen Bark Son Tanen i Hara y Ar count er e in Fre cet Xn Sb ELLA ret O Gries c cnr Plaredigoorespon zen enu Mirtis Aarena set an ecu nt aene Locators ibe GOLIST Rit Gop of Fonn WAREN begs f apo coe Deco AA Com FP sor f n Mo TIL gg PAK Narweeccar Krone 1 Ue Una lE LEE Pp P H g Custos m 35 TUT Mam Lesion qi my Ek Boe Sacs Bank aig Eras 000 Leas Cry Dente oy DC an SISSE our aras TTT LLL E E Barnera Hark Son Cee 7 Imernmedia cCermoscorde Sars Name saci ro re cnn D TEE KS ute OI o AaS s sun Ft Goz ef Fann V EBEM neta s ann rapss Da a m I Acknowledgement and Avtharged Signature Tag bar gt ace ounvts sia acces are
109. learing firm must be resolved by the end of the business day All unclaimed trades at the end of the day are considered unallocated Unallocated position remains with the executing firm and the give out allocation is moved to the Kerb TRS account for the clearing firm to accept the next business day On 1 1 to reverse a misallocated taken up on trade date the clearing firm s must notify exchange officials of the trade details as well as request a trade reversal The exchange confirms the request with all counterparties and changes the trade status of the as of allocation from allocated to unallocated Since the original allocation occurred on trade date and the reversal on T 1 the exchange provides the execution and clearing entry on the eGAINS trade file on trade date The T 1 reversal and reallocation would be included on the eGAINS file with the as of trade date 4 4 Trade Reversal Liffe Since Liffe and ICE use the Trade Registration System TRS for processing trades please reference section 4 3 Trade Reversal ICE for trade reversal details 4 5 Add Trades The Trade Entry screen is used by the Executing participant to manually enter trades that did not clear or post through the exchange s give up process To add a trade 1 Click in gt gt Adjustment gt gt Trade Entry and add the trade detail Select SUBMIT 33 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark
110. lect RATES Ag eer Beview Acton Adm MEDI Participar ID CCORP Ls Agreement s Accounts a Judd Agreement Acopene Agreement Rate foot 7 Account information Dill To Pactipant Accounts per page 10 gt i Copyright 2001 2008 THE CLEARING GRP ORATION Adi ighis misera 2 Input the rate detail in the gt gt Rate Information section and select SUBMIT Following SUBMIT the rate information appears in the View Rates section e Effective Date The default date is the current date however the user may change the effective date as necessary Since rate tables are effective date driven users are allowed to link multiple rate tables to one agreement Exch exchange Com commodity Tran Type transaction type or trade type indicator i e spread EFP block etc O C open close indicator Trans Source transaction source i e APS Bclear OTC etc Rate Type o Future FRT and Option ORT The indicator designates rate per contract charge percentage of notional value or flat fixed relative to fees o Band allows for a scalable fee based on volume The futures rate type flag determines the logic used in the futures fee calculation e Maximum Fee The maximum amount to be charged if the calculated fee exceeds the maximum fee e Minimum Fee The minimum amount to be charged if the calculated fee is below the minimum fee
111. ndependent third party service provider Markit Group to run the system FIA Technology Services Inc a wholly owned subsidiary of FIA is the administrator of eGAINS Participating exchanges send trade data electronically at the end of each trading day to Markit and eGAINS downloads agreement and rate information from EGUS The eGAINS application cross references the exchange trade data against EGUS agreements resulting in daily and month end trade summaries and billing reports At the end of the monthly billing cycle FIA Tech facilitates pay collects to participant accounts Highlights e eGAINS is a web based application for billing give up transactions e For standalone processing agreement and rate detail not extracted from EGUS the Executing participant is responsible for entering the give up agreement account and rate into eGAINS e The Bill To participant Carrying Third Party reviews the give up agreement account rate and trade information e eGAINS calculates the give up transaction fee by querying the executing firm executing account carrying firm and carrying account This information is used to locate the executing agreement and associated rate table e At month end the billing cycle allows participants to review payments reject resolve discrepancies and or approve payments At the completion of the cycle eGAINS automatically generates payments to the Executing participant from the Bill To participant through the ban
112. nly Payment End of Month Report for Executing Participants Production Participants Payment End of Month Report for Carry Participants Production Participants Only Payment End of Cycle Report for Executing Participants Production Participants GNS00034F Payment End of Cycle Report for Executing Participants Production Participants Final GNS00035 Prelim Payment End of Cycle Report for Carry Participants Production Participants GNS00035F Payment End of Cycle Report for Carry Participants Production Participants Final 39 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH REN e GNS00036F Payment End of Cycle Report for Executing Participants Final Rerun e GNS00037F Payment End of Cycle Report for Carry Participants Final Rerun e GNS00050 Trade Detail Daily Report for Unlinked Trade 40 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com Y a 1 k FIATECH eGAINS Training Guide Chapter 6 Banking To complete the eGAINS monthly processing cycle FIA Tech provides pay and collect instructions to its banking correspondent The correspondent financial institution acts as an intermediary for transmitting and receiving give up fee payments Even though the banking correspondent facilitates month end payments it is not necessary to establish a bank account with the institution To ensu
113. nt be more than ninety 90 calendar days Amy amendments ar modifications to the Float Period will be prospective only and approved in advance by the Board and upon prior electronic neice to System User System User acknowledges and agrees that the duration of each Float Period during which the funds will be held by FLA Tech will vary depending upon mter alia the amount of funds in eG Atns and held by FLA Tech Sc Oher Pay ment Terns All costs of collection including but not limited to Bank fees and or reasonable atio rnevs fees for any amounts duc hereunder shat be the responsibility of and paid by system User FIA Tech shall not collect any fees directly on behalf of System User unless otherwise mutually agreed lo by the Partes Unless otherwise specifically provided m this Agtcemeni all Flom Payments and other amounts due hereunder are non redundably All Interest Rate and any fec amounts duc hercunder may be adjusted ftom time to time by FLA Tech in its commercially reasonable discretion Any amendments or modifications lo the Interest Rate or any other lee amounts as may be required hereunder WHE he prospective only and FLA Tech will give System User thirty 30 calendar days prior electrome notice of any adjustments to the interest Rate or ice amounts Any use of Or access IO cO ATNS by System User afler the effective dale set forth in the notice of any Bist I pra Ag EEE JY 23 2205 modifications made pursuant to this
114. o 202 772 3094 Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E mail Address Print Name Print Name Affiliate will indicate that the debit account belongs to an entity that is part of your same company group International Drawdown Set up Matrix Page 1 of 1 Version 6 November 2004 INTERNATI ONAL DRAWDOWN SET UP MATRIX u SN ET NI ARRANGEMENT ARRANGEMENT required DATE Credit Party Information JPMorgan Chase Client Name Payment Initiation Product s Account Details Client Contact Name Client Contact Details FIA Technology Services Inc Insight Yes No ID NO Account no Justin Good Telephone no 202 772 3000 Paysource Yes No ID NO Account Currency DKK JPM ACCESS Yes No GID FIA 1 eU Technology Services Inc JPMorgan Branch LONDON E mail Address FirstWindow Yes No PCID NO jgood futuresindustry org Debit Party Information Bank Name SWIFT Address Account Name Own Affiliate M AR if known or 3 Party Acct ins dil AR S S v Bank Address Bank Contact Name Contact Name Bank Contact Details no Fax No E
115. o that end System User hereby authorizes the Exchange as follows 1 Provide the System User Data The undersigned hereby authorizes and instructs the Exchange to provide to FIA Tech or its designee any and all System User Data Data shall be provided as described in the Data Specification which may be amended from time to time 2 Duration System User authorizes and instructs the Exchange to continue to provide to FIA Tech the System User Data until such time as System User rescinds these instructions in writing 3 Confidentiality In the event that the Exchange becomes aware of a suspected breach in the confidentiality of System User Data Exchange shall notify System User and FIA Tech of the perceived breach System User acknowledges that Exchange has no further obligation to investigate any breaches allegedly occurring after the delivery to FIA Tech of the System User Data and shall not be liable for such breach Further System User acknowledges that Exchange has no obligation to investigate or otherwise audit FIA Tech s security program 4 Integration These instructions are subject to all the terms and conditions as set forth in any membership agreement between System User and the Exchange In the event that the Exchange has any questions about these instructions please feel free to contact Yours truly EUREX GENERAL CLEARING MEMBER By Name Title Please return two original signed copies to Courtney Ragar FI
116. on atc TARE BGS pay moris Wei sve g app Tas loos co amy SED Boose A be ee 04 get n a s m n A Sig ret MM 0 a a ea oo 15 7 ra AEG a ey NEN Tease DI EDAN Toler Agreement wig 23 R FIA Techoaglopy Services inc DER cue PU tA nuu CS PRAE E 02 M TT ca tU Si ik atad 4 E H DUI ON fa eut 4 aet SUDEP US alte ms PEY THY a uksh Lire em ART LOCO Ci HS ty Cou Tyl Sank Nares Gare tar ignes Gorges Wises Sees ocaliacist Duy Sx Tr cu GIS ahs UST e Park Soc Codes L4 __ 4 scola ee eer ur Pares ELI pz TFL Cy G una zy H Inlenrnediay Gores rs iare acea T oet on EIT A ELECT es m a a I EEE hy Gouri et et BAN Attach Copy er Sor LEBEN selow Taco ZAR Sou Aktar Rand LOS KU KI TE Lexus nz ap edv Cam Diria Nang Borel xar Serve Uu Mara IE These Largs Cile onte ADELA Pme s Ja Inm BLT BETSI werk Sal trees LA O EEE A E E TTT od USL STB Lily Coe IER LC mete Gor ais i F aam ere Ar Dany of Poor WEDER cela ckonwladgement and Auttranzez Signature Toe bans gocconcota stai dive aca to De Ladd bp DA Tob Tl WD CREAN S I GAT e totta Grp y
117. onnex are trademarks of Markit Group Limited Other brands or product names are trademarks or registered trademarks of their respective holders and should be treated as such Data Services Agreement and Use Restrictions You are bound by the terms and conditions of the Data Services Agreement as agreed to by your employer or its affiliate In particular access to the Markit website is limited to the number of locations and to the number of users specifically set forth in such Data Services Agreement whether such use is through physical transfer of a copy electronic access through a wide area network of any description or by any other means whatsoever The Markit system and website contain trade secrets Accordingly you are expressly prohibited from i modifying translating reverse engineering or disassembling any of the information services or data found on such system and website or ii creating derivative works based thereon in each case except as expressly permitted if at all by the Data Services Agreement governing your use thereof Unauthorized copying of the Markit website or this user manual constitutes copyright infringement Software piracy is theft To the extent anything in this user manual is inconsistent with or conflicts with the terms and conditions of the applicable data services agreement or the terms of use the terms and conditions of the Data Services Agreement or the Terms of Use as applicable shall control Eac
118. onsideration the receipt and sufficiency of which are hereby acknowledged FIA Tech and System ser agree as follows l Definitions Account means the System Users Bank account or accounts the details of which shall be specttied im a form substantially similar to that set forth in Exhibit A and provided 10 FIA Tech upon execution of this Agreement by System User ta be used to effect pay ment and receipt of Give Lp Agreement Fees via eG ANS relating to inve up execution services Affiliate means any entity that controls is controlled by or is under common control with a Party For purposes of this Agreement control means possessing directly or indirectly a at least fifty percent 30 of the voting securities of the entity or b the power to direct or cause the direction of the management policies or operation of an entity whether through ownership of voting securities by contract or otherwise Authorized Afiliate sy means those Affiliates set forth in Exhibit B that are authorized by System User to use eG A INS under this Aareement Exhibit B may be amended from nme to EME by writen agreement between the Partes Deen aes aes MEER iir AGS Brace wah 4 Qum Bank means aj with respect to FLA Fech the banking entity set forth in Exhibit C whieh may be amended by CLA Lech from time te time tn accordance with the terms of this Apreemen and b with respect to System User the financial or banking en
119. ormation All function or action screens display the participants Role Executing or Carry Firm me 1 Loge Agreement Rul Ff D To Participant Dalefrom remidd yyyy Date To Agreumend Type JE Select 2 Click the appropriate participant role and select CHANGE 3 3 Site Map Clearing hs Corporation _ po geeen Bairi Logout INS Give up Automated INvoicing System IPamipamin CCORF 17 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH REN 3 4 Standalone Processing eGAINS direct input EGUS Agreement and e Rate schedules populate eGAINS daily However eGAINS users are not required to use EGUS for maintaining agreements and rates Users may enter agreement data directly into eGAINS This section standalone processing details the steps necessary for setting up an agreement establishing accounts within the agreement and adding rates to the agreement directly into eGAINS 3 4 1 Enter Agreement Information standalone processing To add agreement information only Executing firms can add agreements 1 Click in Agreement Agreement List the Agreement List allows users to add display or search agreements by Role as well as view accounts and rates associated with an agreement and select ADD Heyn Agreement s Agreement List Search Criteria Tus
120. re prompt payments however eGAINS participants must provide FIA Tech with detailed banking instructions no later than 30 days prior to the payment cycle This provides sufficient time for the correspondent to verify the banking relationship s and add the detailed instructions to their payment system in advance of payment processing 6 1 Payment System All currency settlements are facilitated through SWIFT 6 2 Settlement Currencies Direct debits drawdowns or credits are made via the eGAINS participant s bank account s wherever located FIA Tech s banking correspondent validates edits reformats and or transmits eGAINS instructions via SWIFT to the participant s designated bank s At launch and through eGAINS participants my settle give up fees in the following currencies CHF Swiss Franc DKK Danish Krone EUR Euro Currency GBP British Pound ISK Icelandic Krona JPY Japanese Yen NOK Norwegian Krone PLN Polish Zloty SEK Swedish Krona TRY Turkish Lira USD US Dollar ZAR South African Rand 6 3 Processing Guidelines Please be advised of the following processing guidelines e SWIFT payments will be facilitated through FIA Tech s banking correspondent e Participants must instruct their bank s to release funds to the banking correspondent by completing a 3rd Party Debit Authorization Form typically supplied by your bank and filed by you the account holder with your bank also known as a Direct Debit Mandate Thi
121. red Arbitration of Business Disputes m effect an the dale hereof avaiable at http www epradr org by panel of three mdependent and impartial arbitrators ot whom each Party shalt appoint one 13 and the third 3rd shall be clected by the first ivo 2 The arbitration shall he govemaod py the United States Arbitration Act 9 L S C Sections 16 and judgment upon the award rendered by the arbitrators may be entered by any cont having jurisdiction thereat The place of the arbrtrairon shall be Washington D C THE PARTIES WANT ANY RIGHT TO TRIAL BY JURY IN ANY ACTION OR PROCEEDING ARISING OUT GF RESULTING FROM OR IN ANY WAY RELATING TG THIS AGREEMENT In the event of any Svstem User Dispute System User agrees to assert no elaum against FIA Tech except to the extent said System User Dispute is a direct result of fraud gross negligence or willful misconduct by FIA Tech Sobwithstanding the fores in the event System User issues a subpoena to FLA Tech or obtains a subpoena of FIA Tech from a cour or tribunal of competent jurisdiction the Svstem Loser seeking the subpoena shall pav all af FLA Tech s costs including all attorneys fees incurred in a defending or compiying with such subpoena and b FEA Tech s participation m the System User Dispule except io ihe extent System lser 18 seeking the subpoena In connection with a dispute between the Parties hereto or as a direct result of fraud gross nevlizence or willful misconduct by FLA Te
122. rizes insert name of sending bank amp location of sending bank the Representative to transfer funds from the Customer s account at the Bank in accordance with the information below The Customer must complete applicable sections based on method of initiation of instructions as per below C ADD DELETE select one Section Should be completed in its entirety for Fedwire 1031 Drawdown Fedwire Inbound Drawdown Request for Credit Transfer 1031 Authorization to Debit Customer Account Number Customer Account Name Customer Address Upon receipt of instructions from Representative s Name Representative s Address Representative s ABA Number Authorization to Credit Account Number on Representative s Books Account or Third Party Name For additional Fedwire drawdowns if necessary Fedwire Inbound Drawdown Request for Credit Transfer 1031 Authorization to Debit Customer Account Number Customer Account Name Customer Address Upon receipt of instructions from Representative s Name Representative s Address Representative s ABA Number Authorization to Credit Account Number on Representative s Books Account or Third Party Name Section Il Should be completed in its entirety for SWIFT Direct Debit SWIFT Direct Debit MT104 MT204 Authorization to Debit Customer Account Number Customer Account Name Customer Address Upon receipt of instructions from Hepresentati
123. rket s and subject to the Exchange s rules and procedures 4 1 1 Commodity File GNCMDTY EXCHANGE Y YYYMMDD File Description This offload file will contain details of the commodity information Fixed Length ASCII Expected Number of Varies by exchange Records Checksum Field RR EUR Primary Key EXCH CODE CMDTY CODE EXCH CODE ur system Exchange ID 2 CMDIYCOE CHARS 5 3 CMDIYNAME CHARj30 jo 2222 ee a a an ef otal fo HN MEN QN 4 1 2 Firm File Expected Number of Varies by exchange Records Checksum Field Primary Key FIRM EXCHANGE CODE FIRM CODE CODE 2 FRM COE X CHAR 5 5 3 FIRR NAME CHAR SO0 I10 a 4 1 3 User File GNFRMUSER YYYYMMDD File Description This offload file contains details of the exchange firm and user Ad Hoc Not required from Exchanges Fixed Length ASCII Expected Number of Varies by exchange Records Checksum Field Primary Key EXCHANGE CODE FIRM ID USER ID EXCHANGE CODE CHAR S HRM COE CHARS 5 USER ID 8 do ACCESS CODE Valid values are B or BENE U B Browse I Update Lo Tal 19 4 1 4 Trade File GAINS EXCHANGE YYYYMMDD File Description This file contains the trade data details Daily excluding Clearing Holidays Fixed Length ASCII Expected Number of Ne
124. rrent month 8 00 p m Eastern Prevailing Time deadline for Executing Party to make corrections and adjustments to data within eGAINS 8 00 p m Eastern Prevailing Time deadline for Clearing Broker s to accept amended data or reject the information in eGAINS Data not in a rejected status on eGAINS at this time is deemed accepted by the applicable Clearing Broker s FIA Tech enters debit instructions with the applicable Bank s On eGAINS System User will have access to end of cycle Payment Summary Report that reflects final payment amounts including any adjustments made during the payment review period and debits and credits for the current month Clearing Brokers accounts are debited This represents the first day of the Float Period Final reports and data files available via eGAINS Executing Parties accounts are credited Last day for System User to submit or change Exhibit A banking information By written notice to FIA Tech Print Form Notice In order for an institution to participate in the FIA Electronic Give Up Agreement System EGUS the Adherence to the FIA System User Agreement must be completed The Adherence document among other things asks you to acknowledge that agreements executed on the system are legally binding in the same way that physical documents are In addition each System User will be asked to click through the System User Agreement as each Person accesses the syst
125. ry Operations Contact Telephone Email 206106010101010 Firm Name s A TECH eGAINS User ID Request Please identify on the grid below any employees you would like to give access to eGAINS FIA Tech will load the information Courtney Ragar FIA Technology Services prior to giving you access to the system Please forward the completed form to email cragar futuresindustry org phone 202 772 3000 fax 202 296 3184 Please provide the following individual s eGAINS access Exchange Eurex XEUR ICE ICE Function Liffe LIFFE B Browse View Authorized By must be authorized by the System Administrator Signature Date Print Name eGAINS Processing Agreement This eG ATINS Processing Agreement ttis Acreement between FLA Technology Services Enc CPLA Tech and System Lser each Pary and colleetisels the Pares ts made as of the Effective Pale Recitals WHEREAS the System User wishes to have FIA Tech using the Give Up Automated Invoicing System offered by FLA Tech eG AES administer debit and credit entries to System User s Account ta effect the payment of fees relating to aive up execution services m connection with Iransactions on the E xchangeis and WHEREAS FLA Tech is willing to perfarm such services and effect such payments on the terms set forth below Agreement NOM THEREFORE m consideration of the mutual promises contamed herein and other good and valuable c
126. s Peo Date Ae 41 ns Tram Action Rank FECH TC 8 FRT ORT Biri Fa Max Fea CUR i Cie Habe I a M PME ate Recalculate Al Copyright 2001 2008 THE GUEARINE CRF EAT Ali ighis mem 3 4 6 View Agreements All Fields View provides a single screen summary of agreement account and rate detail To view all fields of an agreement 1 Access the agreement and select VIEW Logout Par eipant 8D TE1 Role E Executing O Carry Agreement Account Raes EES E Account Infermatian Fill To Panic Cay J Fim Elective Dade DG NZ 2008 2 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 3 4 7 Search for an Account To search for an account 1 Click in gt gt Agreement gt gt Account List and input the search criteria Search Criteria section Agreement Ref Bill To Participant Executing Account and or Carry Account and select SEARCH To view the entire list of accounts do not specify search criteria and select SEARCH st fugerent Bdgrstrment ius Acton pr Logon Agreement s Accoln each Criteria d Areaan Ref 8 Clear Copyright 2001 2008 THE GLEARING CORPORATION All ighis macm 2 The search results appear in the Search Result section To recall the account details gt gt Action
127. s by one member to another member or claimed from one member by another member in relation to business executed on the Exchange s market s and subject to the Exchange s rules and procedures Trade File File Format Expected Number of Need Exchange estimates Records Checksum Field EE Primary Key ae RECORD FILE TYPE CHAR 3 p HDR Header PROCESS DATE CHAR YYYY mooo o S i a NUMERIC 8 Ju E Tol 150 TRADE RECORD 1 EXCH CODE Unique field for the CHAR 5 exchange being processed exchange rape ee ee MMM CNTRCT DATE CHAR Blank if 5 CNTRCT DATE Contract year 4 CHAR YYYY digits i OPTION TYPE CHAR 7 STRIKE PRICE contract date 1s month year only Blank Futures 4 1 A WIN QN Ne UA 2 N A 1 C Call Option P Put Option CHAR CHAR CHAR 8 TRADEPRICE di ii YYYY MM 4 CHAR TRADE DATE DD CHAR 12 QTY NUMERIC 8 digits positive or 7 digits plus sign negative 99999999999 IF trade is an OPTION then the field is the PREMIUM If trade 15 3 FUTURE then the field is the NOTIONAL amount applicable to unit quantity 13 PREMIUM NUMERIC 12 52 AMOUNT 15 OPEN CLOSE IND Open or close CHAR indicator 16 TRAN SOURCE Trade source ETS CHAR Floor etc 17 TRAN TYPE Trade spread EFP CHAR etc RV
128. s is a one time set up authorizing the release of funds e Give up pays and collects are gross not net per participant e eGAINS recognizes London bank holidays FIA Tech will adjust debit and credit dates to the degree the payment date s coincide with a London bank holiday 41 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com Na k FIATECH eGAINS Training Guide 6 4 Managing Accruals and Reducing the Credit Window Pay collect match off between the participant s internal ledger books to eGAINS is the responsibility of the participant eGAINS provides no position or rate reconciliation tool to facilitate an automated comparison Since the credit for executed transitions will not post to the executing firm s bank account for 60 business days eGAINS provides end of month trade position and pay collect summary reports The reports detail the debit and credit amounts FIA Tech shall publish the specific dates to which the monies shall be credited to or debited from the bank accounts see following report examples In the opening days of eGAINS funds will be held by FIA Tech for 60 business days The number of days will drop as more users are added to the system We anticipate dropping the float period to 20 days once the amount of money flowing through the system reaches projected levels 6 5 Processing Deadlines Month end processing deadlines include Business Day Activity D
129. ser is a Cleanmg Broker during any applicable period System User agrees to pay FLA Tech any required withholding amount wilhin two 2 Business Davs of the FLA Tech invoice date by deposit or anster of nmediately avatlable funds to the account specified in the invoice Compliance with Regulatory Requirements System lser represents warrants and agrees that al all umes 11 will be in material comphance with the relevant requirements of any regulatory agency or seli regulatory Organization wilh jurisdiction over the services and obligations set forth herein Representations and Warranties Gal Mutual Representations and Warranties ach Party represents and wartants to the other Party as af the Effective Date and throuzhout the temm of this Agreement that Mali rtis duly organized and validly existing under the laws of the jurisdicuon ofits organization or incorporation and if relevant under such fav s in good standing and that its provision and or use of eGAINS shall comply with thts Apreement and ali applicable United States federal and state laws 1 EAI Price agreed dul 73 2058 Gati GCa yiii afir AY has the corporate governmental and or other legal capacity authority and power to execute this Agreement to deliver this Agreement and to pertorm its obligations under this Agrecment and has taken all necessary action to authorize such execution delivery and performance and the person executing this Agreem
130. shot shows only the partial transaction Search results appear in the Search Result window 34 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com la rk eGAINS Training Guide MEO Ravipu s Trade Review Carraction Search Cries pisei Executing Participant Carry Account COM p d HS UE TT TS Onder Number i Status In O Ga tuens Hesh STA ACC arent 1 4 Submit Tradas par papa x 1 3 Check the REJ reject box to reject the trade and select SUBMIT HESS Maie Demali I ri xL e eese p i 5 Executing Participant Carry Acocani COM TT T amp Creer Humber RI IRIEL mm ddyyyy Abbi EIL MT I 17177 17173617 STA ACE REJ Trade Date omy ECH ES 4 Trades perpage 10 4 d IE li 1 1 Hie th ere rari CORP ORAT All ighis caseros 35 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui The STA status changed to R reflecting the Bill To participant s rejection Adprin Henn Au Dot irren Loe mole Execute carry Change 1 8 peaini p Di Contre Date Exrcuting Participant Carry Actuum COM E I 1 is TT T tarek hunter RI States LLL LT ch STA AC
131. ta Home Agreamend Ref Di To Pasticipant Dae From rms Gabe To makarrr Annee Type Custom Rel 8 S II 0 ll Deje Search clear Copyright 2001 2008 THE CLEARING ORF ORATION All ighis meses 2 The new agreement input page appears allowing the user to input the following Agreement Ref auto generated Agreement Date Agreement Type drop down menu for managing the billing relationship o Bill Carry Participant system default debits the carry participant through eGAINS o Calculate Fee Only calculates fees only does not result in banking debits credits through eGAINS o Inter FCM agreement between firms without account specific information o Bill to Third Party debits the third party customer Since the Bill to Third Party requires the Third Party to be an eGAINS participant please contact FIA Tech to assist in the set up and documentation process Customer Name Customer Ref user assigned identifier Customer Contact Customer Phone Executing Contact Executing Phone Customer Address 18 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH SEAN training Gui 3 Enter information geenen Pat Hirie fic ton TEN Log Par eipamiD CCORP Role Executing Carry Agreament m Agreement Lists Add 4 Click SUBMIT to add the agreement Ageman T d
132. ting Brokers of the Trader s choice for give up to its account maintained by the Clearing Broker 1 8 Navigating the Document System screens and action steps are referenced using gt gt to offset the action For example Click in Agreement Accounts Add represents a series of actions steps within eGAINS Further specific Screemprint function keys are highlighted via circle 1 4 Functions Given a completed give up agreement and rate schedule in EGUS the eGAINS system will e f permissioned in EGUS eGAINS obtains an executed give up agreement along with rate information from EGUS download from EGUS to eGAINS Receive the end of day give up transaction file from the participating exchange s Look up the execution agreement account rate and calculate the give up transaction fees Provide the participants 1 1 reports and end of month preliminary and final reports Allow participants to review trade details modify transactions resolve discrepancies and confirm or reject trade changes e Complete the billing cycle eGAINS automatically debits and credits the clearing and execution participants respectively 5 of 43 Confidential Copyright 2008 FIA and Markit Group Limited All rights reserved www markit com mark FIATECH REN 1 5 EGUS Participant Set Up EGUS exchange and firm codes are cross referenced against the exchange give in trade data along with participants and account numbers for locating the correspon
133. tion notice provided however that FLA Tech may suspend or discontinue System User s accuss lo eCrATIKS at any dime In accordanee with Section Mia above FIA Tech or its designee will make a credit entry to System User s Account equal io any Credit Amounts due hereunder within ten 10 Business Days of the lermination effective dale The terms of any such suspension or discontinuance may be set forth in the termination notice or provided to System User at any time prior to the Agreement termination elitetive date Ib Syatem ser Termination This Agreement may be laminated by System User for any reason upon at least thirty 303 calendar days prior written notice ta FLA Tech provided however that such termination will be deemed effective on the final calendar day of the last SAMS tates tient guis 25 2065 applicable Float Period that includes amounts due to or from System User Upon giving notice to FLA Tech of ins intent to temainale System User will cease further activity on eG ATNS by the final calendar day of the applicable calendar month and wll net metr any further obligations under this Agreement System User must pay FLA Tech any unpaid fees or Interest Amounts owed hercunder within thirty 30 calendar days of the Agrecment termination effective date LO byriii Survival opvitistanding any termination pursuant to tis Section 1040 this Agreement shall remain in force and effect as to all obligations that
134. tity at which System Eser mamtams its Account Board means the FLA Tech Board of Directors Business Pay means 24 hour period ending at 5 00 p m U S Eastern Prevailing Time on weekday on which banks are open for general commercial business in Londen Claims means anv and all claims proceedings actions or liabilities matured or unmatured liquidated or unligaidated contingent or ripe threatened or filed whether groundless false fraudulent or otherwise and the resulting losses awards fines judgments penalties damages expenses and costs including but not Imited to court costs and reasonable attorneys fees whether incurred by settlement order or otherwise and whether such claims or actions ate threatened or filed prior to or after the termination of this Aorecment Clearing Broker means a clearing or carmymg broker thal is a party to a Give Up Agreement Canhidenttal Information means all information that js not eeneralls Known te the public and which ether Party or its service providers or other persons to the extent such Party owes a duly of confidence to any such person has rights which information is marked confidential restricted or proprietary by the Party having rights m the same or which under all of the circumstances a reasonable business person should know to treat the infanmation as confidential and or proprietary otwithstanding the foregoing Confidential information
135. ve s Name Representative s Address Representative s SWIFT BIC Authorization to Credit Credit Party s Account Number at Representative or their designated Correspondent Bank Credit Party s Name and Address Correspondent Bank Name Correspondent Bank Address Correspondent Bank SWIFT BIC ABA or other identifier SAMPLE JPMorganChase 4 Section Ill Should be completed in its entirety for Book Transfer Drawdowns initiated via JPMC Proprietary Client Access Systems Book Transfer Drawdown Authorization to Debit Customer Account Number Customer Accont Name 0 S Customer Addres OO Authorization to Credit Customer Account Number GustomerAccountName OS Customer Addres By executing this Drawdown Request the Customer hereby agrees to the terms of the Bank s Drawdown and Direct Debit Transfer Authorization Service Terms Against JPMorgan Chase Bank N A the receipt of which is hereby acknowledged and hereby confirms the accuracy of the information set forth herein JPMorgan Chase Bank N A CUSTOMER By By Signature Signature Print Name Print Name Title Title Second Signature if required By Signature Print Name Title For Internal Bank Use Only Customer signature is not required above for setup if the Customer has issued written or electronic instructions to the Bank to transfer funds in accordance with the information above By signing below
136. w eG APN SS means the nye p Automated Invoiing System an imternet aceessible application used te provide automated pay and collect services for execution billing and payment to ciuible parherpants in the futures and options mdustry EGUS means FIA Teeh s amp rve Lp Agreement execution svstem xchanget sY means any exchangets trading platforms andor clearing systems participating in cA TNS and any successors thereto Executing Part means an executing broker or dealer that is a party a Girve L p Aurecment LlIoar Payment means the interest andio mvestment income earncd on all the Catve Lin Agreement Fees held by FLA Tech in accordance with this Agreement Float Period means the period of ume from and including the Debit Date until and mcluding the Credit Pate Form of instruction means the form provided to System User by FLA Tech authorizing the Exchange s te provide Trade Data to FLA Tech for the purposes set forth m this Agreement COGive L p Agreement sY means the arrangement used by System User or its Affiliates as the case may be 10 engage in pransaetions n which an Executing Party executes ar processes a trade on behalf of a customer or a trading manager of a customer for the account of such customer at the Clearing Broket with the intent that the Executing Party will execute and give up the contract to the Clearing Broker Give Lp Agreement Fee or GUAE means the amount a Clearing Broker
137. y of any of its service providers FLA Tech s indemnification obligation hereunder shall be limited io payments made by the applicable service provider to FLA Tech if when and 10 the exten that FIA Tech receives a corresponding Indemnification payment from the applicable service provider under the terms of the applicable agreement FLA TECITS TOTAL LIABILITY TO THE SYSTEM LSER RESULTING PROM ANY AND ALL INDEMMNIPICA TION CIE ICA TLAS UNDER THS AGREEMENT SHALL BE LIMITED TO IHE TOTAL DOLLAR AMOUNT OP THE LESSER OF O USD 10 000 OR IP SYSTEM USER S ACCOUNT IS HELD IN ANY COUNTRY OTHER THAN TUE UNITED STATES OR IN ANY CURRENCY OTHER THAN Lab THE EOUIVALENT THEREOF AS REASONABLY DETERMINED BY PIA TECH AND u THE SYSTEM USER S FLOAT PAYMENT PERCENTAGE EARNED ON THE GIVE UP AGREEMENT FEES PAID TO OR BY SYSTEM USER VIA EGLAINS IN THE SIX 6 MON TIIS IMMEDEATELY PRECEDING THE DETERMINATION OF THE SYSTEM USERS FLOAT PAYMENT PERCENTAGE AS REASONABLY DEI ERMINE BY FIA TECH He fans Party hereto shail receive nonec or have knowledge of aty Claims that may result in claim for indemnification by one Party the Indemmfed Party avainsl the other Party the Indemnifying Party pursuant to this Agreement such Indemmlicd Party shall as promptly as possible give the Indemnifying Party notice of such Claims including a reasonably detailed description of the facts and circumstances relating to such Claims and a complete copy of all notices plead
138. y System User Affiliate s Confidential inlormauon to any FLA Tech service provider fer the pumpose of further developing and operating CAINS m accordance with this Agreement and the System ser Agreement or creating developing and operating any other FIA Tech operated system of which System User becomes system user or its equivalent The Parties will be entitled le all remedies available at law or in equity to enforce or seek relief m connection wtth this confidenuality obligation Force Majeure Any failure or delay in performance by ener Party hereto shall net be a breach of this Agreement if such failure or delay arises oul of or results primarily iram an event or cicurttistance net in the reasonable control of a Party which prevents such Party from porforminm ns oblteations hereunder including bud not limited ta fire storm flood earthquake or other acts of God explosions wars insurrections acts of terrorism strikes protests work stoppapes or slowdowns epidemic or quarantine restrictions unforeseen equipment or sofware failure or inability to obtain essential materials or equipment despttc commerctaliy reasonable efforts l0 da so The non performing Party shall give the other Party notice of any failure or delay in performance under this Agreement due to a Force Majeure event when commercially reasonable under the then prevailing cieumstances Notices Iial M tices fo FLA Fech Except For termanati n notices all other not

FIA Tech Electronic Give-Up Automated Invoicing System (eGAINS

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