EFTA Document EFTA01390419

APPENDIX TO THIS ACCOUNT AGREEMENT: DISCLOSURES AND DEFINITIONS .tifejp(TRTANT:i•PLeAStiftbAiI41115,APRENDiXiii DISCLOSURES 1. Confirmations. Confirmations of transactions. as wall se other communications will be sent to the address Groot has provided, or to such other address es Client may hereafter give to DOM In writing, and all communications so cont, whother by mak. Private carrier, facsimiles messenger, electronically or otherwise, shall be deemed delivered to Client when sent, whether actually received or rot, 2. Consent to Loon or pledge of Societe* and other Property. Within the lImitatIons imposed by Applicable Law. all SOCUIITIOS and Other Property now or hereafter held, carried or maintained by or in the possession of DOSI that have not been fully paid ter may be lent tie DBSI, to Pershing or to othbls. end may be pledged, motorised, hypothecated or rehypothacatosi without Mince to Client either separately or In common with othor Sac whin end Other Property of DOSI's other Clients for any amount due in any ecootmi With CASI in which Client has a o interest, or for anygreater amount, and 0851 may do so without retaining in its possession or control tor delivery a like amount of similar Set:outline ano Other Property. Client Understands that while securities held for Client's Accounts) am loaned out. Client will lose voting right, attendant to ouch securities. For additional terms that apply to-margin Wootenonly, sos the Margin Addendum. Neither Pershing, nor 0831, Wei lend or pledge fully paid fie' securities withoot client's written permission. 3. Corrected and Late Trade Reports. DOS' may receive tate and/or erroneous trade reports from the marketplace where Client's order is executed, Any such reports may result in an adjustment to Client's order eft the Intimation on a trade acoutinnanoorted to Client. 4, Moat of Attachment or Satidestrallon of AccOnnts. Das( shell not boilable for refusing to obey any orders given by qr for Client with respect to any Account which is or has been, subject to en attachment or sequestration In any legal proceeding against Client, and 0851 shell be uoder no obligation to contest the validity of any such attachment or sateoustratoo. 5. Foreign Securities. With respect to debt or oquity securities of foreign Issuers or debt or doposit instruments of tomer banks ("Foreign Smelliest"), Client acknowledges and understaode that; (a) Foreign Securities aro, In most cases, not registered with the Securities end Exchange Commission or gated or any US. securities exchange. (b) Foreign Securities, particularly those of Issuers In the so-called 'emerging markets" ate often Illiquid, aro sometimes subject tolegal ondier oennectual treater rostections and it maybe difficult or impossible to dispose or such Foreign Securities MCI to the maturity Oxnard or to determine the market price thereof for valuation purposes, tci Foreign Sawattlaa, end the Issuer guarantors comer obligors who respite( tHeruto (-Foreign Issuers/ Obligors-) are subject to a variety of risks in aduidon to those typically faced in the case of U.S. tocusos and issuers, including, (wrong other theme, currency risk, exchange controls, conlistatory taxation, withholding, limitations on the tights of security holders, eivir unmet, hyprowiliatien, discrIMinateni treatment of foreign Investors. etc.. id) there is ellen less in(ormation available regarding Foreign loeUers/Obilgors, and such information may be more difficult to interfRat, than Is the Case wim U.S. Issues whose roomiest are adheres to the parodic reporting requirements under U.S. securities laws, (Ohmic. may be no effective means to determine a Foretell Issuer/Obligor Is in default of its obligations in respect of Ile debt warless or other financial obligations lane Client specifically acknowledges that Foreign Securities with Client purchases may be in default at the time of Purchase), (I) Foreign Socialites in question May ho tafrated. end (9) such Foreign Securities ore not suitable for all investors. Client authorizes 0051 to purchase Foreign Securities (end, in the case of Foreign Securities denominated in foreign currencies. the relevant foltagn curronclos) from or sail Foreign Securities (and foreign exchange) to an Mellen, of 0851. In dealing with such Affiliates. such Affelotes may take ano retain their normal commissions. spreads or other ton without regard to DOSI'a reletionshipwith Client. 13. Frearlding Prohibeed (Not Applicable toiMargin Accounts'. Paying tor tho purchase of securities in a cash account with the proceeds ol their suosoquerd sale, known as freerlding. violttos Regulation Tot the Fodoral Reserve geed. le prohibited and may. among other things, moult In Client's Account being restricted or cased. 7. Impartial Lottery Allocation System. When 0891 holds Securillaa end Other Property that era callable tailor in portion Client's behalf, Chant will participate M 00514 !menthe lottery allocation system for the talkie Securities and Other Property. 8. Non-Investment Adviser Cepecity. Unless DOSI agrees otherwise in writing, DBSI Is not acting as an 'Investment adviser" (as such term is donned in the Investment Advisers Act of 1940, as amended) with respect to the Client's Account(s). 9. Nun•Unhad States Resident Additional Dlsolosure and Understanding. This disclosure apones to non -United States residents and non-United States domfclleo entities. Client's Account re band in the United States, and not in Client's country of residence. 0851 accounts, products and services miry not hove been registered, reviewed or approved by any governmental, banking or recruiter; regulator In Clinnt's coontry of residence or domicile, Ntit all of 0851 accounts, products, services or Investments Oro evadable to residents of all countries. Many countrles have various laws, rules end regulations that mey ripply to opening end maintaining accounts. products or services outside Client's country or residence ondomiclie, including reporting end fling requirements and laws, rules and regulations regarding taxes, exchange or capital controls, Client Is responsible for knowledge if and adherence to any such laws. rules and regulations and reporting or filing requirements In Client's country or iteMiCila of residence that might apply as a Meant& Client's Account with OBSI hi the United Stain. Those may Include but are not limited to, tax, foreign exchange or capital controls, and reporting or filing requirements that may apply es a result of Client'. country of °Wrens/Up, domicile or lotidenco. Olont ctersoily complies and weloontinde to comply with shy inch laws, rotas, regulations end reporting nr tiling nimeroments as required by Clients country of citizenship, residence or domicile. • • 13.AWMOIDS a 012146.one-is CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094923 CONFIDENTIAL SDNY_GM 00241107 EFTA01390419