EFTA Document EFTA01390420

10. Notices. Melees and other communications may also be provided to Client verbally. Such notices and other communications lett for Client on Client's answering machine, voice malt. electronic mail or otherwise, are considered to have been delivered to Client whether actually received or not Transactions entered into Client's Account shall he confirmed by NISI In writing where reedited by taw or regulation. °BSI will not send separate confirmations for the following transactions: (*dividends or distributions credited or reinvested, or transactions effected pursuant to a Dhadend neinvostrnot Plan lb) shares of money market funds That ere purchased or redeemed. or ore part of the Cash Sweep Options. or (c),'IrentectIons effected pursuant to a pododtc plan or en investment company plan. Clients periodic account statements will reflect these transactions. Notices concerning ell matters rolotod to Account(s) usually wig go through DBSI *though Farthing may send natter*) *reedy to Client with a duPlictne to DOSI should merest coneitlem, tfilleconetraInti or other circumstance:0o require. 11. Potelble Conflicts of Internet Services end recommendations that DBSI provides to Clam may differ from the services end recommendations provided to other Clients ar by other inolviduala er groups et DBSI Jnd/or affiliate* et Deutsche Bank.AG, whether acting es principal or agent. 0051 provides investment advine, portfolio management and execution services for Many Clients and. In addition, acts os principal In various markets. Given these different rotas, indhrlduals and groups et DBSI and affiliates of Deutsche Bank AG sto seldom of ono view es to en investment strategy end may emus differing or eonfichng strotoglos. Employees of 09SI shell have no obligation to recommend to Client, or Inform Client of. strategies being pursued by DB51 or Other Clients. Further. to) 08St and its affiliates may provide den/Master • fee to or solicit Waren from companies whose securities aro recommender' by 0881, lb) DBSI and Its effilimas may be pent tees by Investment cotripsnles registered unonr the lovashnont Cornoany Act of 1940 or other Investment vehides. including without limitation, feel for acting es investment advisor. administrator, custodian phd bensferegent, end tc)D8SI and its affiliates oat as brokers, pda cepa,* ondlor market milkers In °attain markets end maydo se in utilisation: with Client DBSI may recommend securities or strategies that are issued, underWrMen, implemented ca advised by oast or one or more of its off holes. 0881 may receive compensation, In addition to the compensation Client pays 0081. In the format (Jule 12D-1 feet criernoution fees. tinder's feet fees based upon Lund ree Amerman% fees end cash at norecash payments that aro paid by mutual funds (cut of fund assets In the case of Rule 120.1 teas) or by the monsoons end other serried providers to the funds (not out of fund octets). ()BSI also participates In s pmgmm offered by Pershing, ender which 0851 shares in revenue received by Paneling from mutual times offeretiron the Farthing Platrunn. All of these payments may vary bated on sates volume or assets under marvagemonf snd may give NISI o financial Incentive to recommend certain funds or etrourgles and to Include those funds In models and progrems. In midi:Ion, OBSI may receive trail compensation in connection with sales of auction rata seouritieS. 12. Securities Investor Protection Corporation (SIPC). DBSI provides SIPC coverage through Pershing and/or as e member of SIPC. Ron addhional irdormation on this coyotes* see www.SIPC.org or cell thin SIPC public information number (201) 371-0300. Client will refer to the Annual Disclosure Materna*, at hurxrAvvyw.pwm.ditcom/amerieas/ entennualdIsciotwestatement html for additional Information regarding SIPC end excess of SIPC coverage. 13. Ta*Exompt Entities. Cnarltabto remainder trusts, foundallobt, pension plans and otnei Isx.exempt entities may be downed to:scent unrelated business taxoole Income (UBT1) es a result of inverting In convict securities, burrowing Memos under a margin loan, Investing in a partnership m limited liability company that generates UBT1 or other Weenie* or loan arrangements. Tekeeemet entitles strouktconsult with their tax adviser before meklo0'en • investment or entering Into such euanparnent ff Clint's porter* Aocpunt Statement indicate(' that any Secuntws . wore forwarded to Client and Client hos not received them. Client should notify 0881 immediately. If notification is received within 120 nays ohm the mailing date, es refidcted on Client's Account Statement, replacement wig be made ire. of enrage. Thoroshot a foe tor replacement may apply. DEFINITIONS The following are definitions of °Wein terms that are used within this AcccuntAgreemem. As roquiredthe singular shell be plural iced the pawed shall be singular. 1. 'Account Agreetnnor miens to written agreement entered Into between aientis) end DDT regarding Chaotic? Aceount(s). The Account Aerernment 'naiades tan Terms ens Conelliens. ArnitralloneTax Eleatiouthscleration of Tax Status, and the Appendix to the Account Agreement, °swell es any other &epeeists:e disclosure documents related to Clients Account(s). together with any amendments or aupnlemoni, to watt document,. Thera may be eisoimures. agrooMent$ end tonne applicable toe particular feature program. acenUrn or soda plodded ate result ate Client election, modification,* or addition to the Account Agreement. change In service or otherwise. DOM will provide to Client such dlatlesurse agreements end terms, which shell bo incorporated Into this Actaeon Agreement by reference. Front brae In time. DBSI ntay require that Client sign other agreements or doeuments for certain services or instructions and such additional agreements and documents shalt become part et this Account Agreement. 2. "Affillisto(s)* means any entity that is controlled by, Controls or Is under coMmon cony* with DOSI. DEISI Is it subsidiary of Deutsche Donk AU. Each elfelnta is a separate legal entity. 3. "Applicable la' means the etenditUtiOrt rules, radtilal;ond customs and usages of the exchange or motet, end its clearing house. If any, where le transaction is executed end epplicsbre federal end state laws and regulations, including butnot Grnited to impurities laws end regulations (including the rule' end regulations of the Sot:drills:4 end Exchange Commission and the Federal Reserve Beentliorforalgn securities regulator, as applicable). and the rules and regulations of FINR A, or eny other sref-iegubteryegoccies or orgenfrations having governing authority to tronsaction In en Account In effect from time to time. 'Applicable Law' shell also Include the rules 01 any merriest securities association, registered securities exchange or of the Options Clearing Corporation or other clearing organization eoplicsbW to the trading of option contracts. 13.AWI-Otte i 1 0121431132513 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094924 CONFIDENTIAL SDNY_GM_00241108 EFTA01390420