Service Provider Notice - Multiple Entity/Fund
DTCC Derivatives Repository Ltd.
7th Floor Broadgate West
One Snowden Street
London United Kingdom EC2A 2DQ
MarkitSERV, LLC
DTCC Deriv/SERV LLC
The Warehouse Trust Company LLC
55 Water Street
New York, New York 10041
Ladies and Gentlemen:
This notice is being provided to you pursuant to Section 3 of the Important Legal Information provisions of your respective Operating Procedures which govern the terms pursuant to which you provide to the undersigned certain services and systems, as set forth in the User Agreement we have previously executed with you.
This notice is to be relied upon by each of you and any successors and/or affiliates which now or in the future may provide services in the United States and overseas (each, an “Addressee” and, collectively, the “Addressees”) in connection with our derivative trading activities.
You are hereby notified that we intend to access your respective systems through electronic interfaces established by (the “Service Provider”). As it relates to our derivatives trading activities, the Service Provider’s access on our behalf will be limited to those services selected in the Service Provider Authorization Elections Form attached hereto, as such form may be amended from time to time by the undersigned at such time as it is accepted by you, such acceptance deemed upon your implementation of the elections made herein.
The undersigned acknowledges that:
a)it or its agents, including the Service Provider, may access the applicable system’s Web Front End by means of digital certificate(s) and password(s), or other secure identifiers, assigned to the Service Provider or its affiliates by you;
b)the Service Provider’s interface may be used to provide access to your systems on behalf of other Users (as defined in the Operating Procedures), who may not be affiliated with the undersigned;
c)regardless of any provisions to the contrary in the applicable Operating Procedures, if the undersigned has selected “Submit Trades”, “Submit assignment transactions” or “Trade Processing on MarkitWire” with respect to any MarkitSERV service in the Service Provider Authorization Elections Form attached hereto, then the undersigned agrees that for all purposes under the applicable Operating Procedures, Transaction Records, Records and/or Trade Communications, as applicable, that are submitted to the system as provided in the applicable Operating Procedures that indicate the undersigned as the submitting party shall be conclusively presumed to have been duly authorized by the undersigned whenever such records are determined to have been submitted through the electronic interface established with the Service Provider, or through access of the Web Front End by means of the digital certificate(s) and password(s), or other secure identifiers, assigned to the Service Provider;
d)contractual matters between the Service Provider and the undersigned (including on performances and breaches) are matters between such Service Provider and us, and not between us and any of you or your affiliates or successors; and
e)subject to Section 9 of the Important Legal Information section of the Applicable Operating Procedures, none of the Addressees shall have any liability for any failure of the Service Provider to submit correct Transaction Records to their systems, or otherwise to properly use their systems, through their electronic interface.
The undersigned hereby submits this notice on behalf of itself and each entity/fund that is listed in the attached Annex A as amended from time to time (“Annex A”) as if each such entity/fund has executed a separate document naming only itself as the User. No entity/fund that is listed in Annex A shall have any liability under this document for the obligations of any other entity/fund that is listed in Annex A solely by reason of being listed in Annex A.
Capitalized terms used but not defined herein shall have the meaning specified in the User Agreement or the applicable Operating Procedures.
Each entity/fund that is listed in Annex A (each such entity/fund individually, the “User”)
Legal Name: ,
[Print the name of the company, partnership, etc. signing on behalf of the entity/fund (e.g., the name of Investment Company)]
as
[Insert authorized role/capacity of the company, partnership, etc. above (e.g., Investment Manager or Asset Manager)]
with an address at
[Insert address including the Country]
By:
[Signature]
Name:
Title:
11/20/13 / Page 1 of 4 / Oct 1 2008
Service Provider Authorization Elections Form
- This section is to indicate which service(s) you are authorizing the Service Provider for, and how the Service Provider will access the MarkitSERV and/or Deriv/SERV systems on your firm’s behalf. For each product, specify if you are authorizing access for Production, Test or both.
- ’Submit Trades’ versus ‘Copies of Messages’ (please do not check both):
- Checking ‘Submit Trades’ will result in authorizing the Service Provider to submit trades on your behalf as well as receive your message output and includes authority to submit all Post Trade Events that the platform supports, including assignments, terminations, increases, TRI changes, position inquiries, exits, amendments et. al.
- The DSMatch services have a ‘Copies of Messages’ option. You may choose this to authorize the Service Provider only to receive copies of your message output, and optionally inquire to retrieve copies of your positions in the system. Under this option, the Service Provider will not be able to submit trades on your behalf.
- ‘Submit assignment transactions for a novated trade from the Service Provider’s novation consent platform’ includes the authority to submit position inquiries and TRI changes in addition to assignment transactions.
- For additional information, please contact your Account Manager or the Third Party Provider Relationship team at .
- Please submit this form to: with a copy to .
MarkitSERV Service / Product / Service Authorized: / Production and/or Test
DSMatch for Credit /
- All Credit Products
Daily Full Reconciliation Report 1
Submit assignment transactions for a novated trade from the Service Provider’s novation consent platform / Production Test
Production Test
Production Test
DSMatch for Interest Rates /
- All Interest Rates Products
DSMatch for Equities /
- All Equities Products
Daily Equities Report2 / Production Test
Production Test
DSMatch for Foreign Exchange /
- All FX Products
Credit Novation Consent /
- All Available Products
Client API / Trade Manager (MTM) / Client API (with Trade Manager)
Trade Manager (CSV only) / Clearing All Rates All Credit / Production Test
Allocation Delivery Rates All Credit
Confirmation – MarkitWire All Rates Equity Options Equity Variance Swaps
MarkitWire /
- All Credit Products
Deriv/SERV Service / Product / Service Authorized: / Production and/or Test
PayRec /
- Payment Credit
Warehouse Post-Trade Services /
- Warehouse Payments
- Warehouse Central Settlement
Receive Warehouse Settlement Messages or Suite of Settlement Reports / Production Test
Production Test
1 This output product requires the Service Provider to have AutoRoute capability. This report is generated by the Deriv/SERV service.
2 This output product requires the Service Provider to have AutoRoute capability.
3 Pursuant to the User Agreement, Dealers choosing this workflow will be subject to the MarkitSERV fees and charges as specified in the Pricing Schedule, Appendix A to the MarkitSERV Operating Procedures.
Name of Firm:
Service Provider Notice - Multiple Entity/Fund / Page 1 of 4 / Oct 1 2008Annex A to the Supplement
(Complete this page if more than one entity/fund is being authorized)
Entities/Funds Included in Supplement and Service Provider Authorization Election Form
Account IDLegal Name
(Add additional lines as necessary)
Service Provider Notice - Multiple Entity/Fund / Page 1 of 4 / Oct 1 2008