Appendices Appendix 1 - Legal Entity Scope ©EE Legal Entity Scope v1.0.xlsx Appendix 2 - Customers Excluded Counterparties Out Of Scope for EinSiG Appendix 3 - Client List (as of December 8th 2016) EinSiG Client List O8122016 FINAL.xlsx Appendix 4 - New Customer Deposit Information Sheet (Post 3rd July 2015) DIS New Customer N (003 00000 00 I Appendix 5 - Existing Customer Deposit Information Sheet (Pre 3r0 July 2015) DIS Existing Customer >0CEN (003 Appendix 6 - Example Cover Letter Cover Letter Agent Countersign Many F Appendix 7 - EinSiG Regulatory Paper nye Deposit Guarantee Act.pdf For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066378 CONFIDENTIAL SDNY_GM_00212562 EFTA01372615