Annual/Periodic Review 36 months Due in: Periodic Review Comments : Temporary Waiver Information Waiver Status: DOR Complete Reason for Waiver: The DDR requires additional follow-up action/update. Waiver Requested By: Lucy Baglivo Date of Waiver Request: 12/29/2009 Approver for Waiver: Elizabeth X Hogan Waiver Approved On: 12/29/2009 Banker Approval Information Sponsorship affirmation - Based on my due diligence and the information provided , I approve and accept sponsorship of Darren K Indyke — as a Client from inception and throughout the client relationship. Mary C Casey 02/02/2010 09:55:25 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary C Casey, I approve the acceptance of Darren K Indyke ey as a Client. Marcus Sheridan 02/02/2010 11:01:35 AM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 12/29/2009 Last Modified: 02/02/2010 Submitted: 01/15/2010 03:57:17 PM By: Lucy Baglivo By: Marcus Sheridan By: Faith B Deceglia Audit History 7. 'Senior Manager Approval' performed by: Marcus Sheridan on: 02/02/2010 11:01:36 AM 6. 'Banker Approval' performed by: Mary C Casey on: 02/02/2010 09:55:25 AM 5. Submitted for Banker Approval SS Type = Full performed by: Faith B Deceglia on: 01/15/2010 03:57:19 PM 4. Button: 'Print' performed by: lavia S Hairston on: 12/29/2009 03:40:16 PM 3. Button: 'Approve Waiver performed by: Elizabeth X Hogan on: 12/29/2009 02:08:14 PM 2. Button :'Request Waiver performed by: Lucy Baglivo on: 12/29/2009 02:05:59 PM 1. Submitted for Security Services Approval performed by: Lucy Baglivo on: 12/29/2009 02:05:40 PM Converted Tracking Document History: Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00002955 SDNY_GM_00272153 EFTA01480739