EPSTEIN
page 7 / 388 . OCR, unverified
purchase), (f) Foreign Securities in question may be unrated, and (g) such Foreign Securities are not suitable for all
investors. Client authorizes DBSI to purchase Foreign Securities (and, in the case of Foreign Securities
denominated in foreign currencies, the relevant foreign currencies) from or sell Foreign Securities (and foreign
exchange) to an Affiliate of DBSI. In dealing with such Affiliates, such Affiliates may take and retain their normal
commissions, spreads or other fees without regard to DBSI's relationship with Client.
6. Freeriding Prohibited (Not Applicable to Margin Accounts). Paying for the purchase of securities in a cash account
with the proceeds of their subsequent sale, known as freeriding, violates Regulation T of the Federal Reserve
Board, is prohibited and may, among other things, result in Client's Account being restricted or closed.
7. Impartial Lottery Allocation System. When DBSI holds Securities and Other Property that are callable (all or in
part) on Client's behalf, Client will participate in DBSI's impartial lottery allocation system for the called Securities
and Other Property.
8. Non-Investment Adviser Capacity. Unless DBSI agrees otherwise in wilting, DBSI is not acting as an Investment
adviser (as such tennis defined in the Investment Advisers Act of 1940, as amended) with respect to the Client's
Account(s).
9. Non-United States Resident Additional Disclosure and Understanding. This disclosure applies to non-United
States residents and non-United States domiciled entities. Client's Account is based in the United States, and not
in Client's country of residence. DBSI accounts, products and services may not have been registered, reviewed or
approved by any govemmental, banking or securities regulator in Client's country of residence or domicile. Not all
of DBSI accounts, products, services or investments are available to residents of all countries. Many countries
have various laws, rules and regulations that may apply to opening and maintaining accounts, products or services
outside Client's country of residence or domicile, including reporting and filing requirements and laws, rules and
regulations regarding taxes, exchange or capital controls. Client is responsible for knowledge of and adherence to
any such laws, rules and regulations and reporting or filing requirements in Client's country or domicile of
residence that might apply as a result of Client's Account with DBSI in the United States. These may include but
are not limited to, tax, foreign exchange or capital controls, and reporting or filing requirements that may apply as
a result of Client's country of citizenship, domicile or residence. Client currently complies and will continue to
comply with any such laws, rules, regulations and reporting or filing requirements as required by Client's country
of citizenship, residence or domicile.
13.AWM•0196
012145.032813
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e)
DB-SDNY-0104187
CONFIDENTIAL
SONY GM_00250371
EFTA01448976
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10. Notices. Notices and other communications may also be provided to Client verbally. Such notices and other
communications left for Client on Client's answering machine, voice mail, electronic mail or otherwise, are
considered to have been delivered to Client whether actually received or not. Transactions entered into Client's
Account shall be confirmed by DBSI in writing where required by law or regulation. DBSI will not send separate
confirmations for the following transactions: (a) dividends or distributions credited or reinvested, or transactions
effected pursuant to a Dividend Reinvestment Plan, (b) shares of money market funds that are purchased or
redeemed, or are part of the Cash Sweep Options, or (c) transactions effected pursuant to a periodic plan or an
investment company plan. Client's periodic account statements will reflect these transactions. Notices concerning all
matters related to Account(s) usually will go through DBSI although Pershing may send notices) directly to Client
with a duplicate to DBSI should market conditions, time constraints or other circumstances so require.
11. Possible Conflicts of Interest. Services and recommendations that DBSI provides to Client may differ from the
services and recommendations provided to other Clients or by other individuals or groups at DBSI and/or affiliates of
Deutsche Bank AG, whether acting as principal or agent. DBSI provides investment advice, portfolio management
and execution services for many Clients and, in addition, acts as principal in various markets. Given these different
roles, individuals and groups at DBSI and affiliates of Deutsche Bank AG are seldom of one view as to an investment
strategy and may pursue differing or conflicting strategies. Employees of DBSI shall have no obligation to