[User's Letterhead]
Notice
DTCC Derivatives Repository (Japan) K.K.
3F Shiodome Building
1-2-20 Kaigan, Minato-Ku
Tokyo 105-0022, Japan
DTCC Derivatives Repository LTD
7th Floor Broadgate West
One Snowden Street
London United Kingdom EC2A 2DQ
Ladies and Gentlemen:
This notice is being provided to you (collectively, the “Companies”) pursuant to Section 3 of the
Important Legal Information provisions of each of the Companies’ respective Operating Procedures. The
Operating Procedures govern the terms pursuant to which the undersigned receives from one or more
of the Companies access to certain services and systems as set forth in the User Agreements we have
previously executed with one or more of the Companies.
This notice is to be relied upon by each Company and any of its successors which now or in the future
may provide trade repository services in the United States and/or overseas.
You are hereby notified that we intend to access your trade repository systems through Computer-toComputer Links established by
(the “Service Provider”). As it relates to trade reporting 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 upon provision of proper notice to the Companies.
The undersigned acknowledges that:
a) the Service Provider’s Computer-to-Computer Links may be used to provide access to the
Companies’ systems to other Users (as defined in the Operating Procedures) who may not be
affiliated with the undersigned.
b) regardless of any provisions to the contrary in the applicable Operating Procedures, if the
undersigned has selected “Submit Messages” with respect to any product(s) listed in the Service
Provider Authorization Elections Form attached hereto, then it agrees, until such time as it
terminates any such selection (by providing written notice of such termination), that for all
purposes under the Operating Procedures, Records (as defined in the Operating Procedures)
with respect to such product(s) that are submitted to a trade repository as provided in the
GTR- SDR Authorization Notice
July 2012
applicable Operating Procedures, and 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 Computer-to-Computer Links
established with the Service Provider.
c) contractual matters between the Service Provider and the undersigned (including on
performances and breaches) are matters between such Service Provider and the undersigned,
and not between the undersigned and the Companies or any of its affiliates or successors.
d) Subject to Section 9 of the Important Legal Information section of the applicable Operating
Procedures, no Company (other than MarkitSERV LLC or MarkitSERV Ltd., the liability of which
shall be governed by the terms of the User Agreement) shall have any liability for any failure of
the Service Provider to submit correct Transaction Records to its systems, or otherwise to
properly use its systems, through Computer- to-Computer Links.
The undersigned hereby submits this notice on behalf of itself and each entity/fund that is listed in the
attached Appendix A, as amended from time to time (“Appendix A”), as if each such entity/fund had
executed a separate notice naming only itself as the User. No entity/fund that is listed in Appendix A
shall have any liability under this document for the obligations of any other entity/fund that is listed in
Appendix A solely by reason of being listed in Appendix 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 Appendix A (each such entity/fund individually, the “User”)
By: [Print name of company signing on behalf of entity/fund (i.e., the name of Investment Company) or
name of authorized signer, if Users are not funds],
As authorized signer, with an address at
[Insert Address]
By:
Name:
Title:
GTR- SDR Authorization Notice
July 2012
Service Provider Authorization Elections Form
 Please indicate below which service(s) you are authorizing the Service Provider to provide, and the means by which the Service Provider will access the
Deriv/SERV systems on your firm’s behalf. For each product, specify if you are authorizing access for Production, Test or both.
 For additional information, please contact your Account Manager or the Third Party Provider Relationship team at derivserv_providerrelations@dtcc.com.
 Please submit this form to: gtr_onboarding@dtcc.com with a copy to derivserv_providerrelations@dtcc.com.
Global Trade Repository
service
Submit Messages
Receive Reports
Production and/or
Test
GTR for Credit
DDRJ for Credit
Real Time
PET
Confirmation
Valuation
Verification
Activity Report
Position
Indicative Exception (Warning ) Report
Production
Test
GTR for Interest Rates
DDRJ for Interest Rates
Real Time
PET
Confirmation
Valuation
Verification
Activity Report
Position
Indicative Exception (Warning ) Report
Production
Test
GTR for Equities
DDRJ for Equities
Real Time
PET
Confirmation
Valuation
Verification
Activity Report
Position
Indicative Exception (Warning ) Report
Production
Test
GTR for Foreign Exchange
DDRJ for Foreign Exchange
Real Time
PET
Confirmation
Valuation
Verification
Activity Report
Position
Indicative Exception (Warning ) Report
Production
Test
GTR for Commodities
DDRJ for Commodities
Real Time
PET
Confirmation
Valuation
Verification
Activity Report
Position
Indicative Exception (Warning ) Report
Production
Test
Firm Name
GTR- SDR Authorization Notice
July 2012
Appendix 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 ID
Legal Name
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
(Add additional lines as necessary)
GTR- SDR Authorization Notice
July 2012