United Kingdom â€“ ICAP Securities Matched Principal Trade Confirmation
ICAP Securities Limited is authorised and regulated by the Financial Conduct Authority and is a Member of the London Stock Exchange. ICAP Securities Limited is not a member of SIPC. This transaction is subject to English Law and ICAP Securities Limited accepts no liability for the commercial advisability of this transaction. Please advise ICAP Securities Limited within 24 hours via e-mail to EQConfirms@ICAP.com if the details of this confirmation differ from your understanding.
ICAP Corporates LLC is registered as a broker-dealer with the U.S. Securities and Exchange Commission, is a member of the Financial Industry Regulatory Authority, Inc. (www.FINRA.org), and is a member of the Securities Investor Protection Corporation ("SIPC") (www.sipc.org).
If you are a non-exempted US client under Section 15a-6 of the Securities Exchange Act of 1934, ICAP Corporates LLC is acting in the capacity of US intermediary broker-dealer for securities transactions. Transfer of funds and securities in connection with transactions effected pursuant to 15a-6 shall be directly between you and ICAP Securities Limited (or your or ICAP Securities Limited's respective agents or custodians). ICAP Corporates LLC acts as an intermediary agent under 15a-6 for ICAP Securities Limited with regard to securities transactions effected with non-exempted US clients pursuant to 15a-6, and the buyer and seller will be furnished upon written request. Inquiries should be directed to ICAP Corporates LLC, 1100 Plaza 5- Harborside Financial Centre, Jersey City, New Jersey NJ 07311, Tel +1 212 815 9076, Fax +1 212 521 4760.
If you are a "U.S. institutional investor" or "major U.S. institutional investor", as defined under Section 15a-6 of the Securities Exchange Act of 1934, and ICAP Corporates LLC has effected a transaction on your behalf as U.S. intermediary broker-dealer, please note the following:
1) It is understood and agreed that all transactions are subject to the rules and customs of the exchange or market (and its clearing house, if any) where they are executed.
2) Details concerning the type of order, venue, date and time of execution of your order are available upon your written request to ICAP Corporates LLC.
3) Commission rates are subject to negotiation, and any commissions charged to you in this transaction may be more or less than commissions charged to or by others in similar transactions. The source and amount of other commissions received in connection with this transaction will be furnished upon request.
4) If an odd-lot differential or fee has been charged, the amount of any such odd-lot differential or fee will be furnished upon request.
5) Call features may exist for securities. Call features for fixed income securities may affect yield. Complete information will be provided upon request.
6) In the case of a transaction in a debt security, other than a government security, the security may be unrated by a nationally recognised statistical rating organisation. Please contact ICAP Corporates LLC at the telephone number referenced above for more information.
7) If this transaction involves an asset-backed security, which represents an interest in or is secured by a pool of receivables or other financial assets that are subject continuously to prepayment, the actual yield of such asset-backed security may vary according to the rate at which the underlying receivables or other financial assets are prepaid. Information concerning the factors that affect yield (including at a minimum estimated yield, weighted average life, and the prepayment assumptions underlying yield) will be furnished upon written request of such customer.
This communication and all information (including market prices/levels and data) contained therein (the "Information") is for informational purposes only, is confidential and is the intellectual property of ICAP. Redistribution is prohibited. The Information is not, and should not be construed as, an offer, bid, recommendation or solicitation in relation to any financial instrument or investment or as an official confirmation of any transaction. The Information is not warranted, including, but not limited, as to completeness, timeliness or accuracy and is subject to change without notice. All representations and warranties are expressly disclaimed. The Information does not necessary reflect the views of ICAP.