ISDA August 2012 DF Protocol Questionnaire

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Cadwalader, Wickersham & Taft LLPDraft October 8,11, 2012Attorney-Client Work ProductFor discussion purposes only6. Designated Evaluation Agent InformationThe following information must be provided for PCA Principals that are not RegulatedSwap Entities or Special Entities and that wish to incorporate DF Schedule 3(Institutional Suitability Safe Harbor for Non-Special Entities) into Matched PCAs.(a)To answer this question, complete column 5 of the relevant row of the PCAPrincipal Answer Sheet by inserting a “Yes” or a “No,” as appropriate:For purposes of DF Schedule 3 (Institutional Suitability Safe Harbor for Non-Special Entities), does PCA Principal have one or more agents (other than anemployee of PCA Principal) that it wishes to designate as “DesignatedEvaluation Agents” and that are responsible for (i) evaluating investment riskswith regard to Swaps and trading strategies involving Swaps as well as any SwapRecommendations provided to PCA Principal and (ii) making trading decisionswith respect to Swaps on behalf of PCA Principal? (Please note that it ispermissible for a PCA Principal to enter into DF Schedule 3 without designatingan agent as its Designated Evaluation Agent provided that the PCA Principal canmake the representations provided in Part II of DF Schedule 3.)(b)Please provide the true name and address of each agent that PCA Principal wishesto designate as a “Designated Evaluation Agent” for purposes of DF Schedule 3(if the PCA Principal has only a single Designated Evaluation Agent that is thesame as its single Third Party Control Person, you may write “Same as ThirdParty Control Person”): 7Name:Address:Phone:Fax:E-mail:7CFTC Regulation 23.434(b)(1).-7-
Cadwalader, Wickersham & Taft LLPDraft October 8,11, 2012Attorney-Client Work ProductFor discussion purposes only7. Designated QIR InformationThe following information must be provided for PCA Principals that are SpecialEntities other than ERISA Special Entities, and that wish to incorporate DFSchedule 4 (Safe Harbors for Non-ERISA Special Entities) into Matched PCAs.Please provide the true name and address of each of PCA Principal’srepresentatives selected as a “Designated QIR” for purposes of the DFSupplement (if the PCA Principal has only a single Designated QIR that is thesame as its single Third Party Control Person, you may write “Same as ThirdParty Control Person”): 8Name:Address:Phone:Fax:E-mail:-8-
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ISDA August 2012 DF Protocol Questionnaire

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