Luxembourg Annex 1 to the Special terms and conditions for securities transactions Valid as from 1 September 2011
In order to achieve the best possible result in executing security orders, the bank has selected and weighted the following criteria for selecting the trading centres in accordance with the statutory requirements. Weighting of Criteria for Selecting the Trading Centre Criterion Relative Weighting 1 Price of Financial Instrument 50 % Costs for Execution of Order 20 % Speed of Execution 15 % Probability of Execution 5 % Probability of Processing 10 % 1 All other criteria have been weighted at 0% Execution of Orders The bank will forward certain commission orders of its customers to DZ BANK AG for purposes of execution. The orders which are intended for forwarding are listed in the column Execution via in the following table. In doing so, DZ BANK AG is responsible for order management and order routing and carries out the analysis and selection of the execution locations in detail, with consideration of the weighting of the relevant criteria for the best possible order execution as assessed by the bank. network). Subsequent to checking with due care on the basis of statutory requirements, the bank has reached the conclusion that DZ BANK AG will guarantee the best possible execution of forwarded orders for the customers. Resulting from the provision of standardised processes which are adjusted to the bank, execution of customer orders via DZ BANK AG enables an effective and inexpensive execution, processing or settlement of securities transactions and also considers the special requirements of the bank. Cost benefits in the execution, processing and settlement of orders are achieved for customers by bundling these factors. In addition, the provided infrastructure fulfils the criteria regarding speed and probability of execution. For all other products and markets, the bank carries out the orders itself according to its execution principles. Based on its custodian bank function for numerous investment funds, the bank is provided with a global depository and contracting party network. For customers, this results in positive economies of scale regarding execution costs and execution quality. Accordingly, if there is no conflict with other factors, the bank will always have orders carried out in the domestic market of the issue. As customary, the bank will forward orders to other service providers who are bound to the bank by instructions. These service providers are also listed in the column Execution via in the following table. The selection of DZ BANK AG as the executing security order services company was based on the particular performance relationship in the Finanz Verbund (German cooperative Financial Services Trading centres German Shares Part of Indices: DAX 30, MDAX, TecDAX Part of Indices: DAX 30, MDAX, TecDAX 8.00 5.27 p.m. 5.28 7.59 p.m. Commission DZ BANK AG Xetra Other Subscription DZ BANK AG is in the consortium Commission DZ BANK AG DZ BANK AG Subscription DZ BANK AG is not in the consortium Commission DZ BANK AG Consortium
Shares from other Countries listed outside Commission AK Jensen Ltd., HSBC Bank PLC, Knight Equity Markets, International Ltd. (Europe), Brown Brothers Harriman & Co (USA), Instinet Europe Ltd. (Asien/Ozeanien), BMO Capital Markets (Canada) Trading centre outside Sale Sale Kept and Part of indices in Dow Jones EURO STOXX 50 Kept and Part of indices in Dow Jones EURO STOXX 50 8.00 5.27 p.m. 17.28 19.59 pm Commission DZ BANK AG Xetra Sale Others with stocks, safe kept, traded and listed Subscription DZ BANK AG is in the consortium Commission DZ BANK AG DZ BANK AG Subscription DZ BANK AG is not in the consortium Commission Consortium Consortium Bonds (Interest Products incl. Participation Certificates) listed, stock kept listed, stock kept Not traded on the stock exchange, stock kept Commission Issuer, Market Maker Off-exchange Commission Issuer, Market Maker Off-exchange Values kept outside Commission Issuer, Market Maker Off-exchange Interest products in own stock Fixed price DZ PRIVATBANK S.A. DZ PRIVATBANK S.A. Exchange Traded Funds (ETFs) Investment Share Certificates Listed on Xetra Commission DZ BANK AG Xetra Other Investment Share Certificates Other Investment Share Certificates Commission Issuer (capital investment company), funds trading platform attrax S.A. Issuer (capital investment company), funds trading attrax S.A. Subscription rights Stock allows execution (sale), traded on the stock exchange, listed Stock kept outside only (sale), traded on the stock exchange, listed outside, selection of stock exchange by type of safekeeping and according to the list of Stock markets outside Commission AK Jensen Ltd., HSBC Bank PLC, Knight Equity Markets, International Ltd. (Europe), Brown Brothers Harriman & Co (USA), Instinet Europe Ltd. (Asien/Ozeanien), BMO Capital Markets (Canada) Trading centre outside
Warrants of Own Issue from DZ BANK AG Without limit, GENO-X possible Commission DZ BANK AG DZ BANK AG Without limit, GENO-X not possible, traded on the stock exchange, listed With limit, traded on the stock exchange, listed GENO-X not possible, not traded on the stock exchange Commission DZ BANK AG DZ BANK AG Warrants from other Issuers listed in only listed Commission Issuer Issuer or trading centre outside Instruments not traded on the stock exchange Commission Issuer Issuer Certificates of Own Issue from DZ BANK AG Traded on the stock exchange listed only listed outside Commission Issuer Issuer or trading centre outside Subscription Traded on the stock exchange Commission Issuer Issuer Instruments not traded on the Commission Issuer Issuer or subscription stock exchange Subscription Commission DZ BANK AG DZ BANK AG Certificates from other Issuers listed only listed outside Commission Issuer Issuer or trading centre outside Subscription Traded on the stock exchange Commission Issuer Issuer or subscription Instruments not traded on the stock exchange Commission Issuer Issuer Futures traded on the stock exchange EUREX-traded instruments Commission DZ PRIVATBANK S.A EUREX Non-EUREX Commission Barclays Bank PLC Futures exchange outside Options traded on the stock exchange EUREX-traded instruments Commission DZ PRIVATBANK S.A. EUREX Non-EUREX Commission Barclays Bank PLC Futures exchange outside Other Financial Products OTC derivatives Fixed price DZ PRIVATBANK S.A. DZ PRIVATBANK S.A. SWAPs Fixed price DZ PRIVATBANK S.A. DZ PRIVATBANK S.A. Money market products Fixed price DZ PRIVATBANK S.A. DZ PRIVATBANK S.A. Precious metals Commission Market Maker Market Maker Precious metals Fixed price DZ PRIVATBANK S.A. DZ PRIVATBANK S.A.
German Stock Markets Stock Market ISO Country Code Country Description Berlin DE DÜSSELDORF DE FRANKFURT DE HAMBURG DE HANOVER DE MUNICH DE STUTTGART DE XETRA DE Stock Markets outside Stock Market ISO Country Code Country Description VIENNA AT Austria SYDNEY AU Australia BRUSSELS BE Belgium MONTREAL CA Canada TORONTO CA Canada VANCOUVER CA Canada BERN EXCHANGE CH Switzerland VIRT-X CHF CH Switzerland ZURICH / EBS CH Switzerland Prague CZ Czechia COPENHAGEN DK Denmark MADRID ES Spain HELSINKI FI Finland PARIS FR France ATHENS GR Greece LONDON STOCK EXCHANGE GB Great Britain HONG KONG HK Hong Kong BUDAPEST HU Hungary JAKARTA ID Indonesia Dublin IE Ireland MILAN IT Italy OSAKA JP Japan TOKYO JP Japan Seoul KR South Korea LUXEMBOURG LU Luxembourg MEXICO MX Mexico Kuala Lumpur MY Malaysia AMSTERDAM NL Netherlands OSLO NO Norway Wellington NZ New Zealand Warsaw PL Poland LISBON PT Portugal JOHANNESBURG SA South Africa STOCKHOLM SE Sweden SINGAPUR SG Singapore BANGKOK TH Thailand Istanbul TR Turkey NEW YORK (NASDAQ) US USA NEW YORK (NYSE) US USA PHILADELPHIA STOCK EXCHANGE US USA
09/11 Futures Exchanges Stock Market ISO Country Code Country Description Vienna stock market at AT Austria Sydney Futures Exchange AU Australia Euronext Brüssel BE Belgium EUREX CH Switzerland EUREX DE COP Copenhagen Exchange (OMX) DK Denmark Euronext LIFFE GB Great Britain ADE Athens Derivative Exchange GR Greece EUREX FI Finland Euronext Paris FR France Hong Kong Futures Exchange HK Hong Kong Borsa Italiana (IDEM) IT Italy Tokyo Stock Exchange JP Japan Euronext Amsterdam NL Netherlands OBX Oslo Stock Exchange (OMX) NW Norway SSE Stockholm Stock Exchange (OMX) SE Sweden MFM Meff Renta Variable Madrid SP Spain Singapore Exchange SG Singapore American Exchange (AMEX) US USA Boston Exchange (BOX) US USA Chicago Board Options Exchange (CBOE) US USA Chicago Mercantile Exchange (CME) US USA International Security Exchange (ISE) US USA New York Stock Exchange (NYSE) US USA Philadelphia Exchange (PHLX) US USA DZ PRIVATBANK S.A. Boîte postale 661 L-2016 Luxembourg