Customers wishing to receive the MiFIR Data Service are required to register using this Registration Form.

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1 MiFIR Data Service Registration Form and Terms & Conditions The revised EU Markets in Financial Instruments Directive (MiFID II) and the accompanying EU Markets in Financial Instruments Regulation (MiFIR) require EU market participants to report trades executed in certain derivative contracts. More specifically, market participants are required to report trades in contracts that are financial instruments (within the meaning of MiFID II): admitted to trading or traded on a EU trading venue (within the meaning of MiFID II) or for which request for admission to trading has been made; based on an underlying financial instrument that is traded on a EU trading venue; or based on an underlying index or basket composed of financial instruments traded on a EU trading venue. Chicago Mercantile Exchange Inc. ( CME ), the Board of Trade of the City of Chicago, Inc. ( CBOT ), New York Mercantile Exchange, Inc. ( NYMEX ) and Commodity Exchange, Inc. ( COMEX ) (each an Exchange ) may list for trading from time to time such contracts that are reportable by EU participants under the above standards (MiFIR Reportable Contracts). While the Exchange is not subject to MiFIR, EU participants trading on the Exchange may be obligated to report MiFIR Reportable Contracts. In order to help our EU customers meet their MiFIR reporting obligations when executing transactions in MiFIR Reportable Contracts on the Exchange, the Exchange provides a data service under which the Exchange makes available to customers certain data relating to their transactions in MiFIR Reportable Contracts executed on the Exchange (the MiFIR Data Service). Customers wishing to receive the MiFIR Data Service are required to register using this Registration Form. MiFIR Data Service overview Where a customer registers for the MiFIR Data Service, the Exchange will make available to that customer and its clearing member certain data in respect of transactions in MiFIR Reportable Contracts executed on the Exchange by that customer (MiFIR Data). MiFIR Data will be made available to the customer and its clearing member by the Exchange in respect of each transaction in a MiFIR Reportable Contract as a CSV file: for download from a secure FTP folder location; and / or via the Enterprise Reporting Portal (EREP) GUI, by 24:00h (US Central Time) on the day of execution of the transaction. Further details on the scope and format of the MiFIR Data made available to customers of the MiFIR Data Service is available in the MiFIR Transaction Reporting User Guide accessible at 1

2 Please note that the MiFIR Data Service is limited to making the MiFIR Data available to customers registered for the service and their clearing members. The MiFIR Data Service does not provide a delegated transaction reporting service to any national competent authority, approved reporting mechanism or trade repository under MiFIR. Customers subject to the MiFIR reporting obligation will need to make their own arrangements for the submission of transaction reports required under MiFIR in accordance with the relevant requirements under MiFIR. A list of the MiFIR Reportable Contracts traded on CME Group venues (including the Exchange) is available at: The MiFIR Data Service is available in relation to any transactions executed in such contracts on the Exchange or other CME Group venues. Nothing in this Registration Form, the Terms and Conditions, the list of MiFIR Reportable Contracts or the MiFIR Data Service shall constitute legal or regulatory advice as to the applicability of the MiFIR reporting obligation to products traded on the Exchange. Responsibility for compliance with applicable regulatory requirements under MiFIR, including identifying contracts that are reportable under MiFIR, verifying data and submitting transaction reports in accordance with MiFIR requirements, shall remain the exclusive responsibility of the customer. the Exchange and CME Group provides no warranty or representation as to the accuracy or completeness of the list of MiFIR Reportable Contracts or the application of the MiFIR reporting obligation to CME Group products. Customers should obtain their own legal advice on the application of the requirements of MiFIR. If you wish to appoint the Exchange to provide the MiFIR Data Service to you on the terms set out in the MiFIR Data Service for Exchange Customers Terms and Conditions (the Terms and Conditions), you must: Step 1: Read the Terms and Conditions set out in this document. Step 2: Complete the MiFIR Data Service Registration Form below, including all the relevant required information and signifying your agreement to the Terms and Conditions. Step 3: Send your completed MiFIR Data Service Registration Form, together with all the relevant required information and the signed Terms and Conditions via to GAMEMEA@cmegroup.com. Step 4: We will notify you when we consider your application is complete and all of the relevant information has been provided in a form satisfactory to us by providing written confirmation to you that we will commence provision of the MiFIR Data Service pursuant to the Terms and Conditions from the specified start date indicated in such confirmation (subject to satisfactory completion of Step 5 below). Step 5: We will work with you to complete the onboarding and connection process, which may include provision of certain key information and data by you in a specified form to us. Capitalized terms used herein have the meaning given to them in the Terms and Conditions. 2

3 MiFIR Data Service Registration Form Section A: Registration Form 1. Customer Information (*Required) Company Name* Parent Company (if applicable) Street Address* Address Line 2 City* County/State/Province* Zip/Postal Code* Country* FTP / EREP User First Name Last Name Telephone CME Group Login FTP / EREP User First Name Last Name Telephone CME Group Login 3

4 If you or any required users do not have a CME Group Login, you will need to obtain one before submitting this application in order to access data via the secure FTP folder or EREP GUI. Please click here ( to complete an instant application form for a CME Group Login. A CME Group Login is a self-managed, secure user profile which contains contact and security information. CME now requires all system users to create user profiles prior to gaining access to CME applications. The Customer is responsible for ensuring each CME Group Login is used only by authorized persons of the Customer. Please note that the data provided by the Customer in this MiFIR Data Service Registration Form includes information that will be used by the Exchange in order to generate part of the MiFIR Data (as defined in the Terms and Conditions). Such data shall be utilized by the Exchange for the purposes of the MiFIR Data until such data is amended or updated by the Customer by providing notice to the Exchange in accordance with the MiFIR Data Service Terms and Conditions and the Exchange has provided confirmation that it has made necessary updates to processes to generate the MiFIR Data. Section B: Customer acceptance of MiFIR Data Service Terms and Conditions To be executed by the party that wishes to use the MiFIR Data Service Customer must complete this MiFIR Data Service Registration Form electronically by having an Authorized Person check the box below and fill in his or her name and details where indicated. I hereby acknowledge that I have read, agree to and have the authority to bind the Customer to all the terms and conditions contained within or incorporated under this MiFIR Data Service Registration Form, including but not limited to the relevant provisions within the MiFIR Data Service Terms and Conditions and any applicable terms and conditions relating to the MiFIR Data Service from time to time. Agreed and accepted on behalf of Customer by: Customer Entity Name Authorized Person Title Signature Date Please complete this section and submit the completed MiFIR Data Service Registration Form to the Exchange via to GAMEMEA@cmegroup.com. The Exchange will review the MiFIR Data Service Registration Form submitted by the Customer. Subject to satisfactory completion of the application process, including submission of the completed MiFIR Data Service Registration Form together with all required information and provision of written notification to the Customer of successful completion of the registration process, the Exchange agrees to provide the MiFIR Data Service to the Customer on the terms set out in the MiFIR Data Service Terms and Conditions, as in force from time to time. 4

5 MiFIR Data Service Registration The following information ( Static Customer Data ) is required (in a format satisfactory to the Exchange) from Customers in order to assist the Exchange in populating the reports to be made available to the Customer pursuant to the MiFIR Data Service Legal Entity Identifier (LEI) is a unique ID associated with a single corporate entity and would be used for identifying the parties to financial transactions. Please visit for more information Please note that the Exchange may require additional static or non-static data from Customer from time to time. MiFIR Data Service Terms and Conditions Exchange customers with reporting obligations under MiFIR (as defined below) are eligible to benefit from the Exchange s MiFIR data service. The Exchange will produce and make available to the customer certain data files containing customer data relating to transactions executed by customer on the Exchange and which may be reportable by the customer under MiFIR. Such data files will be made available to customer and its clearing member via the EREP system or for download by the customer from a secure FTP folder location (the MiFIR Data Service ). These terms and conditions ( the Terms and Conditions ) set out the basis on which the Exchange will offer the MiFIR Data Service to customers. The Exchange is a US designated contract market registered with the Commodity Futures trading Commission and is not a trading venue within the meaning of MiFIR. The Exchange is not required to report any transactions on behalf of customer under MiFIR and the Exchange will not submit any reports on behalf of customer to any regulatory authority, national competent authority, approved reporting mechanism or trade repository on behalf of customer. Customers are solely responsible for transmission of MiFIR transaction reports to the relevant national competent authority under MiFIR and for the accuracy and content of any such reports, including where such reports contain data provided by the Exchange pursuant to the MiFIR Data Service. Capitalized terms used herein have the meaning given to them in the Terms and Conditions. MiFIR DATA SERICE TERMS AND CODITIONS 1. DEFINITIONS 1.1 In these Terms and Conditions, the following terms shall have the following meanings: a) Affiliate means an undertaking in the same group as the Exchange; b) Applicable Law means any applicable law, regulation, guidance or direction issued by any competent Regulatory Authority; c) Approved Reporting Mechanism (ARM) has the meaning given in MiFIR; d) Authorized Person means an individual who is authorized by the Customer to commit the Customer to these Terms and Conditions and any amendments to them and to instruct or notify the Exchange of any other matter specified in these Terms and Conditions; 5

6 e) Customer means an Exchange customer which has agreed to be bound by these Terms and Conditions for the purposes of making use of the MiFIR Data Service in relation to the execution of Reportable Transactions on the Exchange; f) Exchange means the relevant CME Group venue on which transactions subject to the Reporting Obligation are executed and which is party to these Terms and Conditions, being Chicago Mercantile Exchange Inc. ( CME ), the Board of Trade of the City of Chicago, Inc. ( CBOT ), New York Mercantile Exchange, Inc. ( NYMEX ) and Commodity Exchange, Inc. ( COMEX ) (each an Exchange ) g) Fees means any fees payable by the Customer to the Exchange for providing the MiFIR Data Service, as may be notified to the Customer from time to time and set forth in the Fee Schedule (located on the Site), as such fees may be modified by the Exchange from time to time; h) Fee Schedule means, where applicable, the fee schedule available on the Site setting out the Fees payable by the Customer to the Exchange under these Terms and Conditions; i) Force Majeure means any event which occurs due to reasons outside of the control of the Exchange or any Affiliate (including, but not limited to, any natural, systems, facilities, technological, political or other cause and whether in respect of a third party service provider, Affiliate of the Exchange, a third party or otherwise) and which cannot be overcome by reasonable diligence and/or without unreasonable expense by the Exchange; j) Losses means all losses, damages, fines, penalties, costs, expenses or other liabilities (including legal and other professional fees); k) MiFIR means Regulation (EU) No. 600/2014 of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No. 648/2012; l) MiFIR Data means the data held by the Exchange and its Affiliates in respect of Reportable Transactions executed or placed on the Exchange, which the Customer is required to report to a National Competent Authority (directly or via an ARM) pursuant to MiFIR requirements; m) MiFIR Data Format means the CSV format provided by the Exchange for download of MiFIR Data notified by the Exchange to the Customer from time to time; n) MiFIR Data Service has the meaning given in the first paragraph of these Terms and Conditions; o) MiFIR Data Service Registration Form or Registration Form means the MiFIR Data Service Registration Form under which the Customer may register for the MiFIR Data Service, completion of which by an Authorized Person acting on behalf of Customer constitutes the Customer s agreement to these Terms and Conditions; p) MiFIR Reportable Contract means any contract traded on the Exchange that is listed from time to time on the Site at as a contract in respect of which the MiFIR Data Service is available; q) National Competent Authority means the relevant national competent authority of an EU market participant under MiFIR; r) Regulatory Authority means any applicable governmental or regulatory authority with jurisdiction over any of the parties under Applicable Law; s) Reportable Transaction means each transaction executed by the Customer on the Exchange in any contract listed as a MiFIR Reportable Contract t) Reporting Obligation means, in respect of the Customer, the obligation to make transaction reports in accordance with Article 26 of MiFIR; 6

7 u) Site means the CME Group website, located at and v) Trading Venue means an EU trading venue within the meaning of MiFIR. 2. SCOPE OF SERVICES 2.1 The Customer agrees that it wishes to receive the MiFIR Data Service as set out in these Terms and Conditions and the MiFIR Data Service Registration Form and agrees to comply with its obligations thereunder, as agreed and accepted by the Customer by an Authorized Person completing and submitting the MiFIR Data Service Registration Form to CME. 2.2 The Exchange agrees to provide the MiFIR Data Service as set out in these Terms and Conditions. 3. MiFIR DATA SERVICE 3.1 Under the MiFIR Data Service, the Exchange will undertake commercially reasonable efforts to, no later than 24:00h US Central time on the day of execution of each Reportable Transaction: a) compile the Customer s relevant MiFIR Data in respect of each such Reportable Transaction; b) make available to the Customer and to its clearing member such MiFIR Data in the MiFIR Data Format: (i) as a downloadable file from a secure FTP folder; and (ii) as a report via the EREP GUI. 4. CUSTOMER REPRESENTATIONS 4.1 The Customer understands and agrees that, under this MiFIR Data Service, the Exchange: a) is not responsible for the identification or classification of Exchange contracts as MiFIR Reportable Contracts, the content or accuracy of any data provided by the Customer in the Registration Form, the content or accuracy of the MiFIR Data or the verification of the content of any MiFIR Data provided to the Customer under the MiFIR Data Service; b) the Exchange will provide the MiFIR Data to the Customer and the clearing member of the Customer but the Exchange will not report to, share with or transmit the Customer s MiFIR Data to any other person on behalf of the Customer, including but not limited to an ARM, trade repository, National Competent Authority or other Regulatory Authority; c) makes no warranties or representations regarding compliance of the MiFIR Data Service or any MiFIR Data with the requirements of MiFIR. 4.2 The Customer acknowledges and agrees that compliance with the Reporting Obligation shall remain the sole responsibility of the Customer and the Customer undertakes to inform the Exchange in the event that it is aware that any contract traded by the Customer on the Exchange and not listed on the Site as a MiFIR Reportable Contract is or becomes subject to the Reporting Obligation. 4.3 The Customer warrants and represents that the Registration Form has been completed and signed by an Authorized Person with authority to bind the Customer to these Terms and Conditions. 4.4 The Customer is responsible for ensuring that persons using the MiFIR Data Service on behalf of the Customer are authorized by Customer and under a valid CME Group Login to access the MiFIR Data through the secure FTP folder and/or the EREP GUI and the Customer is responsible for any acts or omissions of such persons in relation to access to or use of such MiFIR Data. 5. LIABILITY AND INDEMNITY 7

8 5.1 It is the Customer s legal responsibility under MiFIR to comply with its obligations, including, but not limited to, the Reporting Obligation in accordance with all Applicable Law and nothing in these Terms and Conditions shall alter this. 5.2 THE EXCHANGE MAKES NO REPRESENTATION OR WARRANTY NOT EXPRESSLY SET FORTH IN THIS SECTION 5, AND EXPRESSLY DISCLAIMS ALL OTHER REPRESENTATIONS AND WARRANTIES, EXPRESS, IMPLIED, STATUTORY, OR OTHERWISE. IN NO EVENT SHALL THE EXCHANGE BE LIABLE FOR LOSS OF PROFITS, LOSS OF USE, OR ANY OTHER INDIRECT, CONSEQUENTIAL, INCIDENTAL, SPECIAL, EXEMPLARY OR PUNITIVE DAMAGES, EVEN IF ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. For the avoidance of doubt, the Exchange makes no warranties or representations regarding compliance of the MiFIR Data Service with the requirements of MiFIR. 5.3 To the fullest extent permitted by Applicable Law, the Exchange, their Affiliates, and each of their respective directors, officers and employees shall not have any liability to the Customer or any other person whether in contract, tort (including negligence), breach of statutory or regulatory duty or otherwise for: a) any Losses arising directly from, or in connection with: (i) the Exchange s provision of, or the Customer s use of, the MiFIR Data Service pursuant to these Terms and Conditions; (ii) the Exchange s performance of its obligations or exercise of its rights under these Terms and Conditions; (iii) the failure of any platform, system, interface or other technology, including any internal platform, system, interface or other technology of the Exchange or any Affiliate, which the Exchange uses or intends to use in the performance of its obligations or exercise of their rights under these Terms and Conditions; (iv) a third party (other than the clearing member of the Customer) accessing or intercepting any MiFIR Data or other information or data of the Customer; (v) the failure by any person (including but not limited to the Customer) to accurately submit transaction reports in respect of any contract executed on the Exchange in accordance with the requirements of the Reporting Obligation or any other provision of Applicable Law, except to the extent that such Losses are due to the gross negligence, wilful misconduct or fraud of the Exchange, any Affiliate or the directors, officers or employees of the Exchange or an Affiliate. 5.4 The Customer agrees that the Exchange s liability under these Terms and Conditions for all Losses, whether arising in contract, tort (including negligence) misrepresentation (other than fraudulent misrepresentation), breach of statutory duty or otherwise shall be limited to $50, The Customer shall indemnify the Exchange, its Affiliates, and each of their directors, officers and employees, against any and all losses, liabilities, damages, claims, costs or expenses suffered or incurred by the Exchange arising out of or in connection with the provision by the Exchange of the MiFIR Data Service including but not limited to any losses or third party claims suffered by the Exchange arising out of or relating to these Terms and Conditions, save to the extent that the losses, liabilities, damages, claims, costs or expenses arise as a result of the gross negligence or wilful misconduct of the Exchange. 5.6 No action arising out of any claimed breach of these Terms and Conditions may be brought by the Customer more than two (2) years after the cause of action has accrued. 8

9 5.7 The Exchange shall be released from its obligations under these Terms and Conditions to the extent that, and for so long as, performance of such obligations is delayed, hindered or prevented by Force Majeure. 5.8 Upon the occurrence of a Force Majeure event, the Exchange shall inform the Customer in writing, as soon as reasonably practicable. Upon the cessation of the Force Majeure event, the Exchange shall inform the Customer in writing, as soon as reasonably practicable. 5.9 The parties agree that this clause 5 represents a fair and equitable position. Nothing in these Terms and Conditions shall exclude or limit any liability which may not be excluded or limited under Applicable Law. 6. TERMINATION Termination of MiFIR Data Service only 6.1 The MiFIR Data Service will terminate immediately: a) upon the expiry of 30 days prior notice in writing provided by either the Exchange or the Customer to the other party; or b) automatically where the Customer is no longer an Exchange customer, in which case Customer shall be required to notify the Exchange upon the occurrence of such event. 7. FEES 7.1 The Fees payable by the Customer to the Exchange in respect of the MiFIR Data Service it receives under these Terms and Conditions are set out on the Site, as amended from time to time at the Exchange s sole discretion. The Customer agrees to pay such Fees as notified by the Exchange from time to time. 7.2 Notwithstanding any other provision in these Terms and Conditions, the Exchange shall provide the Customer with at least 30 days written notice of any changes to the Fees payable by the Customer. 8. GENERAL PROVISIONS 8.1 A notice or other communication given under or in connection with these Terms and Conditions (a Notice) must, unless otherwise specified, be in writing (including in electronic form), in English and sent, in respect of the Customer, to such address as provided by the Customer in the MiFIR Data Service Registration Form, and in respect of the Exchange, to GAMEMEA@cmegroup.com and legalnotices@cmegroup.com. 8.2 The Customer may, by written Notice to the Exchange (if applicable), substitute replacement details for its notified address set out in clause The Exchange may, by written Notice to the Customer, substitute replacement details for its notified address set out in clause The Exchange may vary these Terms and Conditions by publishing such variation on the Site together with the date on which such variation takes effect and providing Notice to the Customer. The Customer will be deemed to be bound by any such variation from such date in the absence of notice of termination from the Customer. 8.5 The Exchange and the Customer acknowledge and agree that by entering into an agreement under these Terms and Conditions, they do not rely on any statement, representation, assurance or warranty of any person (whether a party to these Terms and Conditions or not and whether made in writing or not) other than as expressly set out in these Terms and Conditions. 8.6 The Exchange and the Customer agree that the only rights or remedies available to either of them arising out of or in connection with these Terms and Conditions or their subject 9

10 matter shall be solely for breach of contract except as otherwise provided for in these Terms and Conditions. 8.7 If any term of these Terms and Conditions is determined to be invalid or unenforceable under any controlling body of law, such invalidity or non-enforceability shall not in any way affect the validity or enforceability of the remaining terms or the validity or enforceability of those terms in any jurisdiction where they are valid and enforceable. The parties desire the terms and conditions herein to be valid and enforced to the maximum extent not prohibited by law, regulation or court order in a given jurisdiction and as such, any invalid or unenforceable terms and conditions will be reformed by the parties to effectuate the intent of the parties as evidenced on the Effective Date. Customer shall, in connection with these Terms and Conditions: (i) comply in all respects with all applicable data protection laws and regulations (together, the Data Protection Laws); and (ii) not, by any act or omission, place the Exchange in breach of the Data Protection Laws. 8.8 Customer may not assign or otherwise transfer any of its rights or obligations hereunder without the prior written consent of the Exchange. 8.9 These Terms and Conditions will be governed by the laws of the State of New York without regard to any choice-of-law provisions. The parties will submit to the exclusive jurisdiction of the state and federal courts situated in New York, New York to resolve any dispute arising out or relating to these Terms and Conditions. 10