EFTA Document EFTA01358744

23. (a) (1) Are the private fund's financial statements subject to an annual audit? (2) Are the financial statements prepared in accordance with U.S. GAAP? Yes No r r. r If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. Additional Auditor Information : 1. Record(s) Filed. If the answer to 23(a)(1) is "yes," respond to questions (b) through (f) below. If the private fund uses more than one auditing firm, you must complete questions (b) through (f) separately for each auditing firm. (b) Name of the auditing firm: ERNST & YOUNG (c) The location of the auditing firm's office responsible for the private funds audit (city, state and country): City: State: Country: NEW YORK New York United States (d) Is the auditing firm an independent public accountant? [ (e) Is the auditing firm registered with the Public Company Accounting Oversight Board? (f) If "yes" to (e) above, is the auditing firm subject to regular inspection by the Public Company Accounting Oversight Board in accordance with its rules? (g) Are the private funds audited financial statements distributed to the private funds investors? (h) Does the report prepared by the auditing firm contain an unqualified opinion? 6. Yes r No r Report Not Yet Received If you check "Report Not Yet Received," you must promptly file an amendment to your Form ADV to update your response when the report is available. Yes No t: r a r c c Yes No Prime Broker r r Yes No 24. (a) Does the private fund use one or more prime brokers? t: r If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. Additional Prime Broker Information : 3 Record(s) Filed. If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. (b) Name of the prime broker: BARCLAYS CAPITAL INC. (c) If the prime broker is registered with the SEC, its registration number: 8 - 41342 CRD Number (if any): 19714 (d) Location of prime broker's office used principally by the private fund (city, state and country): City: State: Country: NEW YORK New York United States Yes No (e) Does this prime broker act as custodian for some or all of the private funds assets? If the answer to 24(a) is "yes," respond to questions (b) through (e) below for each prime broker the private fund uses. If the private fund uses more than one prime broker, you must complete questions (b) through (e) separately for each prime broker. (b) Name of the prime broker: CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0046686 SDNY_GM_001 92870 EFTA01358744