Tradeix Limited is the legal entity for the purposes of this Production Support and Service Levels document, being a private company limited by shares, incorporated and registered in the Republic of Ireland with company number 587917, whose registered office is at 1st Floor, 6 Lapp’s Quay, Cork, Ireland (“TradeIX”, “we”, “us”, “our”).

1 INTRODUCTION

The Marco Polo Platform (“Platform”) consists of packaged software and is provided as a managed service. It is pre-configured and fully supported by TradeIX to your company (“you”, “your”). No development or support of the Platform is required by you. We are committed to providing you with Production Support and Service Levels (“Production Support”), as you navigate your way through the Platform. This document sets out the Production Support that we offer you in a production environment.

2 SUPPORT SERVICES

2.1 We will provide Tier 1, Tier 2 and Tier 3 Support Services (as further described in section 2.7 below).

2.2 We will provide dedicated support to you via the Customer Support Champions.

2.3 Your contact with our support team will be via the online portal where the Customer Support

Champions can create and submit Support Requests. Please see section 2.9 below in respect of the placement of Support Requests.

2.4 We expect you and your counterparties to communicate with each other, where needed, in order to verify business data, before engaging with our Support Services. Outlined below is our support service structure:

Figure 1 – Support Service Structure

Marco Polo Platform PRODUCTION SUPPORT & SERVICE LEVELS

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2.5 Accessing Support

Support can be accessed by the Customer Support Champions in the following ways:

• Online Portal – https://support.tradeix.com • Email – support@tradeix.com • Telephone – +353 76 888 6661 (for Severity 1 Faults in production environments only) • Language – English only is supported.

2.6 Customer Support Champions

2.6.1 Please notify us of the nominated individuals who will be your Customer Support Champions. You

can nominate between one (1) and four (4) support champions, by emailing us this information to support@tradeix.com.

Name Email Phone Time Zone

2.6.2 You are responsible for updating us of your Customer Support Champions, using the table format

listed above within section 2.6.1, when required, and should inform our support team via the online portal or email support@tradeix.com of any such changes.

2.6.3 You shall ensure that Support Champions are knowledgeable about application services in order to resolve and assist us in troubleshooting issues and also, that they have a technical understanding of any problem that is the subject of a case, and the ability to reproduce the problem in order to assist us in diagnosing and triaging it correctly.

2.7 Support Tiers

2.7.1 The table below displays our available support Tiers.

Support Tier Roles and Responsibilities

Tier 0 Knowledge base, documentation, community forum – provided by us.

Customer Support Champions

Your own Support Engineer – validates and tests Faults prior to engaging with Tier 1

Tier 1 Our Support Engineers – review, respond and manage the reported Fault

Tier 2 Our Support Engineers – review cases escalated from Tier 1 – respond and manage the Fault

Tier 3 Our Specialists – process Faults escalated by Tier 2

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2.8 Fault Classification

2.8.1 The following table outlines the Fault classification levels (each a “Severity Level”).

Severity Description

1 – Emergency A failure of the relevant Services that results in complete or material loss of the functionality of such Services where there is no work around available.

2 – High A failure of the relevant Services resulting in partial loss of functionality where certain functions become disabled, but such Services remains operable (in some cases with a work around) and do not experience a complete loss of functionality.

3 – Medium A failure of the relevant Services resulting in diminished Service functionality, but which has no practical impact on Service usability.

4 – Low Issues that are unrelated to the operation or usability of the relevant Service, or that can be circumvented through use of alternate functionality in such Service.

2.9 Request Logging Process

2.9.1 Support Requests will be directed through the Customer Support Champions. If the Customer

Support Champion cannot assist the end user, then they can escalate to Tier 1 via the Support Request process. Any necessary or available Tier 2, Tier 3 or third-party support will be escalated and engaged by Tier 1.

Figure 2 – Support Service roles and responsibilities

2.10 Fault Management

2.10.1 Regardless of Severity Level, a Support Request must be raised prior to any Fault being investigated

or being subject to treatment in accordance with this document.

2.10.2 All Faults will be handled in accordance with our incident management policy which can be found on our support site https://support.tradeix.com. It is your responsibility to ensure that you are familiar

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with this policy and process. 2.11 Support Service Exclusions

2.11.1 The Support Services do not apply to any unavailability, suspension, or termination of the Service(s),

or any other Service(s) performance issue that:

• is caused by factors outside of our reasonable control, including any Force Majeure event, internet accessibility issue, or problems beyond the demarcation point of our cloud network;

• results from any actions or inactions of you or any third party; • results from the failure of equipment, software, or other technology belonging to you or any third

party (other than third party equipment within our direct control); • results from failures of the Services not attributable to unavailability; or • results from any underlying customer integration or infrastructure that is not hosted by us.

2.11.2 Support Services do not include:

• support for implementation, training, consulting, development or hosting services; • installation or upgrading the Marco Polo Platform; • troubleshooting issues or providing other support in respect of your developed applications and

integrations; • use of the Marco Polo Platform in any operating environment other than that specified by us; • analysing performance; • writing, customising or troubleshooting code for you or a client of yours; • data recovery; • interpretation or triage of your (or a third party generated) defect scanning reports; • bespoke or customised modifications created by us for a third party or group of third parties that

do not form part of the Marco Polo Platform; • downtime to install software at your request; • support for underlying product infrastructure that is not hosted by us; or • any version of the Marco Polo Platform for which support and maintenance services have been

discontinued by us. 2.12 Your Responsibility

2.12.1 You will be responsible for the obligations set out below and acknowledge that the commitments

provided by us are dependent upon the performance of your obligations to:

• investigate and troubleshoot service interruptions that relate to your information technology environments;

• designate nominated individuals who will be responsible for engaging the Support Services by contacting us via designated methods. Individuals who are not nominated as Customer Support Champions are not permitted to engage with our Support Services (please see section 2.6 for further information about this);

• ensure that any individual nominated to be a Customer Support Champion is suitably qualified and experienced, and is familiar with Corda distributed ledger technology, to be able to (i) carry out command line instructions and basic operating system housekeeping, and (ii) work through complex procedures explained by our support team. Nominated individuals should be suitably trained and should be able to communicate at a technical level with our Support Services providers;

• provide access to or copies of required diagnostic information; • provide us with a list of contacts for escalations and emergencies; • comply with your own internal system backup and recovery obligations; • provide us with all reasonable co-operation to facilitate the efficient discharge of your obligations

under this document; • apply all patches and upgrades in a timely fashion after testing in a non-production environment; • perform quarterly forecasts of volumes for use of Support upon which we can reasonably rely on

in capacity planning; • create a separate Support Request for each unique issue via our support portal (one request per

Fault); and

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• use the provided self-service channels to research topics and potential resolutions prior to submitting a Support Request.

2.13 Business Hours

2.13.1 Business hours are designated as 0800 to 1800, Monday to Friday, Irish Standard Time (IST)

excluding local public holidays (“Business Hours”).

2.14 Outside Business Hours Support Coverage

2.14.1 Outside of listed Business Hours, only Severity 1 issues in production environments will be processed. All non-Severity 1 issues will be assessed during Business Hours only.

2.15 Support for Platform Versions

2.15.1 Marco Polo Platform Versions are denoted by a major and minor release number combination (v[x].[y])

and support for the software is based on these.

2.15.2 We provide regular support and Updates for the Marco Polo Platform:

• for a minimum of 1 year from the initial major version (v1.0, v2.0, etc.) release date; • as long as you hold a valid subscription to the Marco Polo Platform via a production licence

agreement; and • for as long as the Marco Polo Platform Version is a supported Version. When a particular software Version is Deprecated, we will no longer release Updates to such a Version. If you have a valid subscription, you will still be entitled to submit Support Requests for a Deprecated software Version, but you acknowledge and agree that: • We will respond according to support level and severity level; • Resolutions will only include advice or workarounds; • Resolutions will not include an Update to any currently Deprecated Version; • Our remedy may include a recommendation to Upgrade to the latest supported release; and • If an Update is required to the Marco Polo Platform for proper resolution, we can only provide

such Update for currently supported Versions. We will not provide scheduled releases for Deprecated software versions, but may produce ad hoc Updates in response to your issues and/or security vulnerabilities at our sole discretion. Deprecated software versions are also targeted for End of Life, though timelines may not be announced for End of Life. Once the Marco Polo Platform Version has reached End of Life, this Marco Polo Platform Version will no longer be supported and may become inoperable on the Marco Polo Network. The Service Levels listed in section 5 (Service Levels) are not applicable in such a situation. A list of supported Versions is provided on our support website and can be found on this link: https://support.tradeix.com.

3 TRADEIX HOSTED AND CUSTOMER HOSTED DEPLOYMENTS

3.1 TradeIX Hosted Deployments

3.1.1 In the case of a TradeIX Hosted Deployment, we manage the deployment and are responsible for the support of all aspects of the deployment (Azure node hosting, Corda Node hosting, Marco Polo Platform etc).

3.2 Customer Hosted Deployments

3.2.1 In the case of a Customer Hosted Deployment, you are responsible for providing and configuring the

infrastructure environment using the minimum technical specifications we provide, onto which the Marco Polo Platform will be deployed. You are also responsible for deploying and managing your own Corda Node. For Customer Hosted Deployments, since they are outside of our control, the

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infrastructure and Corda Node and connectivity are your responsibility. Deployment

Azure (and related networking/configuration)

Corda Node (and related networking/configuration)

Marco Polo Platform

TradeIX Hosted

Supported and Service Levels apply

Supported and Service Levels apply

Supported and Service Levels apply

Customer Hosted

Not Supported Not Supported Supported and Service Levels apply

4 SUPPORT SUMMARY

The table below outlines the Support Services and the extent to which they apply to either a TradeIX Hosted Deployment or Customer Hosted Deployment as described above. Support Service TradeIX Hosted

Deployment Customer Hosted Deployment

Support Requests Apply Apply

Knowledge Base (self-help portal)

Apply Apply

Community Forums Apply Apply

All incident levels Apply Apply

Emergency Support Apply Apply

Azure Infrastructure and related networking and services

Apply Do Not Apply

Corda Node and services Apply Do Not Apply

Availability Levels (see section 5 (Service Levels) below for details)

99.5% 99.5%

Availability Time 24 hours a day, 7 days a week

24 hours a day, 7 days a week

Service Level Exclusions Apply Apply

Business Hours Apply Apply

Weekend Support Apply Apply

Reporting Apply Apply

Escalation Phone Line (Severity 1 cases in production only)

Apply Apply

5 SERVICE LEVELS

5.1 Marco Polo Platform Availability

5.1.1 We shall offer specific Service Levels to the Marco Polo Platform as set out in this document,

excluding any period of time when the Marco Polo Platform is not Available in such Measurement

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Period due to any Planned Maintenance or Emergency Maintenance. 5.2 Response Targets

5.2.1 Where a Fault is reported via a Support Request in relation to the Service(s), we shall first assign to

such Fault a Severity Level, as set out in the table in section 2.8.1. 5.2.2 We shall respond to any Fault reported via a Support Request and the Severity Level assigned to it

in accordance with the following timescales:

Severity Level Target timescale to respond (measured from the time that a valid Support Request is raised to our Support team)

1 – Emergency 2 hours (once telephone communication has been established (as per section 2.9.1))

2 – High 6 Business Hours 3 – Medium 1 Business Day 4 – Low 2 Business Days 5 – Feature Request 2 Business Days

5.2.3 We shall ensure subsequent responses and communication to the Support Request, after first

communication is established, are in line with the times indicated in the table below, until such a time that the relevant Service(s) are restored.

Severity Level Target timescale for regular response to a Fault (measured from the

time that a valid Support Request is raised to our Support team)

1 – Emergency Every 15 minutes for the 1st hour – every 1 hour until issue remediation 2 – High Every 2 hours until issue remediation 3 – Medium Mutually agreed time 4 – Low Mutually agreed time 5 – Feature Request Prioritised in line with product roadmap

6 PLANNED MAINTENANCE

6.1 We shall maintain a schedule of routine maintenance that we intend to carry out over the Services,

which shall be updated from time to time (the “Maintenance Schedule”). We shall provide a Maintenance Schedule to you via our support site which can be found via https://support.tradeix.com. It is your responsibility to be aware of such planned maintenance.

6.2 We shall ensure that all routine maintenance is carried out:

6.2.1 where reasonably possible at all times in accordance with the Maintenance Schedule;

6.2.2 where it is not reasonably possible for such routine planned maintenance to be carried out in

accordance with the Maintenance Schedule, we shall give you, not less than 4 hours’ notice, that you will be impacted;

6.2.3 where reasonably possible on days which are not Business Days, and where such is not reasonably possible, between the hours of 1800 and 0800 Irish standard time on Business Days;

6.2.4 so as to ensure that any Service(s) is / are not Available due to routine planned maintenance for any more than 12 hours in any Measurement Period; and

6.2.5 to meet the terms of our Marco Polo Platform – Security Standards (TradeIX Hosted) (available here: https://www.marcopolo.finance/security-standards-tradeix-hosted/) or Marco Polo Platform – Security Standards (Customer Hosted) (available here: https://www.marcopolo.finance/marco-polo-

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platform-security-standards-customer-hosted/) as applicable to you.

7 EMERGENCY MAINTENANCE

7.1 Emergency Maintenance refers to any corrective action intended to remedy conditions likely to cause severe service degradation, as designated by us in our sole discretion. We will exercise reasonable efforts to inform you in advance before interrupting the Service(s) for Emergency Maintenance, but such notice is not guaranteed and failure thereof does not constitute downtime.

7.2 We may need access to your data for severity one support incidents or Emergency Maintenance only.

Only specific personnel from our operations team will be pre-authorised to access your data in these emergency instances. This pre-authorisation is strictly controlled by us and any activity is carefully monitored and logged. You will be notified when we access your data in these instances, however this notification may either be during or after the specific severity one incident has occurred or Emergency Maintenance has been carried out.

8 DEFINITIONS

Please see here a list of definitions and meanings alongside them, as these apply to this Production Support Services and Service Levels document: “Available” means all times when there are no unresolved Severity 1 Faults (as those terms

are defined in section 2.8.1) raised via a Support Request in respect of the relevant Services;

“Corda DLT” means financial grade distributed ledger technology operated through Corda Open Source or Corda Enterprise;

“Corda Enterprise”

means the proprietary, non-open source, commercial version of Corda Open Source operated by R3;

“Corda Node” means our node or a node hosted by you that is configured with common settings such that it can locate other nodes, with assured identity, to transact directly on Corda DLT;

“Corda Open Source”

means financial grade distributed ledger technology software operated by R3;

“Customer Hosted Deployment”

means where you provide and manage the necessary infrastructure in order to deliver the Services under the terms of a production licence agreement with us;

“Customer Support Champion”

means a representative nominated by you and identified in the table at section 2.6.1 trained in the Marco Polo Platform support process and granted access to the support portal;

“Deprecated” means the version of the Marco Polo Platform in question is supported but for which a newer version or alternative Marco Polo Platform is available and recommended for your use;

“Emergency Maintenance”

means any corrective action carried out by us over the Services, which meets the requirements of section 7 (Emergency Maintenance);

“End of Life” means the version of the Marco Polo Platform in question that, as of a date set and announced by us, shall no longer be supported by us. At conclusion of the End of Life notification period, that Marco Polo Platform Version will no longer be available and/or supported;

“Fault(s)” means any technical failure by any element of the Services to operate in accordance with this document and any relevant specifications;

“Force Majeure”

means an event or circumstance which is beyond the reasonable control of either you or us, including an act of God, fire, flood, earthquake, epidemic,

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pandemic or other similar event, any strike, lock-out or other industrial action or dispute, failure or malfunction of a utility service, transport network or computer or communications network or service, or a civil commotion or disorder, riot, invasion, war or act of terrorism;

“Generally Available”

means Supported Applications that are released and supported for use by you as provided for in this document;

“Measurement Period”

means each calendar month during the term of a production licence agreement for the Marco Polo Platform which you have signed with us;

“Planned Maintenance”

means any maintenance carried out by us over the Services, which meets the requirements of section 6 (Planned Maintenance);

“R3” means R3 LLC, which is a Delaware limited liability company having its principal place of business at 11 West 42nd Street, Floor 8, New York, NY 10036 and are an enterprise software firm that has developed a distributed ledger platform designed for financial services and offers services relating to the analysis, evaluation, adoption and development of distributed ledger and related next-generation platforms and technologies;

“Service Level(s)”

means the prescribed availability of the Marco Polo Platform and the prescribed response times under this document as more particularly described in section 5 (Service Levels);

“Support Request”

means the raising of a support request by you relating to Faults;

“Support Services”

means the support provided to you by us under this document as set out in section 2 (Support Services);

“Supported Applications”

means the Marco Polo Platform and Services, and supported versions listed on our support portal which reflects the status of each Supported Application as Generally Available, Deprecated, or End of Life;

“TradeIX Hosted Deployment”

means where we host and manage the necessary infrastructure on your behalf in order to deliver the Services as further described in section 3.1 (TradeIX Hosted Deployment);

“Update(s)” means updates, enhancements, bug fixes, patches, and other error corrections that we make generally available free of charge to all our customers then entitled to Support Services described herein. We may or may not continue to develop new Updates for the Supported Applications; and

“Version(s)” means the numbering and naming of the Marco Polo Platform as advised by us.

These terms were last updated on 1 November 2020 and may be periodically updated.

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