1. SYDNEY LAW SCHOOL LIBOR, Negotiated Prosecutions and the Pursuit of Accountability 5th International Symposium of the Adolf A. Berle, Jr. Center on Corporations, Law & Society Dr Olivia Dixon

2. DPA’s by Crime Type (1992 – 2012) 2

3. Frequency of DPAs (1992 – 2012) 3

4. Total Fines by DOJ-Fraud (1992 – 2012) 4

5. DPAs by Region (1992 – 2012) 5

6. External Monitor Appointment (1992 – 2012) 6

7. Percentage Discount in Fine Levied from US Sentencing Guidelines Minimum 7

8. LIBOR Negotiated Settlements Terms and Conditions: ›Commit no US crime whatsoever; ›Disclose all non-privileged information to the DOJ relating to any matter; ›Notify the DOJ of all potentially criminal conduct relating to fraud or securities / commodities markets; ›Notify the DOJ of all criminal and regulatory investigation Additional Sanctions: ›UBS / RBS: guilty plea by a Japanese subsidiary ›RBS: implementation of a compliance plan. 8

9. Crimes and Courts Act 2013 (UK) ›Code of Practice setting out the factors prosecutors must consider in deciding to enter a DPA; ›Suggested (but not exclusive) terms and conditions; ›Early judicial intervention to assess potential terms and conditions to ensure they are “fair, reasonable and proportionate”; ›Final judicial approval of the DPA to ensure it is “fair, reasonable and proportionate”; ›If final approval granted, read in open court to ensure transparency and accountability. 9