EFTA Document EFTA01356640

Voting Authority: 2 Customer Votes zi_When an account is going into or out of a "Centrally Managed investment authority" then TAG should look for approval from Business Management (Lisa Combatti/ Jennifer Barker). Note : If "EEA client type is Retail" then "Investment management service Designation" cannot be changed from "Discretionary" to "Non-discretionary" as per attached "Investment Management agreement", if it is check marked then case need to be rejected. NOTE: Change of status to a U.S. person, U.S. place of birth, U.S. residence or mailing address, U.S. telephone number. a Power of Attorney or signatory authority granted to person n ith a U.S. address, TAG will check approval front .".BIZ leant. For I account code extension change on Global plus. 'FAG ss ill not require any approval from Lisa Combatti "leant. Miscellaneous Client Instruction Banking: Note: No Approval is required to change Branches and Officer Codes. Case use HRM Rules Apply Supporting Documents Process Details Notes Yes, Client Indemnification signed and signature If Status E is not there, then we will reject the case or verified or one time TAG verifies that the creator can take one to update E Status approval from either signature on attachment time approval then on Metavante No Halina Laczny, Kathryn J Stanfield, Lillian Torres, Yvette Tirrito, Enid Ellis, Roxanne Scott matches with specimen in repository. FAG will add the account number in the Status E banned report. If one time approval is already For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042603 CONFIDENTIAL SDNY_GM_00188787 EFTA01356640