EFTA Document EFTA01372649

Quarterly Global Banking AMLJNCA Assessment Form Entity Name: New Client Adoption Dab.: CIP Complete Date: Physical Address: Date of Birth (For an Individual): EIN / TIN: Applied for TIN/EIN: rlycs Entity Type: CIP Notification: E yes Eno OFAC: Documentary: D yes Eno Control Person review O Certificate of Incorporation O Certificate of Registration O Registered Articles of Incorporation or Association O Government Issued Business License K Statutes Non-Documentary yes O Dunn & Bradstreet O Lexis/Nexis EDD 0 yesill no Onta PEP ElYesEllE n° High Risk Industry Foreign Financial Institution in a designated country Qualitative Review of Alert Escalations (PCR/RDC:) PCR RDC O yes EL O yes Ilk Comments: 110 nia yes Ono PCR: Dyes Eno yesill no Na O By-laws O Prospectus O Offering Memorandum O Plan/Subscription Agreement ci Other O S&P Directory O Other yesE no High Risk Country yes E no D Dyes D no CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0066441 SDNY GM_00212625 EFTA01372649