
the Office of Foreign Assets Control
ORGANIZATIONI. Corporate Documentation Attached (Legal Entitles Only
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o)ate/Y) G. Does the client or related party have any (Kendal or other association! nteracrions within countries O yes RI No or moms sanctioned by the Office of Foreign Assets Control (OFAC)? H. Does the dient or related party have any financial or other association) Interactions vdthln Ngh risk O yes 0 No countries? I. Corporat
ets Control (OFAC)? H. Does the dient or related party have any financial or other association) Interactions vdthln Ngh risk O yes 0 No countries? I. Corporate Documentation Attached (Legal Entitles Only) 52 Yes O No O Not Applicable 3. Undisclosed Principal Form Complete (Intermediaries Only) • Yes O No S Not Applicable K. If Lees/Nods Search R
Does the client or related party have any financial or other association / interactions yes r F No G' within countries or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? ' H. r l'eS F No Does the client or related party have any financial or other association/ interactions SDNY_GM_00056734 Imps://dbforce
... 7/3/2015 CONFIDENTIAL - PU RS FED. R ' DB-SONY-0019558 EFTA_00 I 67304 EFTA01295577 KYC Print Page 11O113 within high risk countries? I. Corporate Documentation Attached (Legal Entitles Only) F yes F No F Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) r Yes r No F Not Applicable K. If Lexis/Nexis Search Re
edately) G' Does the client a related party have any financial or other association / nteractions within sales Thres a No or regimes sanctioned by the Office of Foreign Assets Control (OFAC)? H. financial Does the client or related party have any or other association/ interactions within high risk • Yesm No countries? I. Corp
Control (OFAC)? H. financial Does the client or related party have any or other association/ interactions within high risk • Yesm No countries? I. Corporate Documentation Attached (Legal Entitles Only) 0 Yes O No O NM Applicable 3. Unosclosed Principal Form Complete (Intermediaries Only) O Yes O No Ed NM Applicable K. If Le:OS/Necks Search Resu
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