ource of veaith ONSHORE APPROVALS Client Facing Professional (CFP): Paul Horns (Signature) Paul Moms 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Platy Keaveney 9,5.'2013 Regional Office Director: (Signature) AML Business Risk: (Signature) NIL Compliance: Jacqueline Lightbo

source of wealth ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms (Signature) Paul Morns 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lighttody

urce el reams ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 9/5/2013 Cerise Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Ughtbody

nt ways as stated below: a. If mean value is specified, then we have to check the mean price and if going into Account # then Approval from either Mary Keaveney, Jennifer Barker, Lisa Combatti or Robert Deffense approval is required. If the transfer is done directly to the party and gift account is not used,

HRM Policy applies - NO Check Points a. For IA accounts - Jennifer Barker/ Mary Keaveney or Robert Deffense approval is necessary (only e-mail is acceptable) for IA accounts for both Maintenance and FEE Setup cases. b. For GIM Accounts-

aft Approval : For OD approval from below is required: • IA account - For Wire up to 100,000 approval from anyone among Patrick Harris, Armen Brash, Mary Keaveney, Lee Hutter or John B. Walsh (For Global plus Account only) is required. • For wire above 100,000 approval from CRM team which includes Nicholas H

b) East Coast Business Manager - Armen Brash c) Investment Advisory - Mary Keaveney d) Fixed Income - Ron Colonna, James (Jim) Donofrio High Risk Media Policy Below attached is the High Risk Media Policy for Financial and Non-Fina

any one of the above (or their designees) will constitute full approval. Discretionary Portfolio Management (DPM): Lisa Combatti, Oliver Esslinger, Mary Keaveney and Deepak Puri (or their designees) will be the Level 2 approvers for the DPM. An approval from any one of the above (or their designees) will cons

ce of Inealth ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 9/5/2013 Office Director/Business Head: Mary Keaveney (Signature) Mary Keaveney 9/5/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody