in June 2014 • 4 SAIF were filed in June 2014 for the Private Bank. • 1 SAIF was filed in June 2014 for Private Client Services. US PWM CTR and SAIF Filings 12 10 S 4 0 Ius Aug. ST Ott- Mai Dec lie 14- I.Ier Apt Its, Im• Id 13 li B 13 R 13 13 14 14 II II 14 14 Ned 3 S 3 4 7

in June 2014 • 4 SAIF were filed in June 2014 for the Private Bank. • 1 SAIF was filed in June 2014 for Private Client Services. US PWM CTR and SAIF Filings 12 10 S 4 0 Ius Aug. ST Ott- Mai Dec lie 14- I.Ier Apt Its, Im• Id 13 li B 13 R 13 13 14 14 II II 14 14 Ned 3 S 3 4 7

es • FinCEN 314iaj requests .. Dept of tonuiterce Denied Persons list shit I huligintStatk Data Embargo • General/Legal regnests US PWM CTR and SAIF Filings March 2014 • 2 CTRs were filed in March 2014 • 0 SAIF was filed in March 2014 for the Private Bank. • 3 SAIFs were filed in March 2014 for Priv

tes • FInCEN 314f,a! requests N Dept of Commerce Denied Persons List ■ Int I inquIrviStalk Data Embalm ■ oenecall ecal requests US PWM CTR and SAIF Filings November and December 2013 7 CTR were filed in November 2013 0 SAIFs were filed in November 2013 for the Private Bank. 1 SAIF was filed in Nove