EFTA01582954

Is this entity a Private Equity Fund (Venture Capital Fund or Leveraged Buyout)? No Is this a Hedge Fund? (Pooled Investment vehicles rotten partnerships) that primarily invest financial capital of third party investors in enterprises that are too risky for the standard capital markets or bank loans.) No Is this a Cash Intensive business? (Ca sh•intensive businesses/entities exist In various Industry sectors and Include, but are not limited to convenience stores, grocery stores, restaurants, bars, retail stores. liquor stores, cigarette distributors, privately owned ATMs. vending machine operators and parking garage operators.) No Is this entity any of the following business types? as None of the above Is the Entity a Personal Holding Company (PHC) or Personal Investment Company (PIC) located in an offshore Jurisdiction? No Business Case Please specify why you are comfortable with this client given the Identified risk factor(s). Your answer is your "business case" and should detail all mitigating factors. 1Ne are in the process of exiting the client from the rum - senor mann is aware and has communimied as such to the client . accounts are in transition now. Provide client history/detail. including when the relationship was established. how It came to be in PB/PWM, clients association with other JPM LOBS. etc. We are in the process of exiting the Brent from the firm. Client known to whom (JPMorgan employees). how well, and how long: VVe aro in the process of exiting the colationship from the firm. Overall PB/PWM relationship size and type of accounts: We are in the process of exiling the client from the fine: Is this a shared client, what other LOB has a relationship with the client? Provide relationship manager name (if known), client of other LOB since (date), and relationship size? No • we are in the process of exiting the client from the firm. When was the last time you met the client? What was the reason for the meeting? Client conversation with senior mgrof (John Duffy) pass quarter MOM client was asked to leave the firm. This has been in execution stage for past low weeks. Describe any significant changes in the clients information or material events that may have occurred over the last year (Examples: address changes, change in authorized persons on accounts. change in account type. change in business. change in net worth. etc.). Client is moving assets from the firm and closing accounts - transition is active. Cash Activity: Summarize client cash activity during the period reviewed and explain the purpose I use of the funds: See above - relationship is leaving the firm. Wire Activity: Summarize client wire activity during the period reviewed and explain the purpose / use of the funds. Including any International/cross border wires: See above - relationship is leaving the finn. Before answering the following question please review the Annual Account History Activity Summary Report that has been attached In the Summary tab. Did the actual transaction activity appear reasonable, normal, and expected for the type of business or Industry In which the client engages? Yes Was the nature, value, and volume of actual transaction activky consistent with expected transaction activity? Yes Was any unusual or potentially suspklous transaction activity detected? No Additional Comments As noted above - senior management has asked the client to leave the firm and move their business lo another institution - in progress. All arc activity related lo movement of assets from JP Morgan PB. Expected Activity Deposit Account(s) Transaction Types Expected Activity Levels Anticipated Dollar Amount Totals per Month Cash Oaposas Low (1.10) c$10,000 Cash Withdrawals Low (1.10i v$10.000 Check Deposits Low 0-10) <$10.000 Chocks Paid Low (1.10) c$1000 Incoming Wros (Domestic) Out9oingyAres (Domestic) Incoming Wres (International) Outgoing Wires (International) ACH Deposits ACH Payments Low (1.10) 510.000 TO 550.000 Inlemal Transfer (Dobitscredits) Low (1.10) 550,001 TO 5100.000 Asset PurchasesSales What is the initial/ongoing source of funding for the clients Deposit Account(s)? This Xs a 3 year review. The account has already been landed. Any ongoing source of funding vall he from assetsobtained through personal investments and from internal transfer of funds from personal account held al JPMorgan. What Is the purpose/intended use of accounts) Please provide a detailed description of how the Deposit Accounts) will be used by the client. The purpose of this account is to pay day to day expenses that the LLC inourrs Review the activity for the period overall and explain how the clients transaction profile agrees with or doesn't agree with expectations for the client based on the client relationship (purpose of accounts, occupation. business activity. etc.): Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062539 EFTA01582954