EFTA Document EFTA01480635

Periodic Review Comments : Temporary Waiver Information Waiver Status: DDR Complete Reason for Waiver: Security Services is still performing the client background check. Waiver Requested By: Mary C Casey Date of Waiver Request: 10/03/2008 Approver for Waiver: Elizabeth X Hogan Waiver Approved On: 10/03/2008 Banker Approval Information Sponsorship affirmation - Based on my due diligence and the information provided , I approve and accept sponsorship of HBRK Associates Inc. •••• as a Client from inception and throughout the client relationship. Mary C Casey 10/20/2008 08:41:29 AM Senior Manager Approval Information Based on the information provided and the approval granted by Mary C Casey, I approve the acceptance of HBRK Associates Inc. as a Client. Marcus Sheridan 10/20/2008 03:36:15 PM Admin Comments Admin Comments: By: Date: Admin Comments History : Document History Created: 10/03/2008 last Modified: 10/20/2008 Submitted: 10/17/2008 08:28:49 PM By: Mary C Casey By: Marcus Sheridan By: Vanessa A Budhu Audit History 8. 'Senior Manager Approval' performed by: Marcus Sheridan on: 10/20/2008 03:36:14 PM 7. 'Banker Approval' performed by: Mary C Casey on: 10/20/2008 08:41:30 AM 6. Submitted for Banker Approval SS Type = Media Searches Only performed by: Vanessa A Budhu on: 10/17/2008 08:28:56 PM 5. Button: 'Flag: Security Check has begun' performed by: Vanessa A Budhu on: 10/13/2008 12:23:36 AM 4. Button: 'Print' performed by: Desmia X Dale on: 10/03/2008 03:06:36 PM 3. Button: 'Approve Waiver' performed by: Elizabeth X Hogan on: 10/03/2008 11:22:16 AM 2. Button :'Request Waiver' performed by: Mary C Casey on: 10/03/2008 11:14:09 AM 1. Submitted for Security Services Approval performed by: Mary C Casey on: 10/03/2008 11:13:19 AM Converted Tracking Document History: Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00002840 SDNY_GM_00272038 EFTA01480635