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sd-10-EFTA01365175Dept. of Justice

EFTA Document EFTA01365175

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Purpns• of Relationship, Business Restrictions & Prohibited Relationships Sales Response 3. Describe the Purpose of Relationship in respect to the products / activities / services used by the client. Do the DB products used by the client make sense, considering the nature of their business and investment profile? e.g.: Is the client a guarantor? 4. Do any Business Restrictions apply to the client relationship? (If 'Yes' please describe) For example, restrictions on trading certain pro

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Dept. of Justice
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sd-10-EFTA01365175
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