EFTA Document EFTA01372580

2016 AFC AML Advisory Enhanced Due Diligence ("EDD") and Event Driven Review ("EDR") Key Operating Procedures 1. Obtain and review collected documentation and information from either Global Markets or Corporate Finance Client On-Boarding ("GM/CF COB") • For EDDs, ensure all appropriate documentation and information has been provided, depending on the type of entity it is (see Customer Due Diligence Requirements Matrix for description of each legal entity): o Government certified documen