EFTA Document EFTA01374407

Classification: Confidential Wayne, Enhanced Due Diligence was conducted on Southern Financial LLC, a Private Investment Vehicle incorporated in the U.S. Virgin Islands, which is a Level II country, as the result of a New Client Adoption request to open a Global Markets relationship. The below is for your review and approval. Nature of Escalation - • The escalation is due to the client being a Private Investment Vehicle, which is considered High risk. Note: The documentation for this acc