EFTA Document EFTA01374408

• PCR did not alert. Documentation - • Documentation to verify entity formation and UBO identity was provided. Expected Activity for the Account/Information from Sales - • The client is opening an Equities Custody/Margin account for flow trading. Recommendation - • From an AML perspective, I approve this account with the condition to mark the relationship as High Risk and the recommendation to be monitored for suspicious activity. However, the material negative information associated