EFTA Document EFTA01384101

KYC Print Page 15 of 15 Management (PWM) worldwide is committed to professionally serve the interests of its clients. To do so, Client Facing Professionals) (1) (CFP's) should establish and maintain business relationships only with persons who satisfy our high standards of suitability, background and character. Due diligence obtained on the client must be appropriately documented by the CFA. It is the responsibility of CFP's to demonstrate that they know their client both at the inception of a relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM:• To the best of my knowledge and belief the above inn formation is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deabche Bank Americas New York https://na4 . sal esforce. com/servl et/servl et. I ntegrati on?li d=01N30000000D9Di&ei d=500600... 9/19/2013 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084107 CONFIDENTIAL SONY GM_00230291 EFTA01384101