EFTA Document EFTA01480824

Please respond to any issue(s) identified in the GUI grid that either needs further review. or red dot which is not already covered in a Business Case within this KYC Senior managoinent and risk commute° is aware of the conviction and settlements Comments Primary Information Client Type Non Individual Front Office Restricted? Normal Client Status Client Active Indicator Confidential Names? No Legal Business Name NEPTUNE LLC Insider Code (Res 0) Country of Primary Domicile UNI