EFTA Document EFTA01478399

Client Risk Program - Affirmation and Escalation Guideline Account Holder Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UB0), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted together w