EFTA01384101.pdf

KYC Print Page 15 of 15 Management (PWM) worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client FacingProfessionals)(1) (CFP's) shouldestablish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on the client must be appropriately documented by the CFA. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship andon an ongoing basis. DECLARATIONFOR ALL SIGNERS OF THIS FORM:• To the best ofmy knowledge and beliefthe above innformation is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWM GlobalKYC Policy (I) Client FacingProfessionals (CFP's) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, Client Managers, etc. Deabche Bank Americas New York https://na4.salesforce.com/servlet/servlet.I ntegration?lid=01N30000000D9Di&eid=500600... 9/19/2013 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084107 CONFIDENTIAL SONY GM_00230291 EFTA01384101