EFTA01582802.pdf

Ticket' 105258608 Account Initiated Date 07/132013 07:22 AM Client Name MAX FOUNDATION Account Tale Initiator JUSTIN D NELSON ECI 0309713017 Account Typo Initiating Team PB FRONT OFFICE LOB PB Verify 8 Confirm for MAX FOUNDATION Final Risk Rating HO Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk No Indicators Comments Summary of Risk Attributes High risk - Client is associated with the Epstein relationship and is in the process of being exited. Please summarize any material changes Client is associated with the Epstein relationship and is in the process of being exited. which have occurred with the client within the past 12 months: Risk Updated History Creation Entered by Updated Previous Comment Date Risk Risk GCS Grid Search Type Security Service Details Further Review Required Company Information Information nol confirmod for -Max Yes Foundation* (Tax ID and Address): Details included in the attachment Corporate Records Information not confirmed for 'Max Yes Foundation- (State of Domicile): Details included in the attachment. Other Database Searches No records were found. No (RCOMIS/Factiva) Internal Database Search (CSSSIFPS) No records were found. No State Court Searches No recordsWere found. No Federal Court Searches No records were found. No Personal Particulars No additional research necessary. No Publications Nothng derogatory to report. No Regulatory Sanctions No records were found. No OFACControl List Search A search of OFAC revealed no matches. No Negative or Inconsistent Information Yes GCS Red Dot Has this been Identified as Red Dot NYC? No N !Rive Information Found No anker Attestation Details 1'. You are about to approve a high risk client. Have you Yes included sufficient information to satisfy High Risk Enhanced Due Diligence regulatory requirements (Section 312 of the USA Patriot Act ? As the client sponsor, I understand that I am primarily Yes responsible for protecting the firm's reputation from inappropriate business relationships. as well as from fraud and money laundering. By approving this KYC. I am sponsoring this client as to their character and reputation and from a legal/regulatory standpoint. Please state your rationale for conducting business with this As stated above the dient is exiting the fimi client Please respond to any Issue(s) identified in the GUI grid Client is exiting the firm. that either needs further review. or red dot which is not already covered In a Business Case within this NYC Comments Client is exiling the firm. Primary Information 125 Non Individual Front Office Restricted? Normal Client Status Client Active Indicator Yes Confidential Names? No Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062375 EFTA01582802