EFTA01387342.pdf

Sponsor to Complete Section 1 — About the Sponsor Primary contact for request Name Paul Morris Office Telephone Number Email Address Line Manager Andrew Gallivan Business Unit Wealth Management Country United States City New York Secondary contact for request Name Click here to enter text. Office Telephone Number Click here to enter text. Email Address Click here to enter text. Line Manager Click here to enter text. Business Unit Click here to enter text. Country Click here to enter text. City Click here to enter text. Section 2 — About the Subject Request : Choose an item. Category 7. r Research Enhanced Due Diligence Business Approval Levels: ❑ Category 1 - Director (D) and above x Category 2 - Director (D) and above 0 Category 3 —Managing Director (MD) Business justification: The sponsor should clearly state why the request is 'proportionate, necessary and legal' Check required by Americas Repritational Risk Committee in order to open new account Business / Other DB references: Cost Centre to charge: Is this request linked to a previous REDD request: No Reference Number: Type Here For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0089750 CONFIDENTIAL SDNY_GM_00235934 EFTA01387342