EFTA01368131.pdf

Global CDD Entity Capacity Client Role Contracting Party Business Relationships. Principal Is the entity that is being onboarded, contractually engaged by OB to develop investment business relationships or to introduce I procure business No transactions e.g. a business finder I arranger I introducer / consultant / intermediary etc? Entity Ownership Provide document for evidence of the entity's Ownership Stnicture Multiple Provide document for evidence of the entity's UBO relationships Southern Financial Operating Agreement.pdt Risk Factors Have you come across any other reason for escalation to AFC Compliance? No KYC Review Are you going to complete a full CDD/KYC Review for this Entity? Yes COO KYC Type Select the applicable Client KYC Type: Private Entity Organization Formation Provide document for evidence of the entity's Legal Name ORBIS.pdf Provide document for evidence of the entity's formation and Legal Form ORBIS.pdt Country Risk associated with the Registered address of the entity: Country Of Registration Country Lon' Virgin Islands. U.S. 2 Provide document for evidence of the entity's Registered Address ORBIS.pdf Country Risk associated with the Domicile Address of the entity: • Country Level Country Of Operation 2 Virgin Islands, U.S. During the course of due diligence was any nexus to a Special Risk Country found? No Source Of Wealth Have you identified the source of wealth for all UBOs who hold greater than or equal to 25% (in case of CDD) or 10% (in case of EDD) in the Ownership/ Yes Page 4 CONFIDENTIAL - PURSUANT TO FED. R. CRI M. P. 6(e) DB-SDNY-0059792 CONFIDENTIAL SDNY_GM_00205976 EFTA01368131