EFTA01388004.pdf

within high risk countries? I Corporate Documentation Attached (Legal Entities Only) ®Yes 0 No 0 Not Applicable J. Undisclosed Principal Form Complete (Intermediaries Only) ❑Yes 0 No 0 Not Applicable K If Lexis/Nexis Search Results. Corporate Documents or Other Supporting Documentation is not in English, please provide an English summary of the nature/contents of the non-English Documentation: L. Special Risk Factors Does the account have Nexus to Special Ilbsk Countries? 0 Yes E No Is the account structure unusually complex? ❑YeB 72 No Is there any Indication the client set up a non operating company expreeshr for the purpose of transferring shares to ❑Yes 0 No third parties? Is there any indication this could be a prohibited business relationship? • Yes 0 No Are the bearer shares identified surged to acceptable controls? Ey es id Il No CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0091313 CONFIDENTIAL SONY GM_00237497 EFTA01388004