EFTA01384734.pdf

HUBUS133 Alpha Group Capital SECTION B - Introducers 1. For a Regulated Entity introducing nominee accounts, complete APPENDIX I if the investor is: i. being introduced by an entity regulated for AML purposes any Low Risk jurisdiction. ii. being introduced by an entity regulated for AML purpose in a jurisdiction with strict banking secrecy laws (e.g. Switzerland and Luxembourg) and provide a copy of introducers AML policies and procedures. 2. For an entity introducing nominee accounts which are located in a Medium Risk Jurisdictions or is not directly regulated for AML purposes, complete APPENDIX II if representation is being provided by: i. a regulated parent company in a Low Risk jurisdiction or ii. a regulated parent company in a jurisdiction with strict banking secrecy laws (e.g. Switzerland and Luxembourg), oral provide a copy of parent company AML policies and procedures. 3. For a SEC registered entity introducing nominee accounts complete APPENDIX I if the investor is being introduced by a SEC registered investment advisor and provide a copy of introducers AML policies and procedures ADDITIONAL INFORMATION OR DOCUMENTATION REQUIRED: Please provide the following information if any of the above options are applicable to your investment. Name of Regulated Institution Principal Address of Regulated Institution Regulatory or Supervisory Body Copy of Authorized Signatory List or Certificate of Incumbency or Power of Attorney or equivalent document (must contain specimen signatures) Attach a representation letter* in accordance with the instructions above. (If required, please request a Microsoft Word version of this letter from your Transfer Agency Professional) 'Please note that Representation Letters me ISOMXI by the Administrators Compfiance Officer to ensure requirements am met. AdcRional intonnation or documentation may be requested. 8 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SONY-0085211 CONFIDENTIAL SDNY_GM_00231395 EFTA01384734