EFTA01399164.pdf

Change Domicile Checklist Approval checklist to change domicile to a non-US country Account Holder(s) Name: I EEA Specific? Task Description 1 Yes Is it an EEA retain country (Austria, France, Germany, Italy, Spain, Portugal, Nethe rlands and UK) and meet or exceeds the financials criteria (relationship level: CBV>Eur2m or Annuali zed Rev Eur20k) 2 Yes Is it an EEA retain country (Austria, France, Germany, Italy, Spain, Portugal, Nethe rlands and UK) but fails to meet financials criteria (relationship level: CBV>Eur2m or Annualized R ev Eur20k), obtain COO approval to retain 3 Yes If Germany, customer to be transferred to GAT 4 Yes Was the client assigned to EEA dedicated banker team 5 Yes Is the new EEA country = Netherlands or Germany. If yes, brokerage acct is not perm itted 6 Yes If country is not an EEA retain country, can EEA country be serviced on a reverse so licitation basis (US compliance to confirm) 7 Yes If country is not an EEA retain country, was COO approval to retain granted 8 Yes If country is not an EEA retain country, was additional EEA country communicated to Central DCO (Kim/Julie to facilitate) 9 No Was the client approved for non-target coverage (use non-target paper form) 10 Yes Was the client approved by EMEA legal & compliance 11 Yes Is the "Banker" attestation form confirming that reverse solicitation is not require d on file 12 No Tax documents received and Tax approval obtained by ABR/Tax Team 13 Yes Client does not hold a non-discretionary DPM account 14 Yes Client does not hold a brokerage with ISG/IWP or if it does it has a HNW exemption o r local exception approval 15 Yes Client classified as EEA in dbForce (EDR completed) Business Manager Signature: Date: EEA country list: Austria, Belgium, Bulgaria, Czech Republic, Cyprus, Denmark, Estonia, Finland, Fr ance, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Liechtenstein, Lithuania, Luxembourg, Malta, Nethe rlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden & United Kingdom. &aerial unicode ms,Regular"For internal use only EFTA01399164