EFTA01365799.pdf

Request for Research Enhanced Due Diligence Please read carefully before proceeding with the request Terms of Use • Prior to submission of the REDD request the sponsor(s) must demonstrate that existing internal Bank enquires and processes have been followed e.g. KYC and/or an event driven reviews. • Reports must not be released to potential investors or third parties • Submission of the request does not automatically initiate a request to a vendor • On receipt of the request the CSBC case officer will assess against internal criteria • As part of this process, further contact with the sponsor(s) may be necessary • On receipt of the final vendor report, it is strongly advised that the sponsor makes contact with the case officer as soon as practical to discuss any additional related requirements • Follow on requests must be submitted at least 7 days prior to the due date Definitions Category 1: Research Enhanced Due Diligence — this level of research is primarily focused on open source internet and public records that may be available depending on the territory. In some cases, intemet searches may be limited. Category 2: Research Enhanced Due Diligence — This level of research includes the previous level and may in some cases require physical inquiries at public records offices. This may require engagement with an external vendor. Category 3: Research Enhanced Due Diligence — This level of research will involve elements of the above categories in addition to enhanced inquiries by the Due Diligence vendor. Due to the nature of this research and the requirement to be fully compliant with local laws, legal oversight is necessary. It is strongly advised that the sponsor discusses their requirements prior to moving to this level of research. This should involve engagement with the local legal office, together with a robust justification. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0056920 CONFIDENTIAL SDNY_GM_00203104 EFTA01365799