SECTION I - GENERAL ADMINISTRATIVE INFORMATION 1. Legal Name of Financial Institution D/B/A (if applicable) 2. Registered Address (attach proof) Physical presence at this address? o Yes o No 3. Head Office Address Physical presence at this address? o Yes o No 4. Legal form (LLC, CORP, etc.) 5. Banking license no. and date issued o Not applicable 6. Commercial registration no. o Not applicable 7. Principal local regulator 8. Web Address 9. Swift Address 10. Name of parent company (if applicable) 11. Country of incorporation of parent company 12. Does the parent company control substantively and effectively your institution? o Yes o No
13. Is your institution (or parent company) publicly traded? o Yes o No 13.1. If yes, on what exchange(s) is your institution traded? Please include trade name or ticker symbol. 13.2. If no, please provide details of ownership (>=10 %) including ultimate ownership in the case of parent company. Please list owner names and ownership percentage or provide an attachment and include ownership structure if you need more space. Name % Ownership Direct/indirect o Check if attachment 14. Has the ownership of your institution changed during the last five years? o Yes o No 14.1. If yes, please provide Certificate of Change. 15. Please describe the purpose of the account: 16. What is the source of the funds that will be deposited in the account by the firm (include primary country of origin)? 17. What will be the anticipated account activity with regards to: a. Trades: Type: Volume: Value : b. Money Movements (Deposits, withdrawals): Type: Volume:
Value: 18. What are the products and services offered by the firm? 19. What types of customers are serviced by the firm (e.g. retail, corporate, or institutional)? From which countries of residence does the firm accept customers? 20. How long has the firm operated? Is the firm licensed or regulated? If so, by what regulators? 21. Is the firm subject to any regulatory or self-regulatory examinations of the firm s anti-money laundering program? If yes, Please describe the results of the most recent exam (include how frequently is the firm examined). 22. Please describe the results of or attach a copy of the most recent annual independent audit of the firm s anti-money laundering program (include how frequently is the firm audited). Please identify the name of the auditor and date of most recent audit. 23. Does the firm perform transaction monitoring? Is it automated or manual? Please describe. SECTION II - QUESTIONS RELATED TO REGULATORY ENVIRONMENT 24. Please confirm the areas of your organization covered by this questionnaire: 24.1. Head office & domestic branches o Yes o No 24.2. Domestic subsidiaries o Yes o No 24.3. Overseas branches o Yes o No 24.4. Overseas subsidiaries o Yes o No 24.5. AML questionnaire applies to this branch/subsidiary only o Yes o No 24.6. Does your institution have any units operating under an Offshore Banking license? o Yes o No 24.7. List the countries in which business is conducted or solicited
SECTION III - QUESTIONS RELATED TO YOUR INSTITUTION S AML POLICIES AND PRACTICES 25. Provide us with a copy of your AML policies. o Attached 26. Does the regulatory body / competent authority in your country conduct AML/CFT o Yes o No reviews of your institution? 27.1. If yes, with what frequency? 27. Does your institution s AML policy require you to: 27.1. Verify the true identity of all customers prior to entering into a business o Yes o No relationship/ undertaking any transactions? 27.2. Verify the true identity of underlying beneficial owners, if any? o Yes o No 27.3. Verify the source of wealth / funds and the level of economic activity of your o Yes o No customers? 27.4. Risk rate your customers and transactions? o Yes o No 27.5. Monitor suspicious or unusual activity that covers funds transfers and o Yes o No monetary instruments (travelers checks, money orders, etc.)? If yes, is it o automatic o manual 27.6. Screen for customers or transactions of significantly high risk that might o Yes o No require special attention prior to transactions (for example, persons, entities or countries that are on lists issued by government/international bodies)? If yes, is it o automatic o manual 27.7. Apply higher level of enhanced due diligence for high risk clients, presenting o Yes o No risk of illicit activities (including but not limited to, money laundering, fraud or terrorist financing)? 27.8. Periodically update due diligence information obtained? o Yes o No 28. Please identify all beneficial owners with 10% or greater direct or indirect ownership interests in the firm, if any, and provide name(s), address(es) and current photo ID (Passport, Driver s license) Please provide an ownership structure including all intermediaries and include percentage ownership at each level. Name % Ownership 29. Do your policies and procedures permit your institution to open or maintain anonymous o Yes o No accounts or accounts for bearer share corporations? 30. Do your policies and procedures permit your institution to conduct business with shell banks? o Yes o No
31. Does your institution provide services to the following types of financial institutions? 31.1. Financial institution located outside of your country o Yes o No 31.1.A. If yes, provide a list of financial institutions and locations. Name Location 31.2. Offshore Banks o Yes o No 31.3. Internet Banks o Yes o No 31.4. Money Service Business including money transmitters o Yes o No 31.5. Internet gambling companies o Yes o No 31.6. Nested accounts o Yes o No 31.7. Bitcoin o Yes o No 32. If you answered yes to any of the items in question 31, do your institution s policies, o Yes o No procedures and monitoring specifically outline how to mitigate the potential risks associated with these higher risk customer types? 32.1. How does your institution mitigate the risk associated with these customers? 33. Does your institution provide AML/CFT training to relevant employees, that includes o Yes o No identification and reporting of suspicious transactions? 34. Has your institution had any regulatory or criminal enforcement actions resulting o Yes o No from violations of AML law or regulations in the past five years? 34.1. If yes, please provide explanation.
35. Has your institution, to your knowledge, been the subject of any investigation, o Yes o No indictment, conviction or civil enforcement action related to financing terrorist in the past five years? 35.1. If yes, please provide explanation. 36. Please Identify and provide an address and current photo ID (Passport, Driver s license) for the following: Position Name Address CEO: COO: CFO: President (if applicable): Chairman (if applicable): SECTION V ACKNOWLEDGEMENT OF RESPONSIBILITIES We confirm that: (a) We will ensure that full due diligence is performed on all our customers. (b) We will not allow a third party direct access to the account without proper authorization obtained from TradeStation Securities, Inc. (c) We do not offer our products or services to a Shell Bank. I certify that I am authorized to complete this questionnaire and that to the best of my knowledge the information given is complete and correct. Signature Date Name Phone Address Fax Title E-mail
SECTION VI DEFINITIONS OF TERMS USED IN THIS QUESTIONNAIRE PEP (Politically Exposed Person): Individuals who have or have had positions of public trust such as government officials, senior executives of government corporations, politicians, important political party officials, etc. and their families and close associates. Offshore banking unit: A bank with a license to conduct banking activities that, as a condition of the license, prohibits the licensed entity from conducting banking activities with the citizens, or in the local currency of, the jurisdiction that issued the license. Internet bank: Bank operating solely on the Internet, without any physical offices. Nested Account: occurs when a foreign financial institution gains access to the Swiss financial system by operating through a Swiss correspondent account belonging to another foreign financial institution. Shell banks: Banks which maintain no physical presence in the country of their incorporation (except if a subsidiary of a regulated financial group). Downstream correspondent clearing: Correspondent banking client who receives correspondent banking services from an institution and itself provides correspondent banking services to other financial institutions in the same currency as the account it maintains with the institution. Money service business: Any entity providing one or several of the following services: Money orders Traveler s checks Money transmission Check cashing Currency exchange Currency dealing Stored value FATF Recommendation # 16 Wire Transfer (previously Special Recommendation VII on Terrorist Financing) suggests that wire transfers and related messages contain accurate and required originator information (originator name, address and account number) and required beneficiary information on wire transfers, that the information remains with the wire transfer or related message throughout the payment chain, and financial institutions implement monitoring programs to detect payments lacking such information. Do not write below this line - For TradeStation use only Received by: Date: Reviewed by: Date: Approved by: Date: Notes: