Deutsche Börse Group Group Client Key Account Mgmt. Trading * Company Name of Company 60485 Frankfurt am Main Germany Fax Frankfurt: +49-(0)69-211-11641 Fax London: +44-(0)207-862 7297 Fax Paris: +33-(0)-155 27 67 50 Fax Chicago: +1-(0)312-544-1001 * Address 1 * * Address 2 * Zip Code * City * Country * Compliance Contact First name / Last name * Telephone * Fax Street Organization and Domicile * E-mail Legal Name of Company 1) : License or Identification Number: Company's Website: Registered Address Address: City: Postcode: Country: Corporate Organization: Jurisdiction of Local Licensing Authority and Regulatory Authority: Regulatory Authority responsible for Company's Anti-Money Laundering (AML) Supervision: Regulatory Authority's Website: If none, Name and/or Industry Code and Website of the Industry Supervisory: Name of Outside Auditors: Auditors Website: Company's organizational status in relation to the Parent Company: 1) Please provide evidence of any name changes covering the previous ten years. 1 / 9
Parent Company Details (if applicable) Legal Name of Parent Company: Company's Website: Parent Company's Address Address: City: Postcode: Country: Corporate Organization: Jurisdiction of Local Licensing Authority and Regulatory Authority: Responsible Regulatory Authority for Parent Company's Anti-Money Laundering (AML) Supervision: Regulatory Authority's Website: If none, Name and/or Industry Code and Website of the Industry Supervisory: Business Activity (Please indicate) - Principal types of financial products and services, both financial and non-financial, that are offered. - Geographic markets covered. - Purpose of Business and/or Company. 2 / 9
Executive Management Please provide the names of Senior Executives and complete the table below (add additional names on a separate piece of paper if necessary). Full Name, Nationality, Date of Birth Senior Executive / Position Year of service Is there any Politically Exposed Persons (PEP) among your company's owners and/or executive management? If yes, please provide details (name, nationality, date of birth and role) Full Name, Nationality, Date of Birth Position / Reason for Qualification as PEP 3 / 9
Special Provisions regarding The Islamic Republic of Iran (Iran) Do you provide correspondent banking services for banks or other financial company's domiciled in Iran? If yes, do you conduct enhanced due diligence measures on such customer relationships? Yes (please provide details): Do you provide correspondent banking services for banks or other financial companies that provide correspondent banking services for banks or financial company's domiciled in Iran? If yes, do you ensure that your customer conducts enhanced due diligence measures on its correspondent banking relationships with banks or financial company's domiciled in Iran? Yes (please provide details): Do you maintain correspondent banking relationships with other correspondents that hold accounts for companies or individuals domiciled in Iran? If yes, do you ensure, that the other correspondent conducts enhanced due diligence measures on such customer relationships? Yes (please provide details): n-shell Bank Arrangements Is your company a Shell Bank 2)? Does your company maintain accounts for shell banks and conduct business with Shell Banks? Does your company have policies to reasonably ensure that you will not conduct transactions with or on behalf of Shell Banks? Does your company provide financial services to third parties and/or does your company have customers? Yes If Yes, please continue with the following questions and sign the questionnaire on the last page. If, please skip the following questions and sign the questionnaire on the last page. 2) Shell Bank means incorparated in a jurisdiction in which it has no physical presence and which is unaffilliated with a regulated financial group (cf. FATF Forty Recommendations). 4 / 9
AML Regulation Is your country a member of the Financial Action Task Force (FATF)? Yes If no, please provide further information If your country is not a member of the FATF directly please provide the name of the comparable organization to which your country belongs (e.g. APG-Asia Pacific Group on Money Laundering) Anti-Money Laundering Controls Please outline the laws and regulations to which your company is subject to Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT) and know your customer (KYC), including regulatory reporting requirements for suspicious account activity, the extent to which they are FATF compliant, and state your degree of compliance. If applicable, is your company subject to the AML, CFT and KYC policies and procedures of your ultimate parent company? Does your company ensure that its credit/financial company customers have adequate AML, CFT and KYC procedures in place? Please provide the name and contact information of an officer responsible for your company's Anti-Money Laundering- Program. Name: Position/Title: E-Mail: If you have attached a signed Wolfsberg, please proceed to Certification. Otherwise please continue. 5 / 9
Anti-Money Laundering Controls (if Wolfsberg is not available) Please describe your company's KYC policies and if applicable provide information on account opening procedures, documentation requirements and retention, the identification of beneficial owners and the acceptance of higher risk customers (such as non-fatf based customers, Politically Exposed Persons PEP). Does your Company open/maintain accounts for customers which are not identified (anonymous accounts)? Please describe procedures for updating and reviewing customer information. Please provide an overview of your company's procedures for monitoring customer account activity/transactions. 6 / 9
If applicable, please indicate the AML, CFT and KYC policies of foreign branches and subsidiaries (if different from head office) and the oversight efforts of head office concerning the AML, CFT and KYC procedures of foreign branches and subsidiaries. Please indicate whether the AML, CFT and KYC measures implemented and described above are subject to independent and periodic internal and external audit reviews. If yes, can Deutsche Börse Group obtain, upon request, a copy of corresponding internal and external audit reports? AML Training Does your company provide AML training to relevant employees that include identification and reporting of transactions which must be reported to government authorities, examples of different forms of money laundering involving your products and services, and internal policies to prevent money laundering? Does your company retain records of its training sessions including attendance records and relevant training material used? Does your company have policies to communicate new AML related laws or changes to existing AML related policies or practices to relevant employees? Does your company employ agents to carry out some of the functions of your institution? If yes, do you provide AML training to relevant agents? 7 / 9
Correspondent Banking (if applicable) Does your company have policies to reasonably ensure that it only operates with correspondent banks that possess licenses to operate in their countries of origin? Does your company assess your correspondents' Anti-Money Laundering/ Controls? Does your company allow third parties to directly or indirectly use your account(s) with Eurex Clearing AG, i.e. in the form of payable through accounts? If yes, please indicate The names and addresses of third parties. Whether your company has formally identified these third parties. How your company performs the on-going monitoring of the activities of these third parties. 8 / 9
Certification completed by (duly authorized officers of company) Authorised signatories Authorized signature Authorized signature Name Name Title Title Date and Place Date and Place Company stamp (Name in Capitals) Company stamp (Name in Capitals) 9 / 9