Ticket' 105258608 Account Initiated Date 07/132013 07:22

Ticket' 105258608 Account Initiated Date 07/132013 07:22 AM Client Name MAX FOUNDATION Account Tale Initiator JUSTIN D NELSON ECI 0309713017 Account Typo Initiating Team PB FRONT OFFICE LOB PB Verify 8 Confirm for MAX FOUNDATION Final Risk Rating HO Initial Risk Rating High GCS Report Requested Full Presence of Potential High Risk Indicators No Comments Summary of Risk Attributes High risk - Client is associated with the Epstein relationship and is in the process of being exited. Please summarize any material changes which have occurred with the client within the past 12 months: Client is associated with the Epstein relationship and is in the process of being exited. Risk Updated History Creation Date Entered by Updated Risk Previous Risk Comment GCS Grid Search Type Security Service Details Further Review Required Company Information Information nol confirmod for -Max Foundation* (Tax ID and Address): Details included in the attachment Yes Corporate Records Information not confirmed for 'Max Foundation - (State of Domicile): Details included in the attachment. Yes Other Database Searches (RCOMIS/Factiva) No records were found. No Internal Database Search (CSSSIFPS) No records were found. No State Court Searches No recordsWere found. No Federal Court Searches No records were found. No Personal Particulars No additional research necessary. No Publications Nothng derogatory to report. No Regulatory Sanctions No records were found. No OFACControl List Search A search of OFAC revealed no matches. No Negative or Inconsistent Information Yes GCS Red Dot Has this been Identified as Red Dot NYC? N !Rive Information Found No No anker Attestation Details 1'. You are about to approve a high risk client. Have you included sufficient information to satisfy High Risk Enhanced Due Diligence regulatory requirements (Section 312 of the USA Patriot Act ? Yes As the client sponsor, I understand that I am primarily responsible for protecting the firm's reputation from inappropriate business relationships. as well as from fraud and money laundering. By approving this KYC. I am sponsoring this client as to their character and reputation and from a legal/regulatory standpoint. Yes Please state your rationale for conducting business with this client As stated above the dient is exiting the fimi Please respond to any Issue(s) identified in the GUI grid that either needs further review. or red dot which is not already covered In a Business Case within this NYC Client is exiting the firm. Comments Client is exiling the firm. Primary Information 125 Client Status Confidential Names? Non Individual Client No Front Office Restricted? Active Indicator Normal Yes Confidential Treatment Requested by JPMorgan Chase JPM-SDNY-00062375 EFTA01582802