XXXX Co., Ltd.(Your Name) Know Your Customer / Anti-Money Laundering & Countering The Finance of Terrorism Questionnaire Section I – General Administrative Information Legal Name of Institution Legal Form SWIFT Address / Website Principal Place of Business (Address) Registered at / Banking License issuing authority、date and number Does your Institution maintain a physical presence1 in the licensing country? YES ☐ NO ☐ Is your institution an agency, branch or subsidiary of a bank with a physical presence ? YES ☐ NO ☐ If yes, please answer the following questions： · Name of affiliate / parent company: · Is affiliate / parent company publicly traded? YES ☐ NO ☐ If yes, list exchanges and symbols:

· Indicate affiliation: · Licensing country of affiliate: Is your institution a publicly traded entity2? YES ☐ NO ☐ · If yes, please list the exchanges & symbols:

Contact window for Account / Relationship： Contact window for Compliance：

Telephone No.： Telephone No： Fax No.： Fax No.： E-mail Address： E-mail Address：

Addrss： Addrss：

1 Physical presence means your institution maintains a physical place of business, other than an electronic address, in a country where it is authorized to conduct banking activities, at which it employs at least one employee on a full-time basis and maintains records of its banking activities, and is subject to supervision by the regulators of the country authorizing the institution’s license. 2 If your institution is an agency, branch or subsidiary of a publicly traded entity that is listed on one of the exchanges listed in Appendix B, the answer to the question should be “Yes.”

Page 1 of 6 Section II – Scope of Business Activities Country Type (Branch, Agency, Subsidiary, etc.) Number

Principal areas of business activity (Commercial, Private, Corporate, Wholesale, Insurance, etc.)

Section III– Ownership and Management Information Ownership Nature of Ownership Name of Institution Interest (%) (Direct/Indirect)

The names of the principal officers and directors of our bank, their respective positions. Name Position 1. Board of Directors：

2. Senior Management：

KNOW YOUR CUSTOMER / ANTI-MONEY LAUNDERING & COUNTERING THE FINANCING OF TERRORISM CONTROLS

Page 2 of 6 Yes No 1. Is the AML compliance program approved by your institution’s Board or a senior Yes ☐ No ☐ committee? 2. Does your institution have a legal and regulatory compliance program that includes a designated officer that is responsible for coordinating and Yes ☐ No ☐ overseeing the AML framework? 3. Has your institution developed written policies documenting the processes that Yes ☐ No ☐ they have in place to prevent, detect and report suspicious transactions? 4. In addition to inspections by the government supervisors/regulators, does your institution client have an internal audit function or other independent third party Yes ☐ No ☐ that assesses AML policies and practices on a regular basis? 5. Does your institution have a policy prohibiting accounts/relationships with shell banks? (A shell bank is defined as a bank incorporated in a jurisdiction in which it Yes ☐ No ☐ has no physical presence and which is unaffiliated with a regulated financial group.) 6. Does your institution have policies to reasonably ensure that they will not conduct transactions with or on behalf of shell banks through any of its accounts or Yes ☐ No ☐ products? 7. Does your institution have policies covering relationships with Politically Exposed Yes ☐ No ☐ Persons (PEP’s), their family and close associates? 8. Does your institution have record retention procedures that comply with applicable Yes ☐ No ☐ law? 9. Are your institution’s AML policies and practices being applied to all branches and subsidiaries of your institution both in the home country and in locations Yes ☐ No ☐ outside of that jurisdiction? 10. Does your institution have a risk-based assessment of its customer base and their Yes ☐ No ☐ transactions? 11. Does your institution determine the appropriate level of enhanced due diligence necessary for those categories of customers and transactions that your institution Yes ☐ No ☐ has reason to believe pose a heightened risk of illicit activities at or through your Institution? 12. Has your institution implemented processes for the identification of those customers on whose behalf it maintains or operates accounts or conducts Yes ☐ No ☐ transactions? 13. Does your institution have a requirement to collect information regarding its Yes ☐ No ☐ customers’ business activities? 14. Does your institution assess its FI customers’ AML policies or practices? Yes ☐ No ☐ 15. Does your institution have a process to review and, where appropriate, update Yes ☐ No ☐ customer information relating to high risk client information? 16. Does your institution have procedures to establish a record for each new customer noting their respective identification documents and ‘Know Your Customer’ Yes ☐ No ☐ information? 17. Does your institution complete a risk-based assessment to understand the normal Yes ☐ No ☐ and expected transactions of its customers? 18. Does your institution have policies or practices for the identification and reporting Yes ☐ No ☐ of transactions that are required to be reported to the authorities? 19. Where cash transaction reporting is mandatory, does your institution have Yes ☐ No ☐ procedures to identify transactions structured to avoid such obligations? 20. Does your institution screen customers and transactions against lists of persons, Yes ☐ No ☐ entities or countries issued by government/competent authorities?

Page 3 of 6 21. Does your institution have policies to reasonably ensure that it only operates with Yes ☐ No ☐ correspondent banks that possess licenses to operate in their countries of origin? 22. Does your institution adhere to the Wolfsberg Transparency Principles and the appropriate usage of the SWIFT MT 202/202COV and MT 205/205COV message Yes ☐ No ☐ formats? 23. Does your institution have a monitoring program for unusual and potentially suspicious activity that covers funds transfers and monetary instruments such as Yes ☐ No ☐ travelers checks, money orders, etc? 24. Does your institution provide AML training to relevant employees that includes:  Identification and reporting of transactions that must be reported to government authorities. Yes ☐ No ☐  Examples of different forms of money laundering involving your Institution’s products and services.  Internal policies to prevent money laundering. 25. Does your institution retain records of its training sessions including attendance Yes ☐ No ☐ records and relevant training materials used? 26. Does your institution communicate new AML related laws or changes to existing Yes ☐ No ☐ AML related policies or practices to relevant employees? 27. Does your institution employ third parties to carry out some of the AML/CFT functions of your Institution? Yes ☐ No ☐

28. If the answer to question 27 is yes, does your institution provide AML training to relevant third parties that includes:  Identification and reporting of transactions that must be reported to government authorities. Yes ☐ No ☐  Examples of different forms of money laundering involving your Institution’s products and services.  Internal policies to prevent money laundering.

Name Position Signature Date

KNOW YOUR CUSTOMER / ANTI-MONEY LAUNDERING & COUNTERING THE FINANCING OF TERRORISM ─ APPENDIX A

This is the list of the institution’s agencies, branches, and subsidiaries to which the certification of adherence in the representation letter applies：

Page 4 of 6 Entities Street Address Banking Authority HEAD OFFICE

OVERSEAS BRANCH

Page 5 of 6 KNOW YOUR CUSTOMER / ANTI-MONEY LAUNDERING & COUNTERING THE FINANCING OF TERRORISM ─ APPENDIX B

Stock Exchanges  Alberta Stock Exchange  Italian Exchange  American Stock Exchange  Jakarta Stock Exchange  Athens Stock Exchange  Jamaica Stock Exchange  Australian Stock Exchange  JSE Securities Exchange, South Africa  Bermuda Stock Exchange  Korea Stock Exchange  Bolsa de Comercio de Buenos Aires  Kuala Lumpur Stock Exchange  Bolsa de Comercio de Santiago  Ljubljana Stock Exchange  Bolsa de Valores de Caracas  London Stock Exchange  Bolsa de Valores de Lima  Malta Stock Exchange  Bolsa de Valores de Rio de Janeiro  NASD  Bolsa de Valores de São Paulo  National Stock Exchange of India, Ltd.  Bolsa Mexicana de Valores  National Stock Exchange of Lithuania  Bolsas y Mercados Españoles  New York Stock Exchange  Boston Stock Exchange  New Zealand Stock Exchange  Bourse de Luxembourg  Osaka Securities Exchange  Bourse de Montreal  Oslo Bors  BSE The Stock Exchange, Mumbai  Philippine Stock Exchange  Bucharest Stock Exchange  Prague Stock Exchange  Budapest Stock Exchange Ltd.  Shanghai Stock Exchange  Chicago Board Options Exchange  Shenzhen Stock Exchange  Chicago Stock Exchange  Singapore Exchange  Colombo Stock Exchange  Stock Exchange of Hongkong  Copenhagen Stock Exchange  Stock Exchange of Tehran  Cyprus Stock Exchange  Stock Exchange of Thailand  Deutsche Börse Ag  Stockholmsbörsen  Euronext Amsterdam  SWX Swiss Exchange  Euronext Belgium  Taiwan Stock Exchange Corp.  Euronext Brussels  Tel Aviv Stock Exchange  Euronext Lisbon  Tokyo Stock Exchange  Euronext Paris  TSX Toronto Stock Exchange  HEX Plc  Vancouver Stock Exchange  Hongkong Exchanges and Clearing  Warsaw Stock Exchange  Irish Stock Exchange  Weiner Börse Ag  Istanbul Stock Exchange  Winnipeg Stock Exchange

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