Legal AML Attestation Form

LEGAL AML ATTESTATION FORM

This Anti‑Money Laundering Attestation (the Attestation) is made effective as of by and between Attesting Party: , an entity with principal place of business at , organized under the laws of , and Recipient: , with principal place of business at .

Recitals

WHEREAS, Recipient requires assurances from Attesting Party regarding Attesting Party's compliance with applicable anti‑money laundering, counter‑terrorist financing, and sanctions laws and regulations (collectively, AML Laws) as a condition to engaging in or continuing a business relationship; and

WHEREAS, Attesting Party possesses and administers internal policies, procedures and controls designed to prevent and detect money laundering, terrorist financing and other illicit activity and is willing to attest to the existence and operation of such controls under the terms set forth below; and

WHEREAS, the parties desire to document Attesting Party's representations and the obligations to notify Recipient of material changes or deficiencies with respect to Attesting Party's AML controls.

NOW, THEREFORE, in consideration of the mutual covenants set forth herein, the parties agree as follows.

1. Definitions

Capitalized terms used in this Attestation shall have the meanings set forth herein. "AML Program" means the written policies, procedures, controls, training, reporting and monitoring implemented by Attesting Party to comply with AML Laws. "Sanctions Laws" means applicable economic or trade sanctions, embargoes and related prohibitions administered pursuant to applicable law.

2. Representations and Attestations

Attesting Party hereby represents and warrants, and certifies under penalty of perjury, that as of the Effective Date and continuing thereafter until Attesting Party provides written notice of material change to Recipient:

(a) Attesting Party maintains an AML Program reasonably designed to achieve and monitor compliance with all applicable AML Laws, including customer due diligence, ongoing monitoring, transaction monitoring, suspicious activity reporting and recordkeeping.

(b) Attesting Party has performed customer identification and beneficial ownership verification of its clients and counterparties to the extent required by applicable AML Laws and has documented such verification in accordance with its policies and procedures.

3. Specific Disclosures and Controls

Attesting Party provides the following attestations and information (check or complete where applicable):

Corporation Limited Liability Company Partnership Trust Other:

Attesting Party employs sanctions, PEP and watchlist screening as part of its AML Program. Attesting Party employs automated transaction monitoring.

4. Ongoing Obligations; Notification

Attesting Party shall promptly notify Recipient in writing of any material change in, or material deficiency in the operation of, Attesting Party's AML Program, including any regulatory enforcement action, criminal investigation, material breach, or the detection of a material failure of controls. "Promptly" shall mean within five (5) business days after Attesting Party becomes aware of the event.

5. Recordkeeping and Audit Cooperation

Attesting Party shall maintain records supporting the attestations made herein for a period of not less than five (5) years and shall, upon reasonable request and subject to confidentiality constraints and applicable law, provide access or reasonable summaries of such records to Recipient or its authorized auditors to verify compliance with this Attestation.

6. False Statements; Indemnification

Attesting Party acknowledges that willfully false statements in this Attestation may subject Attesting Party to civil and criminal penalties under applicable law. Attesting Party shall indemnify and hold harmless Recipient from all losses, liabilities, fines and costs (including reasonable attorneys' fees) arising from any materially false or negligent representation or omission contained in this Attestation.

7. Confidentiality

Information provided under this Attestation shall be treated as confidential by Recipient, except as required by law, regulation, or regulatory authority. Recipient may disclose such information to its affiliates, advisors and regulators on a confidential basis.

8. Notices

9. Governing Law; Venue

This Attestation shall be governed by and construed in accordance with the laws of , without regard to conflict of laws principles. The parties submit to the exclusive jurisdiction of the courts located in such jurisdiction for disputes arising out of or in connection with this Attestation.

10. Entire Agreement; Severability

This Attestation constitutes the entire agreement between the parties with respect to the subject matter hereof and supersedes all prior written or oral agreements and understandings relating thereto. If any provision of this Attestation is held to be invalid or unenforceable, the remaining provisions shall remain in full force and effect.

11. Amendments; Waiver; Counterparts

No amendment or waiver of any provision of this Attestation shall be effective unless in writing and signed by both parties. Failure to enforce any provision shall not constitute a waiver. This Attestation may be executed in counterparts, each of which shall be deemed an original and all of which together shall constitute one instrument.

12. Additional Certifications

The undersigned, on behalf of Attesting Party, further certifies the following by checking each applicable box and signing below:

Beneficial owners required to be identified under applicable law have been identified and records retained in accordance with law.

To the best of Attesting Party's knowledge, Attesting Party is not owned or controlled by individuals or entities subject to sanctions or other restrictions that would prohibit the proposed business relationship.

Attesting Party provides periodic AML training to relevant personnel.

The signatories below certify under penalty of perjury that they are authorized to execute this Attestation on behalf of their respective parties, and that the statements made herein are true, accurate and complete to the best of their knowledge as of the date of signature.

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