Compliance

The following standards form the compliance framework for KLS Securities:

Kyrgyz Republic anti-money laundering / terrorist financing legislation. As required by Kyrgyz law, the Company has adopted Internal Compliance Procedures and registered them with the Kyrgyz Republic Financial Intelligence Service.

• Besides implementing any sanctions legislation in force on the territory of Kyrgyz Republic, the company regards as unacceptable to maintain business or client relations with entities and individuals placed on the following sanctions / restrictions lists:

Specially Designated Nationals
and Blocked Persons List maintained by the Office for Foreign Asset Control (OFAC) of the US Department of the Treasury

Consolidated list of asset freeze targets designated by the United Nations, European Union and United Kingdom, as published by the HM Treasury (United Kingdom)

Sanctions lists published by The Federal Department of Economic Affairs, Education and Research (EAE) of the Swiss Confederation

• Being a financial intermediary from non-IGA country, KLS Securities on 30 June 2014 acceeded to the agreement with the US Internal Revenue Service under the Foreign Account Tax Compliance Act (FATCA) and has been assigned a Global Intermediary Identification Number (GIIN) ZJ54SY.99999.SL.417