Guo Wengui / Miles Guo — criminal case · ORDER · ECF #208-3

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- Profile - Balances - Ledger - Transaction Monitoring - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Security Question - Support - Active Orders - Completed Orders - Trades - Tier - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Synced IPs - Whitelisted IPs - Risk Scoring

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- Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Standard- Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring- API

- Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- API Key- Plot Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring

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Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not pose the de- [REDACTED] cision to onboard the Customer with Medium Risk (4%).

|--|

- Profile- Balances- Ledger- Transaction Monitoring- Security Question- Support- Manager Deposits- Deposit Addresses- Withdrawals- Redemption Limits- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Mail Queue- Notices- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses- Whitelisted IPs- Risk Scoring

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- Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Score

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... and based on the information provided, the KYC Onboarding Analyst supports the decision to onboard the Customer with the view that the initial Medium Risk (Risk Score 355-361) assessment result is consistent with the Customer's profile and

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|-----------------------|--|--|----------------|--|--|--|--|----------------|--|--|--|--|--|---------------|--|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| (informity This could be a public office, a government role, a senor millions postion, at tourse or overses-<br>wa Sour to lampeller frum best of the posts and that productions in any consistent in any connot of unerements in any connor of unerement<br>ON | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | How many years of experience do you have in crypto trading?<br>< 1 Year | | Let us know what your level of experience is with cryptocurrency trading? Please select one:<br>Deginner | | Please tell us which countries the funds will be received and or transferred from.<br>United States<br>Houg Kong<br>New Zealand | | How much do you plan to deposit per year (USD and crypto combined)?<br>10 000 100 000 | | Please select the service(s) you plan to use. Select more than one box if necessary.<br>Crypto Trading, tong term investment, Crypto payment | | Please rell us about your source(s) of wealth? Select more than one box if necessary.<br>Property sale, Employment income, Business profits | | Please rell us about your source(s) of Income : funds. Select more than one pox if necessary.<br>Pension / social benefits, Investments, Savings | | Blease tall us about your annual turnover, in individual or business activity, which is handled in crystocurrency.<br>0-1 0% (none or little of my turnover is in cryptocurrency) | | Blease tell us about your annual turnover, in individual or business activity, which is handled in cash.<br>60-90% (most of my turnover 15 In cash) | | Is your individual schip or pushess registered or conducted in prefrential any 2014 (for instance, free economic zone, offshore jurisdical)<br>Hong Kong<br>13.8 | | BRESS TEll is about pushess you may conduct in other county(s) pesides where rogistered for tax purposes)<br>ON | | Please tell us about your occupation or business activity.<br>Importer and wholesale | | Please tell us about your current employment status.<br>Retired | | United Kingdom | | China | | NOTESTION | | | | | | (<br>Save & inform USer | | | | | | | | | | | | | | | | |

| COMMENT | ROLE | FULL NAME | DATE & TIME | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------|------------|----------------------| | Based on the KYC responses, the Customer is Medium Risk considering the following risk factors according Customer Risk Model:<br>Customer:<br>Per Customer's reply in Zendesk, he was a green card holder until he went through official procedures with US embassy in Hong Kong and gave up his green card permanently since 2019. The reason for him to open a Bank of America account (joint account with son) is because he could support his son for college education (i.e. daily expenses), and he may remit some funds to his son for further expenses.<br>Based on KYC questionnaire, customer's score is 20 points. In addition, client is retired and planning to deposit USD10K - 100K annually which accounts for additional 40 points. In total, client's risk score is 60 points which is not shown in KYC questionnaire.<br>Screening is performed against the Customer and there is 0 hit. Overall, Senior KYC onboarding analyst [REDACTED NAME] is of the view that the initial AML/CTF assessment result is consistent with Customer's profile and does not oppose the decision to onboard the Customer.<br>Medium Risk - Risk Score 60. | Senior KYC onboarding analyst | [REDACTED] | 4/29/2021 1:19:19 PM |

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- Profile - Balances - Whitelisted IPs - **Risk Scoring** - Transaction Monitoring - Security Questions - Supporting Documents - Withdrawal Addresses - Bank Accounts - Activity - Open Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus - Ledger - Deposits - Deposit Addresses - Withdrawal Addresses - Redemption Limits - Withdrawal Addresses - Bank Accounts - Activity - Open Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus

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- Profile - Balances - Whitelisted IPs - Risk Scoring - Ledger - Deposits - Post Addresses - Withdrawals - Redemption Limits - Transaction Monitoring - Security Questions - Supporting Documents - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Margin - Withdrawal Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses

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- Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Withdrawal Queue - Notifications - Activity - Error Log - Login History - Exploit Attempts - Referrals - Referral Earnings - Security Question Setup

- Whitelisted IPs- Risk Score- Funding- Transaction Monitoring- Security Questions- Supporting Documents- Redemption Limits- Profile- Balances- Ledger- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Bank Accounts- Active Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Sessions- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonus

| DATE & TIME | FULL NAME | ROLE | RISK SCORE | RISK LEVEL | |------------------------|---------------|---------------|------------|------------| | 12/28/2021 11:57:00 AM | Auto (System) | Auto (System) | 10 | Low |

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| **Left Column** | **Right Column** |:--- | :--- |**Risk Settings** | Login |Mobile | Address Sets |Linked Accounts | Withdrawal Limits |Specialized IPs | Redemption Limits |Deposit | Standard Addresses |Transaction Mode | Linked Accounts |Security Question | Active Orders |Supporting Documents | Completed Orders | | Wallets | | Tiers | | Market | | Outline | | Notifications | | Activity | | Error Log | | Data | | Login Attempts | | Records | | Referral Bonuses |

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- Profile - Balances - Ledger - Referral Bonuses - Whitelist - Trusted IPs - **Risk Scoring** - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Redemption Limits - Security Questions - Transaction Monitoring - Supporting Documents - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Explorer - Login Attempts - Referrals - API Keys - Settings

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| QUESTION | ANSWER | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------| | Place of birth | China | | Citizenship on the document | China | | Please tell us about your current employment status. | Retired | | Please tell us about your occupation or business activity. | 退休人員 | | Please tell us about business you may conduct in other countries besides where you are registered for tax purpose? | No | | Is your individual activity or business registered or conducted in preferential tax zone (free economic zone, offshore jurisdiction)? | No | | Please tell us about your annual turnover, in individual or business activity, which is handled in cash. | 0-10% (none or little of my turnover is in cash) | | Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency. | 0-10% (none or little of my turnover is in cryptocurrency) | | Please tell us about your source(s) of income. Select more than one box if necessary. | Pension, Social benefits | | Please tell us about your source(s) of wealth? Select more than one box if necessary. | Inheritance, Employment income | | Please select the service(s) you plan to use. Select more than one box if necessary. | Crypto trading, Long term investment, Crypto payment | | How much do you plan to deposit per year (USD and crypto combined)? | 10 000-100 000 | | Please tell us which countries the funds will be received and/or transferred from. | China<br>United Kingdom<br>Taiwan<br>Singapore | | Let us know what your level of experience is with cryptocurrency trading? Please select one. | Beginner | | How many years of experience do you have in crypto trading? | < 1 Year | | Are you, an immediate family member, or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory role or a senior military position, at home or overseas. | No |

| Profile | Balances | Ledger | Deposits | Deposit Addresses | Withdrawals | Redemption Limits | Withdrawal Addresses | Bank Accounts | Active Orders | Completed Orders | Trades | Tiers | Mail Queue | Notifications | Activity | Error Log | Exploit Attempts | Referrals | Referral Bonuses | WhiteListed IPs | Risk Scoring | |------------------------|-------------------|----------------------|----------|-------------------|-------------|-------------------|----------------------|---------------|---------------|------------------|--------|-------|------------|---------------|----------|-----------|------------------|-----------|------------------|-----------------|--------------| | Transaction Monitoring | Security Question | Supporting Documents | | | | | | | | | | | | | | | | | | | |

|-----------------------|----------------|--|--|--|--|--|--|----------------|--|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| INTERNAL ID | | | IQZZTFC | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |---------------------------------|---------------|---------------|----------------------|------------|------------|----------------------------|--|--|---------|--|--|---------------------------|--|--|--|--|--|-------------|-----------|--|------|------------|------------|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----|---------------------|---------------|---------------|--|----|-----| | MANUAL RISK SCORE | | | 0 Save | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | TOTAL RISK SCORE | | | 30 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | RISK LEVEL | | | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | COMPLYADVANTAGE HITS | | | 0 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | COMPLYADVANTAGE LINK | | | ComplyAdvantage Link | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | VERIFICATION APPLICATION STATUS | | | Auto-Approved | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | CATEGORY | | | Save & Inform User | | | NUMBER OF ATTEMPT TO JUMIO | | | 1 Reset | | | Risk Score Update History | | | | | | DATE & TIME | FULL NAME | | ROLE | RISK SCORE | RISK LEVEL | 3/6/2022 4:56:08 AM | Auto (System) | Auto (System) | | 30 | Low | 3/6/2022 4:52:03 AM | Auto (System) | Auto (System) | | 30 | Low | 3/6/2022 4:51:48 AM | Auto (System) | Auto (System) | | 30 | Low | 3/6/2022 4:50:14 AM | Auto (System) | Auto (System) | | 30 | Low | 3/6/2022 4:48:58 AM | Auto (System) | Auto (System) | | 30 | Low | 3/6/2022 4:48:16 AM | Auto (System) | Auto (System) | | 25 | Low | 3/6/2022 4:47:03 AM | Auto (System) | Auto (System) | | 25 | Low | | CATEGORY | | | Save & Inform User | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | NUMBER OF ATTEMPT TO JUMIO | | | 1 Reset | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Risk Score Update History | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | DATE & TIME | FULL NAME | | ROLE | RISK SCORE | RISK LEVEL | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:56:08 AM | Auto (System) | Auto (System) | | 30 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:52:03 AM | Auto (System) | Auto (System) | | 30 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:51:48 AM | Auto (System) | Auto (System) | | 30 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:50:14 AM | Auto (System) | Auto (System) | | 30 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:48:58 AM | Auto (System) | Auto (System) | | 30 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:48:16 AM | Auto (System) | Auto (System) | | 25 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | 3/6/2022 4:47:03 AM | Auto (System) | Auto (System) | | 25 | Low | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

|--|--|-----------------------|--|--|----------------|--|--|--|--|--|--|--|--|--|--|----------------|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |


| | | | | | | | | | | | Page 26 of 50 | |-----------------------------------------------------------|--|--|--|--|--|--|--|--|--|--|---------------| | | | | | | | | | | | | |

| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- Profile- Balances- Ledgers- Whitelisted IPs- Risk Score- Monitoring- Transaction Monitoring- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Security Questions- Bank Accounts- Supporting Documents- Active Orders- Redemption Limits- Completed Orders- Trades- Tiers- API Keys- Internal Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses

|-----------------------------------------|---------------------------------| | | | | | | | | | | | |

- Profile- Balances- Legal- Whitelisted IPs- Deposits- **Risk Scoring**- Deposits- Transaction Monitoring- Withdrawal- Security Questions- Withdrawal Addresses- Redemption Limits- Bank Accounts- Supporting Documents- Active- Orders- Completed Orders- Trades- Tiers- Mail Queue- Notifications- Activity- Error Log- Exploit Attempts- Referrals- Referral Bonuses

|-----------------------|----------------|----------------|---------------| | | | | | | | | | |

| CITY ONY | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | 1000000000<br>2/030941 | | Wood | | | | 6 Apper mittendry of Essues reparted in scriptional In procentul Car 2004 Eller entrace, from ACD Productions/<br>0. FFF 18000, or \$100 for \$100, the stress were in the really | | o. FITS (adope or hittle of my farningser in in Cript Issueses a | | Part, There Job Admin<br>Mapline NA. SMARKS, Cyptomore of ITalian | | STATE V. BUILDING LINEA<br>Disain Daily This Drill Street States | | Cifiel Timbly. Unders crutification. Athis per 112 perspelle in Formal Ech Morge Official Collections CASSO SPANIE | | COONOOD'S ILEO CAT<br>11234660 | | alundlig | | | | 1031 3 11 | | |

| Page 29 of 50 | | | | |-----------------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Filed 12/21/23 | | | | | | | | | | | | | | | | | | | | | | | | | Document 208-3 | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Case 1:23-cr-00118-AT | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| Case 1:23-cr-00118-AT | | | | | | | | | | | | | | |-----------------------|--|--|--|--|----------------|--|--|--|----------------|--|--|--|---------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Document 208-3 | | | | Filed 12/21/23 | | | | Page 30 of 50 |

| Labels | Values ||---|---|| Profile | Balances || Whitelisted IPs | Ledger || **Risk Scoring** | Deposits || Transaction Monitoring | Deposit Addresses || Security Ques | Withdrawals || Supporting Docum | Redemption Limits || ents | Withdrawal Addresses || Bank Accounts | Completed Orders || Active | Queue || Orders | Notifications || Trades | Activity || Tiers | Error Log || Notifications | Exploit Attempts || Activity | Referrals || Error Log | Referral Bonuses || Exploit Attempts | || Referrals | || Referral Bonuses | |

| 2<br>QUESTION SORT ORDER<br> | KYC Questionnaire | 15/22022 3:0541 MA | | Risk Score Update History | NUMBER OF ATTEMPT TO<br>OIMUL | CATEGORY | APPLICATION STATUS<br>VERIFICATION | COMPLYADVANTAGE<br>דואא | COMPLYADVANTAGE<br>SUH | RISK LEVEL | TOTAL RISK SCORE | MANUALRISKSCORE | INTERNAL ID | |------------------------------|-------------------|--------------------|---------------|---------------------------|-------------------------------|----------------------|------------------------------------|-------------------------|------------------------|------------|------------------|-----------------|-------------| | | | | DATE & TIME | | 19298 | | Auto-Approved | ComplyAdvantage Link | | Medium | 57 | 5165 | גפקאמצא | | QUESTION | | Alto (System) | AULL NAME | | | V Save & Inform User | | | | | | | | | | | Auto (System) | | | | | | | | | | | | | | | | ROLE | | | | | | | | | | | | ANSWER | | | | | | | | | | | | | | | | | 50 | Expirat SCORE | | | | | | | | | | | | RISK RATING | | Medium | RISK LEVEL | | | | | | | | | | |

| INTERNAL ID | K64HVBN | Filed 12/21/23<br>Page 32 of 50 | |---------------------------------|---------------------------|---------------------------------| | MANUAL RISK SCORE | 3 Save | | | TOTAL RISK SCORE | 45 | | | RISK LEVEL | Medium | | | COMPLIANCE ADVANTAGE | 0 | | | RISK LEVEL | Medium | | | COMPLIANCE ADVANTAGE LINK | Compliance Advantage Link | | | VERIFICATION APPLICATION STATUS | Auto-Approved | |

|--|-----------------------|----------------|----------------|---------------| | | | | | |

| INTERNAL ID | P146C1D | | | | |---------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|---------------|--------------------------------------------------|-------------| | MANUAL RISK SCORE | 0 | See | | | | TOTAL RISK SCORE | 15 | | | | | RISK LEVEL | Low | | | | | COMPLYADVANTAGE HITS | 0 | | | | | COMPLYADVANTAGE LINK | ComplyAdvantage Link | | | | | VERIFICATION APPLICATION STATUS | Auto-Approved | | | | | CATEGORY | Save & Inform User | | | | | NUMBER OF ATTEMPT TO JUMIO | 2 | Reset | | | | Risk Score Update History | | | | | | DATE & TIME | FULL NAME | ROLE | RISK SCORE | RISK LEVEL | | 7/14/2023 10:19:12 AM | Auto (System) | Auto (System) | 15 | Low | | KYC Questionnaire | | | | | | QUESTION SORT ORDER | QUESTION | | ANSWER | RISK RATING | | 10 | Place of birth | | China | 0 | | 11 | Citizenship on the document | | China | 9 | | 12 | Please tell us about your current employment status. | | Employed | 0 | | 13 | Please tell us about your occupation or business activity. | | 小学教师 | 0 | | 14 | Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes? | | No | 0 | | 15 | Is your individual activity or business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)? | | No | 0 | | 16 | Please tell us about your annual turnover, in individual or business activity, which is handled in cash. | | 0-10% (none or little of my turnover is in cash) | 0 |

|-----------------------|----------------|--|--|--|--|--|--|--|----------------|--|--|--|--|--|---------------|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

|-----------------------|---------------------------------------------------|---------------------------------| | | | | | | | | | | | |

| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- SECURITY SETTINGS - API KEYS - KYC & DOCUMENTS - ADDRESSES - STANDARDS - TRANSACTION HISTORY - Mobile Balances - Deposit - Deposit Addresses - Withdrawal Limits - Withdrawal - 4 Addresses - Link Account - Active Orders - Completed Orders - Filled Orders - Trades - Sell Order - Market Maker - Activity - Referral Log - Supported Assets - Withdrawals - Referral Bonus - Risk Scoring

|-----------------------|----------------|----------------|---------------| | | | | | | | | | | | | | | | | | | | |

| Profile | |------------------------| | Balances | | Ledger | | Transaction Monitoring | | Security Configuration | | Documents | | Addresses | | Withdrawals | | Deposit Addresses | | Deposit Accounts | | Redemption Limits | | Withdrawal Addresses | | Bank Accounts | | Active Orders | | Completed Orders | | Trades | | Transfers | | Wall Clock Time | | Notifications | | Activity | | Error Log | | Exploit Attempts | | Referrals | | Referral Bonuses | | Whitelisted IPs | | Risk Scoring |

|-----------------------|----------------|--|--|--|--|--|--|----------------|--|--|--|---------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

# COMMENT

Screening QA is performed against the Customer. There are 100 hits against the searched Chinese name. All hits are discounted as NAME MISMATCH, DOB MISMATCH, OCCUPATIONAL BACKGROUND MISMATCH, ADVERSE MEDIA UNRELATED TO AML, CTF, or CORPORATES. Senior KYC Onboarding Analyst [REDACTED] emailed the Customer clarification regarding US funds via Zendesk #53673 on 18 May. The Customer cited travelling and investment as primary justification for transaction with US account. Senior KYC Onboarding Analyst [REDACTED] emailed the Customer notification regarding Chinese Residence via Zendesk #54006 on 18 May. Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: 1. Chinese citizenship per PRC Passport 2. Occupation of Information Technology 3. Selected services include Crypto Trading, Participate in Initial Exchange Offering, Crypto Payment 4. Funds received and/or transferred from Australia, Singapore, US

Screening is performed against the Customer. There are 100 hits against the searched English name. All hits are discounted as NAME MISMATCH, OCCUPATIONAL BACKGROUND MISMATCH, ADVERSE MEDIA UNRELATED TO AML, CTF, or CORPORATES.

Overall, Senior KYC Onboarding Analyst [REDACTED] is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk [56].

|-----------------------|----------------|----------------|---------------| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- Monitoring - Security - Ledger - Deposits - Deposit Addresses - Supported Documents - Withdrawals - Redemption - Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Time in Force - Kill Queue - Source - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonus - Whitelisted IPs - RIS

|--|-----------------------|----------------|--|--|--|--|--|----------------|--|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| DATE & TIME | FULL NAME | ROLE | COMMENT | |-----------------------|-----------|------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 6 23 2021 10:50:39 AM | | | There is 3 hit against the searched both for English and Chinese name. All discount as name mismatch | | | | | Based on the KYC responses, the Customer is Medium Risk considering the following risk factors: | | | | | 1.Chinese citizenship per PRC passport [31]<br>2.Selected services include Crypto Trading, Long Term investment, Participate in Initial Exchange Offering, Crypto payment [5]<br>4.Funds received and or transferred from Russia [15] | | 5 20 2021 4:23:18 PM | | | Screening is performed against the Customer. | | | | | There is 0 hit against the searched both for English and Chinese name. | | | | | Overall, KYC Onboarding Analyst is of the view that the Initial AML CTF assessment result is consistent with the Customer<br>oppose the decision to onboard the Customer with Medium Risk [51]. |

|-----------------------|----------------|----------------|--|---------------|--|--| | | | | | | | | | | | | | | | |

- Transaction Monitoring - Security Question - Submission Documents - Redemption Limits - Withdrawal Limits - Profile - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Canceled Orders - Trades - Tier - Mail Queue - Notifications - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring

| INTERNAL ID | PHIJ8Z0 | |----------------------|----------------------| | MANUAL RISKSCORE | 0 | | TOTAL RISK SCORE | 15 | | RISK LEVEL | Low | | COMPLYADVANTAGE HITS | 0 | | COMPLYADVANTAGE LINK | Complyadvantage Link | | VERIFICATION STATUS | Auto-Approved | | CATEGORY | JUMIO | | NUMBER OF ATTEMPT TO | 2 |

Reset

**KYC Questionnaire**

✓ Save & Inform User

| QUESTION SORT ORDER | QUESTION | ANSWER | RISK RATING | |---------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|-------------| | 10 | Place of birth | China | 0 | | 11 | Citizenship on the document | Australia | 0 | | 12 | Please tell us about your current employment status. | Owner of legal entity | 0 | | 13 | Please tell us about your occupation or business activity. | Technology and communications - Information technology | 0 | | 14 | Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes? | No | 0 | | 15 | Is your individual activity or business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)? | No | 0 | | 16 | Please tell us about your annual turnover, in individual or business activity, which is handled in cash. | 0-10% (none or little of my turnover is in cash) | 5 | | 17 | Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency. | 0-10% (none or little of my turnover is in cryptocurrency) | 5 | | 18 | Please tell us about your source(s) of income funds. Select more than one box if necessary. | Salary / Business income | 0 | | 19 | Please tell us about your source(s) of wealth? Select more than one box if necessary. | Employment income, Business profits | 0 | | 20 | Please select the service(s) you plan to use. Select more than one box if necessary. | Crypto Trading, Participate in Initial Exchange Offering, Crypto payment | 0 | | 21 | How much do you plan to deposit per year (USD and crypto combined)? | 10 000 100 000 | 0 | | 22 | Please tell us which countries the funds will be received and or transferred from. | Australia | 0 | | 23 | Let us know what your level of experience is with cryptocurrency trading? Please select one | Beginner | 5 | | 24 | How many years of experience do you have in crypto trading? | < 1 Year | 0 | | 25 | Are you, an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory role or a senior military position, at home or overseas. | No | 0 |

- Profile - Balances - Ledgers - Deposits - Deposit Addresses - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Login Attempts - Referrals - Referral Bonuses - Whitelist IPs - Risk Scoring

|-----------------------|----------------|--|--|--|--|--|--|----------------|--|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- Profile - Balances - Ledger - Deposits - Deposit Addresses - Withdrawals - Withdrawal Addresses - Redemption Limits - Bank Accounts - Active Orders - Completed Orders - Trades - Tiers - Mail Queue - Notifications - Activity - Error Log - Login Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring - Transaction Monitoring - Security Question - Supporting Documents

**KYC Questionnaire**

| INTERNAL ID | KYCDSYCL | |---------------------------|----------------------| | TOTAL RISK SCORE | 41 | | MANUAL RISK SCORE | Medium | | APPLICATION STATUS | Approved | | COMPLY ADVANTAGE HITS | 0 | | COMPLY ADVANTAGE LINK | ComplyAdvantage Link | | VERIFICATION STATUS | Approved | | NUMBER OF ATTEMPT TO JUMO | 7 |

Reset

Save & Return Later

| QUESTION SORT ORDER | QUESTION | ANSWER | RISK RATING | |---------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------|-------------| | 10 | Place of birth | China | 0 | | 11 | Citizenship on the document. | China | 0 | | 12 | Please tell us about your current employment status. | Self-employed | 5 | | 13 | Please tell us about your occupation or business activity. | Services - Tourism and travel agencies activities | 5 | | 14 | Please tell us about business you may conduct in other country(s) besides where you are registered for tax purposes? | No | 0 | | 15 | Is your individual activity or business registered or conducted in a preferential tax zone (for instance, free economic zone, offshore jurisdiction)? | No | 0 | | 16 | Please tell us about your annual turnover, in individual or business activity, which is handled in cash. | 0 - 10% (none or little of my turnover is in cash) | 0 | | 17 | Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency. | 0 - 10% (none or little of my turnover is in cryptocurrency) | 0 | | 18 | Please tell us about your source(s) of income funds. Select more than one box if necessary. | Salary / Business income | 0 | | 19 | Please tell us about your source(s) of wealth? Select more than one box if necessary. | Business profits | 0 | | 20 | Please select the service(s) you plan to use. Select more than one box if necessary. | Long term investment | 0 | | 21 | How much do you plan to deposit per year (USD and crypto combined)? | 10 000 - 100 000 | 5 | | 22 | Please tell us which countries the funds will be received and or transferred from. | Australia | 0 | | 23 | Let us know what your level of experience is with cryptocurrency trading? Please select one. | Beginner | 5 | | 24 | How many years of experience do you have in crypto trading? | < 1 Year | 0 | | 25 | Are you an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This could be a public office, a government role, a regulatory job or a senior military position, at home or overseas. | No | 0 |

Add Comment

Comment

| DATE & TIME | FULL NAME | TITLE | COMMENT | |----------------------|-----------|-------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | 9-9-2023 10:45:44 AM | | | <p>Based on the KYC responses, the Customer is Medium Risk considering the following risk factors:</p> <p>1. Chinese Citizenship as per inputed by the customer [11]</p> <p>2. Self-employed status [5]</p> <p>3. Business activity is Services - Tourism and travel agencies activities [5]</p> <p>Screening is performed against the Customer. There are 3 hits against the searched names. All hits can be discounted due to the Name Mismatch.</p> <p>Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk (Risk Score 41).</p> |

|-----------------------|----------------|----------------|---------------| |-----------------------|----------------|----------------|---------------|

| Profile | Balances | 2M7P4EX | Security Questions | Deposit Addresses | Supporting Documents | Withdrawals | Manual Adjustments | Redemption Score | Limits | Addresses | Referrals | Bonuses | Whitelisted IPs | Risk Scoring | |---------|----------|---------|--------------------|-------------------|----------------------|-------------|--------------------|------------------|--------|-----------|-----------|---------|-----------------|--------------| |---------|----------|---------|--------------------|-------------------|----------------------|-------------|--------------------|------------------|--------|-----------|-----------|---------|-----------------|--------------|

**RISK SCORING**

| TOTAL RISK SCORE | 51 | |--------------------|------------------| | REDEMPTION | Medium | | COMPLIANCE TAG | N/A | | VERIFICATION | Verified | | APPLICATION STATUS | Approved | | COMPLIANCE LEVEL | 100 | | RISK RATING | Medium-high risk |

**KYC QUESTIONNAIRE**

| QUESTION | ANSWER | RISK RATING | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------|-------------| | 1. Citizenship on the document. | China | 0 | | 2. Place of Birth | China | 0 | | 3. Please tell us about your current employment status. | Employed | 0 | | 4. Please tell us about your occupation or business activity. | Editor | 0 | | 5. Please tell us about your annual turnover, in individual or business activity, which is handled in cash. | No | 0 | | 6. Please tell us about your annual turnover, in individual or business activity, which is handled in cryptocurrency. | No | 0 | | 7. Please tell us about your annual turnover, in individual or business activity, which is handled in fiat. | 0-10% (None or little of my turnover is in cash) | 5 | | 8. Please select your primary source(s) of income/funds. Select more than one box if necessary. | Salary, Business Income, Investments, Savings | 5 | | 9. Please select the purpose(s) you plan to use. Select more than one box if necessary. | Crypto Trading, Long term investment, Arbitrage Trading, Participate in Initial Exchange Offering, Crypto payment | 15 | | 10. Please tell us which countries the funds will be received and or transferred from. | China | 0 | | 11. How much do you plan to deposit per year (USD and crypto equivalent)? | 10 000-100 000 | 0 | | 12. Please select one | Property sale, Employment income, Business profits | 0 | | 13. How many years of experience do you have in crypto trading? Please select one | Beginner | 0 | | 14. Please tell us about your business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)? | No | 0 | | 15. Please tell us about your business registered or conducted in preferential tax zone (for instance, free economic zone, offshore jurisdiction)? | No | 0 | | 16. Are you an immediate family member or a close associate, entrusted, or have been entrusted, with prominent public functions in any country or international institution? This means a political office, a government role, a regulatory role or a senior military position, at home or overseas. | No | 0 |

**COMMENT**

Based on the KYC responses, the Customer is Medium Risk considering the following risk factors:

| Citizenship: China | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | [31] Screening: Screening is performed against 2 bits are discounted because there were no related result by using name and DOB search in the database provided in the link. | | [5] Funds will be received and or transferred from China. | | [9] Purpose: Crypto Trading, Long term investment, Arbitrage Trading, Participate in Initial Exchange Offering, Crypto payment | | [13] Experience: Beginner |

Notification email has been sent to the Customer due to his country of residency in China.

Overall, KYC Onboarding Analyst is of the view that the initial AML/CTF assessment result is consistent with the Customer's profile and does not oppose the decision to onboard the Customer with Medium Risk 51.

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- Profile - Balances - Transaction Monitoring - Levels - Security Question - Deposits - Support - Deposit Addresses - Trading Documents - Withdrawals - Redemption Limits - Withdrawal Addresses - Bank Accounts - Active Orders - Completed Orders - Trades - Mail Queue - Notices - Activity - Error Log - Exploit Attempts - Referrals - Referral Bonuses - Whitelisted IPs - Risk Scoring

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| Profile Balances Ledger Deposits Deposit Addresses Withdrawals Redemption Limits Withdrawal Addresses Bank Accounts Active Orders Completed Orders Trades Tiers Mail Queue Notifications Activity Error Log Exploit Attempts Referrals Referral Bonuses Whitelisted IPs <span style="background-color: #e6ffe6;">Risk Scoring</span> | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | Transaction Monitoring Security Question Supporting Documents |

| KYC Questionnaire<br>Risk Score Update History<br>18<br>811 2023 4:37:45 PM<br>311 12023 4:38:28 PM<br>3 1 2023 4:40:08 PM<br>El<br>21<br>NUMBER OF ATTEMPT TO<br>QUESTION SONT ORDER<br>APPLICATION STATUS<br>COMPLYADVANTAGE<br>COMPLYADVANTAGE<br>MANUALRISKSCORE<br>TOTAL RISK SCORE<br>VERFICATION<br>INTERNAL ID<br>CATEGORY<br>RISK LEVEL<br>Olwint<br>LINK<br>HITS<br>Plasse tell us about your source(s) of weath? Select more than one pox if necessary.<br>Please tell us about your source(s) of income funds. Select more than one box if nece ssary.<br>Flease tell us about your occupation or business activity.<br>Please tell us about your current employment status.<br>Auto-Approved<br>0<br>MOT<br>MZDB631<br>STATE REPRENTIAL CARRETT CHARR<br>13533<br>DATE & TIME<br><br>A<br>Stree & informa 2441<br>Auto (System)<br>Alito (System)<br>Auto (System)<br>FULL NAME<br>OLESTION<br>Auto (System)<br>Auto (SWS481)<br>AU10 (System)<br>Employment income<br>Self-employed<br>Salary business Income<br>24/02/<br>ROLE<br>ASSASSAN<br>RECORD ACDAR<br>רמא<br>For<br>רמא<br>1.62 / 1<br>ASK LEVEL<br>ASK RATING | | 109000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000000 | Presse select the service(s) you plan to use: Select more than one box if necessary. | 20 | |---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|----| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| Profile | Balances | Ledger | Deposits | Deposit Addresses | Withdrawals | Redemption Limits | Withdrawal Addresses | Bank Accounts | Active Orders | Completed Orders | Trades | Tiers | Mail Queue | Notifications | Activity | Error Log | Exploit Attempts | Referrals | Referral Bonuses | Whitelisted IPs | Risk Scoring | |------------------------|----------|--------|-------------------|-------------------|-------------|----------------------|----------------------|---------------|---------------|------------------|--------|-------|------------|---------------|----------|-----------|------------------|-----------|------------------|-----------------|--------------| | Transaction Monitoring | | | Security Question | | | Supporting Documents | | | | | | | | | | | | | | | |

|-----------------------|----------------|--|--|--|--|--|--|----------------|--|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

- Profile- Balances- Transferable Balances- API Keys- Deposits- Deposit Addresses- Withdrawals- Withdrawal Addresses- Reclamation Limits- Funding- Fiat Addresses- Bank Accounts- Active Orders- Counts- Completed Orders- Trades- Ticks- MWI Queue- K- Notifications- Activity- Logs- Login Attempts- Explicit Attempts- Referrals- Referral Balance- Whitelisted IPs

|--|-----------------------|----------------|--|--|--|--|--|--|--|----------------|--|---------------|--|--|--| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |