Know Your Customer (KYC): Beneficial Ownership Survey Question Title * 1. Are you aware of the proposed FinCEN rule on Beneficial Ownership? Yes, and we have a clear understanding of what is required to comply Yes, but we don’t yet have a clear understanding of what is required to comply No Question Title * 2. Have you identified how these updates will impact client on-boarding and implementation processes? Yes In process No Question Title * 3. Have you identified and engaged stakeholders (legal, compliance, operations, sales, technology, product management, etc.) who will likely need to be involved in implementing these changes? Yes In process No Question Title * 4. Have you secured the technology and other resources needed to implement the required changes to ensure compliance? Yes No - my request is still pending No - I have not made any requests yet I don't know Question Title * 5. FinCEN expects to issue a final ruling this year. If you are required to be fully compliant by 3Q 2016, how disruptive would this be to your business? No Impact - we are well positioned to implement by 3Q 2016 Modest impact - we will have to deploy readily available resources Significant impact - we will have to secure resources from planned discretionary initiatives Unsure - we have not sized the magnitude of the required effort Question Title * 6. What is your role within your organization? (check all that apply) Bank CEO / EVP / Executive Officer Sales / Sales Management Product Management New Accounts On-Boarding Customer Service and Support Compliance Risk Legal Operations Technology Vendor / Supplier in the Industry Law Enforcement Regulator None of these roles fit my responsibilities Question Title * 7. Please provide the following for a free participant report (optional) Name Organization Title Phone Number Email Question Title * 8. Would you like a senior member of Treasury Strategies to contact you about preparing for the Beneficial Ownership requirement? Yes No Done