Financial Institution Name: Uttara Bank Limited

ahid Bir Uitam Asfakus Samad Sarak, Motijheel Commercial Are4

Dhaka-1000, Bangladesh

This questionnaireacrs as an aid to firms conducting due diligence and should not be relied on exclusively

or excessivety. Firmsiiy ut" this questionnaire ai-ongside {heir own poticies.an.d or.ogedures in order to

provide a basis ro, ooi'a-iltiii;i;;;e;; ctitigence in a=mannerconsisient with the risk profile presented

by the ctient. The ,"tp*iiniity for ensurin{ adequate due d.iligence; whieh may include independent

verificatian or folow ,Ii ii iniirriurc and"documents provided, remain:s the responsibility of the firm

usi ng th is q uestion na ire'

ation can be suPPlied at the

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1, IsJh#ML comphance program approved by the FI's board or a

senior committee?

Yo! No

Doe;ThA FI have a legal and regulatory compliance program

that includes a designated officer that is responsible forcoordinatinq and ovqrseeing the AML

2. Yo{ No

reportffiwritten policies documenting theprocesses that they have in place to prevent, detect and

suspicio,us transactions?'

3. Yo{ No

tn aOAition to inspections by the government

iuper.visors/reguiators, does the FI client have an interna-l audltfunction or other independent third party that assesses AML

oolicies and Dractices on a regu!L

4, Yo{ No

iles lh e FI have;pol icy pro hribiti n g a ccou,nts/re.lati o nsh i ps

with shell banks? (A shetl bank is defined as a bankincorporated in a iufisdiction in which it has no physicalpresence and which is unaffitiated with a regulated financialfir{ttn \'

5, Y o.J No

ffis to reasonably ensqre that they willnot conduct transactions with or on behalf of sheil banksthrouqh dnY of its accoqnts or products?

6,Yo{ No

ffiover:ing relationships with Politically

Exposed Persons (PEP'S), their FamilY and close associates?7. Y o''l No

B. ffition procedures thatcomply withanplicable law?

Yotr No

L AE tf e FI's AML policies and practices belng applied to allbranches and subsidiaries of the FI both in the home countryan,d in locations outside of that jurisdiction?

Yo1 NO

Ihe wolfsberg Group consists of the foltowing_le.aling international financial instiJ.utions:, Banco santander, Bank of ceylon, colombo

LK, Citigroup, Credit Suisse, b"ue.-nJeink,"Gotama-n sicfrs, HSBC, JP Morga.l Chase, Socidte G6nerale and UBS which aim to

devetop financiat services iriaiririliJ*riiJ!, urJi.r"t.u products,'for Kno[ Your customer, Anti-Monev Launderins and counter

Terrorist Financing Poligics.,ffo'I

r-o5oes the FI have a r'rsLi of its customer base

d their tranl ofenhanced due

dirigencen".""ury'roiif :i:::::"JlT"?::,:':"#rsand;#;;;;r;tnut t'n" FI has rpason to believe'pose a

h e i o h t e n e d r i s x or i r r i ci i e-cii{ [ ! S s,,9 !SI.FI,[,o#&t*-+eJ]1

entification of those

customers on *no]"tutlltf it maintains or operates accounts or

conducts transactions? rmation regarding"' ,": ^,,-rnmorc'hr lsiness activities?

icies or Practices?

i ere aPProPriate'

"'' Ipiu," "*to*t' iniotmation relating to high risk client

information?iCt record for each new

custom er n oti n g ;;;'";il;;tivaia.e nfi ri catio n d ocu me nts a n d

'finow You t Cuttomet' infof TatW17. Does the FI comPlete a ffidersrand

J iransactionS of its c--ustP,the normal qng[s;

ication and

reporting of transaitions that are required to be reported to the

' does the FI

G,WGrfiash transaction reporting Is man

have proceduru, to" ialnfirv i'iniattions structured to avoid

inst lists of,0. DoftheFI screen customers and transi

persons, entities "t;;;i;i;t-issued bv government/competent

authorities? ensure that it onlY

ooerates witn corre-sponaent oant<s that possess licenses to

ooerate in their countries ot orJgtn r' - - ------ --'--'-'-nsDarencY PrinciPles

and the appropriat-eG;"-;iiq*'* t'1r zozlzozcoV and

i,ii"iosri66ffi."" t';+;i""'' :

I5lffitrf#-lf iIiE ;1i; iitlr ; i,{ q:: :-l6j : t : :::: :lluoes Lrrc rr rrqYq - ' i.tiulivitlatiovers funds transfers and

ootentiallY susPiciousX',,""""i"t ,.ri,:u*untt *lh as travelers checks' money orders'

%ob5ervedare:i)F1sshouldnotomlt,delete,olalterinformationinpaymentmessagesorordersforthepurposeofl The four payment message Stan nt process; ii) FIs shoutd not use any particular payment message for the purpose of avoiding

avoiding detecflon of that lnformation by any other FI in the paym,s cable with other FIs in the

derection or inrorm,,,on o, un, o*"", ;i; ;;;;'""1'-".::';l:'.::fl::i":f^":.",'ffi:::::il[.T"H:T"",",:'J:::ff:spondent banks ro observrdetection of information by an)/ otf

paymentprocesswn"n,"o,"..,nn..o,rovioelnrormauonaboutthepa16esi"::'::i,"*.1::.:,:i::..stronglyencouragethelrcorrespondentbankstoobserve

theseprinciples so"tt'hrt''luwgilq-1$-osrs'Bd!-tDles'cdIly'ndll5la-adErds/wolfs-tlero NYCH stat€ment on l1e55ogc-5t@derds-l-20!zl'pd,

Vji.i:ie-rlr..tillfrF, i:,i:iii:'1;lT:,-t ':lj lt*lr.,:l# * ii*t: ilf:,,:i ";;

24. Does the FI provide AML training to relevant employees thatincludes:

. Identification and reporting of transaclions that must bereported to govern ment authorities.

. Examples of different forms of money laundering involving theFI's products and services,

. Internal oolicies to prevenL money laundering,

rrilF,H;':trYo{

ilij ,'.

No

25. Does the FI retain records of its training sessions includingattendance records and relevant training materials used?

Yo{ No

26. Does the FI communicate new AML related laws or changes toexisting AML related policies or practices to relevantemolovees?

Yo{ No

27. Does the FI employ third pafties to carry out some of thefunctions of the FI?

Yo No{

28. If the answer to question 27 is yes, does the FI provide AMLtraining to relevant third parties that includes:Identification and reporting of transactions that must bereported to govern ment authorities.Examples of different forms of'money laundering involving theFI's products and services.Internal policies to prevent money laundering'

Yo NoN/R

. ,/ 't;i:'':).\..

?@r/ $-i;ii,rl':r'Wr,t

Space for additional informatlon:(Please indicate which question the information is referring to.)

Name: Mr.Md,Abdul QuddusTEIE:Eeputv ManaEins rDirector & cAMLCoSignature, .ffiDate: 13"61.so,7:-

J:: :: iti'.

The Wolfsberg Group consists of the Following leading internat1g3.ln13119l3! institutions; Banco Santander, Bank of Ceylon, Colombo

h$Stf',t#.,":S:tn:*:"*:t$.j#l*""j*:[;:.i:;;f*-1,[TflT":?:iffi:f$:if;rfi:1]:,.tjJ"::,]X!:[;,ffi;"Terrorist Financi ng policies.

Uttara Bank LimitedShare DepartmentHead Office, Dhaka.

Shareholdinq Structure as on 91.03.2017..

Total no of share holders is 50920.

No one of the above holds shares upto 10o/o or more

of the entity.

For UTTA-RA BANKn

^MShareD :partment Head Office,

LTD.wD-ha-lia-

Percentaqe

Directors 12.586

Public (Govt.) 0.002

lnstitutue 25.896

Foreiqner 1.541

Others/General Public 59.975

Total = 100.000

UTTARA BANK LIMITEDHEAD OFFICE

DHAKA

List of the Members of the Board of Directors of Uttara Bank Limited

Sl. No. DIRECTOR'S NAME DESIGNATION

1 Mr. Azharul Islam Chairman

2 Mr.Iftekharul Islam Vice Chairman

) Mr. Syed A. N. M. Wahed Director

4 Engr. Tofazzal Hossain Director

5 Mr. Arif Rahrnan Director

6 Mr. Abul Barq Alvi Director

7 Dr. Md. NazmulKarim Chowdhury Independent Director

8 Mr. M. Tajul Islam Director

9 Mr. Md. KamalAkhtar Independent Director

l0 Dr. Md. Rezaul Karim Mazumder lndependent Director

11 Col. Engr. M. S. Kamal (Retd.) Director

t2 Mr. Asif Rahman Director

l3 Mr. Faruque Alamgir Director

t4 Mr. Shaikh Abdul Aziz Director

l5 Mr. Mohammed Rabiul Hossain Managing Director

&,w'r