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United States Senate

PERMANENT SUBCOMMITTEE ON INVESTIGATIONSCommittee on Homeland Security and Governmental Affairs

Carl Levin, Chairman John McCain, Ranking M

E X H I B I T Part 2 of 2 (Exhibits 31a-43)

Hearing On

Offshore Tax Evasion:

The Effort to Collect Unpaid Tax

on Billions in Hidden Offshore Acc

February 26, 2014

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United States Senate

PERMANENT SUBCOMMITTEE ON INVESTIGATIONSCommittee on Homeland Security and Governmental Affairs

Carl Levin, Chairman John McCain, Ranking Min

E X H I B I T L I S THearing On

Offshore Tax Evasion:

The Effort to Collect Unpaid Taxeson Billions in Hidden Offshore Accounts

February 26, 2014

1. a. Credit Suisse U.S. Customers with Swiss Accounts: Only 1% Given by Swi

States, chart prepared by the Permanent Subcommittee on Investigations.

b. Effect of Credit Suisse Reallocation of Client 5 Assets in 3Q2012, chart prePermanent Subcommittee on Investigations.

U.S. Audit Disclosure:

2. Credit Suisse email, dated March 2010, re:Account Instructions (It will certai

pleasure to welcome you as a client, should you opt to knock on our door agai

times.). [CS-SEN-00025083-084]

3. Credit Suisse email, dated October 2008, re:Numbered Accounts (He needs no

anything to anyone. He has the choice of disclosing it to the US authorities or

choice! Whatever he does is of no concern to us.). [CS-SEN-00345395-396]

Documents Related to Travel:

4. a. Credit SuisseBusiness Trips 2006 (Swiss Ball). [CS-SEN-00080267-269]b. Credit SuisseBusiness Trips SALN and SALN1 2007 (Key Client Visits).

[CS-SEN-00080270]

c. Credit SuisseBusiness Trips SALN and SALN1 2008 (Key Client Visits).

[CS-SEN-00080271-273]

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c. Credit Suisse Travel Report Summary, May 2006, Destination: Miami, NeHouston (Clients covered - 40 - CHF 160'000'000). [CS-SEN-00081872-8

d. Credit Suisse Travel Report Summary, July 2006, Destination: Miami, New

Toronto, Montreal(Clients covered - 34 - CHF 54000'000 ... Client sends

shares that we need to give our recommendations!). [CS-SEN-00081874-

e. Credit Suisse Travel Report Summary, February 2006, Destination: Housto

Angeles, Reno (Clients covered - 28 - CHF 65,000,000 ... Knows some ver

people for future referrals.). [CS-SEN-00081879-880]

f. Credit Suisse Travel Report Summary, February 2007, Destination: New Y(Invitation to the Swiss Ball in New York, regular RO [Rep Office]New Yo

new Referrals).[CS-SEN-00081883]

g. Credit Suisse Travel Report Summary, March 2008, Destination: San Fran

Angeles, New York, Toronto, Montreal (Clients covered - 49 - CHF 230,0

[Credit Suisse redacted]for dinner in Beverly Hills ...). [CS-SEN-0008190

Document Related to Credit Suisse New York Representative Office:

6. Credit SuisseImportant phone numbers (Doerig Josef, Doerig Partner, extern

expert; Singenberger Beda, Sinco AG, external Trust expert)[CS-SEN-00011

7. Credit Suisse Weekly Report - Rep. Office New York (Client Activities - Assisti

Nicole (wire instructions to send additional funds) ... Contact with prospective

Chicago (US$ 3 - 5 Mio). [CS-SEN-00096325-328]

8. Credit Suisse email, dated July 2008, (We do not have any educational or prom

material we could provide to a US person regarding accounts in Switzerland.

allowed to actively solicit or promote offshore accounts from or out of the Un

However, if your client wants to call me to learn more about what services can

out of Switzerland - he can do that anytime. Please let me know if I can assist

regard.)[CS-SEN-00095655-656]

9. Credit Suisse PB Americas Representative Office New York CSG Internal A

Executive Summary, dated February 7, 2008, (Audit Results ... The overall con

environment was found to be operating effectively.)

[CS-SEN-00226719-724]

D t R l t d t SALN

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11. a. Credit Suisse PB Americas North America Offshore, Latin America andCSG Internal Audit, August 2006 draft (Employees of SWLN making visits

meetings in the United States should not provide investment advice or soli

given existing regulations ... the level of travel activities (in 2005 approxim

clients were met in the United States and Canada) may entail regulatory ri

[CS-SEN-00408714-730]

b. Credit Suisse PB Americas North America Offshore, Latin America and

CSG Internal Audit, dated August 31, 2006 (final) (The overall control env

was generally founded to be operating adequately.) [CS-SEN-00418830-8

12. Credit Suisse PB Americas North America International CSG Internal A

December 9, 2009 (Significant Reputational Risk Issues: None ... The over

environment was generally found to be operating adequately and we noted

deficiencies with regard to Policy P-00025.

Documents Related to Project W9:

13. Credit Suisse,Project W9 Kick-Off Meeting, dated September 29, 2006

(Chart at CS-SEN-00426144 - Swiss Booked W9 Clients: Affected Units, 998 C

[CS-SEN-00426138-158]

14. Credit Suisse,Project W9 6 Core Team Meeting, dated January 26, 2007.th

[CS-SEN-00173686-704]

Documents Related to Credit Suisse Accounts Numbers/Exit Projects:

15. Credit Suisse email, dated March 2007, re:Risk Country: Yearly Review 2006

Market purity is still insufficient with regard to the business risk involved.).

[CS-SEN-00409535-555]

16. Credit Suisse US Project - STC #1, dated August 19, 2008

(Chart at CS-SEN-00426306 - US Intl. business activities spread-out across w

organization). [CS-SEN-00426290-307]

17. Credit Suisse, Project Tom - STC #5, dated December 19, 2008

(Chart at 00455231 - Quick Win Non W-9 (transfer SIOA 5 to SALN).

[CS SEN 00455224 234]

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19. Letter from Credit Suisse legal counsel to the Permanent Subcommittee on Invdated August 13, 2013 re: Credit Suisses exit projects. [PSI-CreditSuisse-37-

20. Letter from Credit Suisse legal counsel to the Permanent Subcommittee on Inv

dated December 20, 2013 re: questions regarding Credit Suisses internal inve

covering its U.S. cross-border business (In early 2012, the Bank formed a spec

to follow up on potential breaches of its internal policies ... [and] imposed dis

action against a total of 10 Swiss based employees (6 in 2012 and 4 in 2013) .

employees were terminated).[PSI-CreditSuisse-54-000001-048]

Document Related to Net New Assets (NNA):

21. Credit Suisse email, dated February 2012, re:Important - NNA, PBMC (...we w

discuss our NNA results which have been very disappointing up until now. As

capability to attract clients and new assets is of utmost importance - also exter

need to take all possible measures in order to change this into a positive story next weeks.). [CS-SEN-00463984-984]

22. Credit Suisse email, dated March 2012, re:Major flows last week (...none of th

are currently categorized as AUM and I would caution against it before speak

as I am very knowledgeable about the plans for the assets.). [CS-SEN-004413

23. Credit Suisse email, dated March 2012, re:Project [Redacted] (There is no ag

this timeThere have been suggestions that we count as much as 5B CHFthnumber I want to risk having to reverse, so let's be sure we are VERY confiden

count.). [CS-SEN-00443178-181]

24. Credit Suisse email, dated April 2012, re:PB NNA (Can you also check the di

re NNA in Switzerland vs US PB? As we know, investors are keeping a close

and of course it is key that finance be comfortable with how we present this ex

[CS-SEN-00424575-577]

25. Credit Suisse email, dated October 2012, re:NNA Q3 2012 (...please find belo

Q3 2012, as reported internally for PB Americas (CHF2.4bn) vs. the external

figure (CHF 0.2bn)). [CS-SEN-00443246]

26 C di S i il d d D b 2012 NNA 4Q12 F (B d

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27. Credit Suisse email, dated December 2012, re: Confidential: Global Client Segmetrics, (Zurich is looking for more potential NNA positions to support the glo

year-end disclosure. As a consequence they are looking to transfer more of [C

balance into AUM.). [CS-SEN-00425106-107]

28. Credit Suisse email, dated January 2013, re:Americas [Redacted] (Currently -

reporting - WMC [Wealth Management Clients] runs for NNA substantially be

expectations. [I]n order to support the PB division, a further [Redacted/Cli

portion of 0.9bn CHF - fully reported internally and externally in the Americawould be a great favour for our division. Hans-Ueli [Hans-Ulrich Meister] wo

extremely happy if you could support this.). [CS-SEN-00425140-142]

29. Credit Suisse email, dated January 2013, re: WG:NNA (I am convinced that wi

enhanced story we will get approval soon from Carlos. ... Given the rather we

granularity, we need to create a more powerful story in the sense of making m

the existing weak figures in the sense of [redacted] consists of xx accounts, all branch, covered by 2 senior RMs xx and yy which do high interaction level.....

Might not be relevant but sounds rather good.). [CS-SEN-00442608-613]

30. Credit Suisse email, dated June 2013, re:Feedback from new RMs (We need s

blood and some nna.). [CS-SEN-00424732]

Documents Related to the Department of Justice and the Swiss:

31. a. Tax Convention with Swiss Confederation Message from the President of t

States Transmitting Convention Between the United States of America and

Confederation for the Avoidance of Double Taxation with Respect to Taxes

Signed at Washington, October 2, 1996, together with Protocol to the Con

b. Protocol Amending Tax Convention with Swiss Confederation, January 20

c. Translation of Swiss Parliamentary Resolution, dated March 16, 2012,Fed

Resolution Concerning a Supplement to the Double Taxation Treaty betwe

Switzerland and the Untied States of America.

32. a./b. Communications from the Department of Justice to Swiss representativ

and undated, outlining steps to be taken by the Department of Justice a

Confederation regarding Agreement between the Internal Revenue Serv

S i C f d i

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34. Translation of newspaper article, Tax Dispute with the US is Escalating,SonnSeptember 4, 2011.

35. a. Press Release of the Swiss Federal Supreme Court, dated July 5, 3013,Exc

information in Tax Matters with the United States The Federal Supreme

a first appeal.

b. Press Release of the Swiss Federal Administrative Court, dated January 8,

Baer: IRS request for administrative assistance not sufficient for the disclo

data.

36. a. Translation of the Swiss Federal ParliamentLex USA, Measures to facilita

resolution of the tax dispute between the Swiss banks and the United States

29, 2013.

b. Summarized Translation of the Swiss Federal Parliament Dispatch explain

dated May 29, 2013.

37. a. Joint Statement between the U.S. Department of Justice and the Swiss Fed

Department of Finance, dated August 29, 2013.

b. U.S. Department of JusticeProgram for Non-Prosecution Agreements or N

Letters for Swiss Banks, dated August 29, 2013.

38. Deferred Prosecution Agreement, U.S. v. UBS AG, undated.

39. a. Settlement of the John Doe Summons, agreement between the U.S. and theConfederation, August 19, 2009.

b. Settlement of the John Doe Summons, agreement between the U.S., the U.

Revenue Service and UBS AG, dated August 19, 2009.

40. U.S. v. Walder et al., Case No. 1:11-CR-95 (E.D. Virginia) Superceding Indic

(7/21/2011).

Additional Documents:

41. Credit Suisse email, dated January 2013, (There was some legacy Clariden iss

brewing that we need to brief you on.). [CS-SEN-00426110-111]

42 S i k U S d l b d b i R A

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