Customer Identification Program (CIP) Notice

The Firm collects all required Customer Identification Program (CIP) and Know Your Customer (KYC) information and checks all investors against governmental and organizational sanction lists (i.e. the UN, the EU, OFAC), law enforcement (i.e.,US Attorney, State attorney Generals, Interpol, Scotland Yard), domestic and international regulators (i.e.,SEC, CFTC, FINRA, FSA, HK Monetary Authority), negative news in the media, reports of negative activities from our members, and checks against databases from Chiefs of State (COS) as defined by the U.S. CIA, Diplomats (as defined by the US Department of State), and Notices of Seizures by US Law Enforcement (DEA, FBI, US Postal Service, and US Secret Service). These reviews are comparable to reviews performed on investors that transact in private securities offerings in both primary and secondary sales. The Firm will also check its database of investors and issuers bi-weekly against FinCEN 314(a) lists.

Customer Identity Verification

OPM has a CIP as required by AML rules and regulations. OPM is required to obtain certain basic information on any new customer (which includes a corporation, LLC, partnership, SPV, etc.) who establishes a formal business relationship with OPM. Financial institutions, including broker-dealers, industry-wide, are required to implement the following steps as part of their AML program:

● Obtain and verify the identification of any new customer, and control persons in the case of legal entities

● Determine whether the person appears on any lists of known or suspected terrorists or terrorist organizations provided to us by any government agency, and

● Provide notice to the customers that information is being requested about their identity and that the information will be used for verification purposes and that we may request further information over the course of the relationship.

To the extent possible, the verification process has been incorporated into the third party vendor systems used by OPM to initiate business relationships, and specific procedures have been developed in Section 17 of OPM’s WSPs.

Reliance on Other Financial Institutions for CIP

OPM may, under the following circumstances, rely on the performance by another financial institution (including an affiliate) of some or all of the elements of its CIP with respect to any customer that is opening an account or has established an account or similar business relationship with the other financial institution to provide or engage in services, dealings or other financial transactions:

● when such reliance is reasonable under the circumstances;

● when the other financial institution is subject to a rule implementing the anti-money laundering compliance program requirements of 31 U.S.C. § 5318(h), and is regulated by a federal functional regulator; and

● when the other financial institution has entered into a contract with our firm requiring it to certify annually to us that it has implemented its anti-money laundering program and that it will perform (or its agent will perform) specified requirements of the customer identification program.

If the Firm relies on the CIP information from another financial institution, the AMLCO will confirm this in a document maintained on file. The AMLCO or his/her designee will ensure that the procedures listed above are being followed. Documentation of this reliance will be maintained on file.