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Anti Money Laundering ("AML") and Customer Identification Program ("CIP")

In accordance with the regulations set forth by the US Patriot Act, the Bank Secrecy Act and the rules of the Office of Foreign Assets Control (OFAC), the Financial Crimes Enforcement Network (FinCEN), the SEC and FINRA, League Capital Markets has in place a program to identify and report suspicious activities that could be related to money laundering or other illegal activities and to monitor and verify the identities of our clients. The USA-PATRIOT Act requires that all US Broker/Dealers verify the identities of counterparties in securities transactions and take steps to prevent money laundering and terrorist financing.

What this means for you: When you establish a business relationship with League Capital Markets, we may ask for your name, address, date of birth, social security number or taxpayer ID, driver’s license and other information that will allow us to positively identify you. If the client is an entity such as an LLC or partnership, we may ask to see documents verifying the existence of the entity, such as certified articles of incorporation, a government-issued business license, a partnership agreement, or a trust instrument as applicable.

League Capital Markets reserves the right to refuse to establish any business relationship any time information requested pursuant to an AML inquiry is refused.

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