Memorandum

Date:

To:

From:

Subject:

What is the Strategy for this Transaction?

What is the Portfolio Company's Name?

Portfolio Company Details

ABC Policy

Sanctions Policy

AML Policy

Training Program

Internal Audit Function

Risk Management Function

Further Information Regarding ABC Policy

Further Information Regarding Sanctions Policy

Further Information Regarding AML Policy

What is the Name of the Fund Investor?

Initial acquisition risk

Revised acquisition risk

Current Status

Signing Date?

Does the company have legal/compliance allocated to ABC/Sanctions Policy?

Yes

Portfolio Company Compliance Contact?

Public Media Review

Compliance Program

Overview of Findings

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