REPORTING FORM, LAW 20.393 – CRIMINAL LIABILITY OF LEGAL ENTITIES

This form should be used to report any of the following crimes:

Money Laundering

Any action intended to omit, conceal or disguise the unlawful origin of specific securities and/or assets, knowing full well they result from the commission of crimes related to drug trafficking, arms trafficking, or child prostitution, among others.

Terrorism Financing

Any person who, by any means, seeks, raises or provides funds in order for them to be used for committing any terrorist crimes, including but not limited to, seizing or attacking a means of public transport, assaulting the Head of State or other authorities, or entering into an illegal partnership in order to commit terrorist crimes.

Politically Exposed Persons (PEPs)

Given their high public exposure and the risk that their economic decisions may imply corruption or influence-peddling actions, it is mandatory to apply special treatment to them, involving greater demands for information and the obligation of reporting any transactions that could lead to unlawful maneuvers.

Bribery of National and Foreign Officials

Any person who offers, promises, or gives a foreign official economic or other type of gain, for the benefit of this official or a third party, so that they perform an action or engage an omission aimed at obtaining or maintaining, for themselves or for others, any undue business or advantage in the field of any international transactions.

CODE OF CONDUCT  VIOLATION – REPORTING FORM

This form should be used to file direct or anonymous reports about any suspected or actual violation(s) of Rules of Conduct, Ethics, Conflicts of Interest or any subject relating to a potential regulatory violation, or any situations or facts that could require the attention of the Management and/or the Board of Directors.