ECM | STRATA™ Intake

Combined KYC Intake Form – Individual & Corporate

Confidential Submission Document
Prepared by Efficient Consulting & Management Inc. (ECM)
Barbados | New York | Europe | East Asia

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Client Onboarding Executive Summary

Efficient Consulting & Management Inc. (ECM) has designed this Combined Intake Form to serve as the gateway to a structured, transparent, and high-standard consulting engagement. It is intended to capture client information, define the scope of services, and ensure alignment between ECM’s tiered service model and the client’s specific needs.

The document reflects ECM’s STRATA-Certified standard, institutional-grade approach to client onboarding, pricing clarity, and engagement structuring. By combining intake, service tiers, and engagement terms into one streamlined framework, clients benefit from efficiency, accountability, and transparency from the very outset.

ECM serves clients across multiple jurisdictions and adheres to international standards, including the U.S. Patriot Act, FATCA, FinCEN, Barbados FIU requirements, OECD and AML/CFT standards, and European KYC/EDD directives. This onboarding process is designed to protect both you and ECM by ensuring full legal and compliance coverage while fostering a secure and strategic relationship.

For questions, please contact:
📧 ssb@ecmbb.com  |  🌐 www.ecmbb.com

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From Prospect to Client: ECM Journey Snapshot

Stage 1: Initial Contact & Discovery (Universal Across All Tiers)

• Initial enquiry and high-level screening for mandate fit and eligibility.
• Brief discovery conversation to understand objectives, transaction profile, and time horizons.
• Preliminary conflict, jurisdiction, and compliance checks.

Outcome: Prospect is pre-qualified for further consideration or politely declined.

Stage 2: Intake, Onboarding & Engagement (Universal Across All Tiers)

• Completion of ECM’s Eligibility & Compliance Pre-Assessment and this Combined Intake Form.
• Formal KYC / KYB, source-of-funds review, and supporting documentation collection.
• Definition of scope, tier selection, fee structure, and preparation of the Engagement Letter or Contract.
• Execution of engagement documentation and payment of applicable onboarding or mobilization fees.

Outcome: Prospect is accepted as a Client under a clearly defined mandate and governance framework.

Stage 3: Mandate Execution

• Deployment of ECM’s advisory, structuring, feasibility, and/or transaction management services in line with the mandate.
• Ongoing collaboration with the Client’s internal and external counterparties, including legal, tax, banking, and institutional partners.
• Periodic reporting, documentation, and refinement of strategy, with continued adherence to ECM’s STRATA-certified standards.

Outcome: The Client’s mandate is executed with a focus on precision, compliance, and long-term strategic value.

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Disclaimer — Intake & Onboarding

This document, including the Client Journey Snapshot and Combined Intake Form, is provided exclusively for intake, eligibility assessment, and onboarding purposes. Its role is to assist ECM in determining whether a prospective client, mandate, and jurisdictional profile are suitable for engagement under ECM’s internal standards and regulatory obligations.

Completion or submission of this form does not, by itself, create an advisory, management, agency, or fiduciary relationship between you and Efficient Consulting & Management Inc. (ECM). No obligation on ECM’s part shall arise unless and until a formal Engagement Letter or Contract has been reviewed, approved, and executed by ECM and the Client.

This document is confidential and may not be reproduced, shared, or used for any other purpose without ECM’s prior written consent. ECM may decline to proceed with onboarding at its sole discretion where information is incomplete, inconsistent, or not aligned with ECM’s risk appetite, compliance standards, or strategic focus.

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Understanding the Rules

As a structured management consulting and business development firm, ECM adheres to the highest standards in its business. ECM complies with, among others:

• Bank Secrecy Act (BSA)
• UK Money Laundering Regulations
• EU Anti-Money Laundering Directive
• Financial Intelligence Unit of Barbados
• The Financial Action Task Force (FATF)
• Financial Crimes Enforcement Network (FinCEN)
• The Foreign Account Tax Compliance Act (FATCA)
• Relevant KYP/KYC requirements in principal financial centres
• Substance Act and applicable jurisdictional rules

It is a felony to submit forged, altered, or counterfeit documents. ECM will promptly refer such matters to the appropriate law enforcement agencies.

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Section A: General Prospect Information

Full Name or Entity Name Date of Submission Type of Client

Individual Corporate Both

Primary Contact Person Primary Contact Email Mobile / Direct Line Country of Residence or Incorporation Purpose of Engagement

Section B: Individual Information (If Applicable)

Complete this section if the client is an individual, or if both individual and corporate client types apply.

Individual Name Citizenship Place of Birth Passport Number Country Issuing Passport Residential Address Individual Email (if different from main) Mobile / Cell Phone Number Are you a Politically Exposed Person (PEP)?

Yes No

Are you a U.S. Person for FATCA purposes?

Yes No

Section C: Corporate or Trust Information (If Applicable)

Registered Legal Name of Entity Type of Entity

Corporation / Ltd LLC Partnership Trust Foundation

Country of Incorporation / Formation Date of Incorporation / Formation Business Address Jurisdictions of Operation Entity Tax ID / EIN Name and Title of Signing Officer(s) Ultimate Beneficial Owners (UBOs) – names and ownership percentages Directors and Officers

Section D: Supporting Documentation

You may attach a consolidated KYC/Compliance pack here securely (e.g., IDs, proof of address, corporate documents, UBO chart, etc.).

Consolidated KYC / Compliance Pack (optional upload)

Section E: Financial Capability & Declaration

Is the individual or entity financially capable and willing to pay ECM’s onboarding costs, professional fees, and associated service charges?

Yes No

Source of Funds for ECM Fees (brief description)

By submitting this form, you declare that the information provided is true and correct to the best of your knowledge. You understand that this form is used solely for ECM’s internal intake, eligibility assessment, and onboarding review, and that no advisory, management, agency, or fiduciary relationship exists unless and until a formal Engagement Letter or Contract is executed by ECM and the Client.

Name of Signatory Title / Position (if applicable) Entity (if applicable) Date

Submit Secure Intake Form

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The submitted content of this intake form is confidential and intended solely for the use of the compliance and onboarding teams of Efficient Consulting & Management Inc. (ECM) and authorized partners. Unauthorized review, use, or disclosure is strictly prohibited.