Date day month year customer / customer s representative signature, full name, seal

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Andrea Gaines
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1 Customer Questionnaire for Receipt of Discretionary Asset Management Services For Legal Entities The sections below should be completed in order to determine whether discretionary asset management services of ABLV Asset Management, IPAS, are appropriate and comply with your interests. In case the questionnaire is filled in incompletely or incorrectly, or information provided does t represent actual situation, ABLV Asset Management, IPAS, will have right to render you discretionary asset management services, pursuant to legislation of the Republic of Latvia. 1. Customer Information (this section is mandatory) Customer company name customer code Has your company been assigned the status of a professional customer 1 regarding all investment services and instruments in any of the EU countries? yes Select the option describing your company. If ne of the options suits your company, continue with the following section. A supervised institution holding the licence for operations in financial market issued by the Republic of Latvia or country: credit institution investment brokerage company licensed or regulated financial institution investment fund or asset management company insurer pension fund company that makes transactions for its own account on the markets of options, futures or financial derivatives, or of underlying assets of derivative contracts for the sole purpose of hedging positions on financial derivatives markets, or that makes transactions for the account of members of those markets or makes prices for them, and which is guaranteed by clearing members of the same markets, where responsibility for ensuring the performance under contracts entered into by such company is assumed by clearing members of the same markets company the main activity of which is to invest in financial instruments and which makes such investments on a large scale commodity dealer A commercial company meeting at least two of the following requirements: own funds of EUR or more net turver of EUR or more balance sheet total of EUR or more National or regional government, public body that manages public debt, central bank, or international financial institution A commercial company the main activity of which is to invest in financial instruments and which makes such investments on a large scale, namely, volume of one transaction in shares and mutual funds of at least EUR or equivalent in an currency, transaction in bonds at least EUR or equivalent in an currency, and derivative transaction at least EUR or equivalent in an currency 1 A customer having appropriate experience, kwledge and competence to make independent investment decisions and assess investment risks properly. ABLV Bank, AS / Registration No / SWIFT: AIZK LV 22 K4 / VEI.525 / 05 / /5

In case the questionnaire is filled in incompletely or incorrectly, or information provided does t represent actual situation, ABLV Asset Management, IPAS, will have right to render you discretionary

2 2. Information on the Person Making Investment Decisions (this section is mandatory) I hereby confirm that investment decisions will be made by the following person: name, surname, date of birth / identity No. Education higher education higher in Ecomics or Finance education Has the mentioned person held a position which required kwledge of financial markets for more than one year? yes, position and place of work Does the mentioned person follow the situation in financial markets? yes 3. Details of Customer Financial Status (this section is mandatory) Core business operations of the company Does the company yes constitute an integral part of a company group (holding)? Business operations of the holding Company s / holding s < equity (equivalent in EUR) Source of the company s regular income and average annual income (equivalent in EUR) operating transactions in income amount financial instruments amount dividends Company s liquid assets (equivalent in EUR) Monetary funds and short-term deposits Company s assets (equivalent in EUR) amount Financial instruments the source and amount Term deposits (above 1 year) Investments in real estate Other investments ABLV Bank, AS / Registration No / SWIFT: AIZK LV 22 K4 / VEI.525 / 05 / /5

yes, position and place of work Does the mentioned person follow the situation in financial markets? yes 3.

3 Current financial liabilities (% of total assets) <50% >50% Average monthly expenses, including payments under regular financial liabilities (loan, leasing, salary, tax, rental, utility payments, or payments under liabilities) (in EUR equivalent) 4. Information on Experience in Financial Instruments Transactions (do t complete this section if you are a professional customer) Please financial instruments or transactions that the person making investment decisions has experience of dealing with: Services provided to the company before financial instruments portfolio management investment consultations brokerage services Experience of making transactions Financial instrument / transaction Non-complex debt instruments (corporate bonds, government bonds, floating rate bonds, money market instruments, and debt securities that do t embed derivatives) Subordinated corporate bonds and bonds with put / call option I have kwledge about this instrument and realize risks associated with it Number of transactions over the past six months Average volume of one transaction (equivalent in EUR) Period of dealing with the instrument Equity securities traded on a regulated market 1, including shares and depositary receipts (ADR, GDR, RDR) Funds (ETF) traded on a regulated market 1 Investment certificates of mutual funds Investment certificates of alternative investment funds (AIF) Transactions using borrowed funds/ margin trading 1 Regulated market licensed market makers of EU and OECD member states, as well as of Norway, Russian Federation, and Hong Kong SAR that are subject to state supervision. ABLV Bank, AS / Registration No / SWIFT: AIZK LV 22 K4 / VEI.525 / 05 / /5

Information on Experience in Financial Instruments Transactions (do t complete this section if you are a professional customer) Please financial instruments or transactions that the person making

4 5. Information on Planned Investments (this section is mandatory) Investment horizon up to 2 years 2 5 years over 5 years Ratio of assets under management to the company s total assets will amount to <50% 50% 70% 70% 90% >90% Unplanned short-term need for liquid assets The company might have a need for all liquid assets any time The company might have a need for 25% and more of all liquid assets The company might have a need for up to 10% of all liquid assets Investment objectives (choose one option only) The company does t plan considerable withdrawal of funds The company s investment objective is to preserve the initial investment amount. The company s investment objective is to accumulate wealth, and the company also wishes to limit investment risk. The company s investment objective is to achieve capital growth exceeding that under investments with low and moderate risk, but company also wishes to limit investment risk. The company s investment objective is to receive maximum profit, and the company is ready to assume high risk to achieve this target. What level of income does the company consider appropriate? (choose one option only) Maximum acceptable amount of losses Income that is t lower than income under a term deposit placed with a reliable bank for a year, also wishing to avoid investments in risky securities market instruments. Income that is higher than income under term deposits and is also stable, while risks are minimized. Income that is considerably higher than income under term deposits with reliable banks, alongside being ready to assume risks associated with investments in risky securities market instruments. losses are t acceptable up to 10% of the initial investment 10 20% of the initial investment above 20% of the initial investment ABLV Bank, AS / Registration No / SWIFT: AIZK LV 22 K4 / VEI.525 / 05 / /5

The company might have a need for up to 10% of all liquid assets Investment objectives (choose one option only) The company does t plan considerable withdrawal of funds The company s investment

5 6. Customer s Representation (this section is mandatory) I confirm that I will be the owner of all financial instruments held in the financial instruments account. I declare that I will t be the owner of financial instruments held in the financial instruments account, but I will be the holder of those. I hereby apply for a minal account to be opened for holding financial instruments, pursuant to the provisions of Part 1 of Section 130 of the Financial Instrument Market Law of the Republic of Latvia. I hereby confirm that I have Internet access. I agree to receive customer information via Internetbank. I hereby represent that the information provided in all sections of the questionnaire is accurate and I undertake to immediately inform ABLV Bank, AS, and ABLV Asset Management, IPAS, about any changes in the said information (including change of the person making investment decisions). I have been warned that filling in the questionnaire incorrectly or incompletely, as well as t providing current information, will make the provider of discretionary asset management services unable to assess the appropriateness of the requested service and its compliance with my interests, resulting in the provision of discretionary asset management services being impossible pursuant to legislation of the Republic of Latvia. Notes by Provider of Discretionary Asset Management Services / Bank s officer Checked Risk strategy appropriate to the customer s interests Conservative Moderate Moderately aggressive Aggressive The following products can be offered to the customer Emerging Markets Bonds High Yield Bonds Stocks No corresponding product ABLV Capital Markets, IBAS, authorized officer signature and personal stamp of the authorized officer ABLV Bank, AS, authorized officer signature and personal stamp of the authorized officer day month year ABLV Bank, AS / Registration No / SWIFT: AIZK LV 22 K4 / VEI.525 / 05 / /5

I hereby apply for a minal account to be opened for holding financial instruments, pursuant to the provisions of Part 1 of Section 130 of the Financial Instrument Market Law of the Republic of Latvia.

ABLV High Yield CIS Bond Fund Prospectus

ABLV High Yield CIS Bond Fund Prospectus Open-end mutual fund Registered in Latvia, with the Financial and Capital Market Commission: Fund registration date: 15.06.2007 Fund registration No.: 06.03.05.263/34