Anti-Money Laundering Council (AMLC) Resolution No. 40-A dated 03 May 2011

BINOXO SEXTNAL NG PILIPINAS OFFICE OF THE DEPUW GOVERNOR SUPERVISION AND EXAMINATION SECTOR CIRCULAR TETTER NO. C1.2011.036 To All Banks and Non-Bank Financial Institutions under BSP Supervision Subject : Anti-Money Laundering Council (AMIC) Resolution No.4GA dated 03 May 2011 Pursuant to Anti-Money Laundering Council Resolution No. 40-A dated 03 May 2011 (copy attached), you are hereby informed that on 01 December 2010, the United Nations (UN)Security Council Committee which was established pursuant to UN Security Council Resolution No. 1533 (2004) concerning the Democratic Republic of the Congo added the following four ( ) individuals: (1) IYAMUREMYE, Gaston (2) NSANZUBUKIRE, Felicien (3) Z|MUR|NDA, Innocent and (4) MUGARAGU, Leodomir, to the List of Individuals and Entities subject to the measures imposed by paragraph 13 and 15 of UN Security Council Resolutions No. 1595 (2005), as renewed by paragraph 3 of the UN Security Council Resolution No. 1952 (2010). Under the same resolution, all covered institutions are likewise directed to submit to the AMLC reports on suspicious transactions, if any, involving the above- mentioned individuals including all transactions that occurred within the past five (5) years counting from the date of receipt of the Resolution. For your guidance and strict implementation. h4*rffir 25 May 2011 Att.: A/S

Anti-Money Laundering Council Bangko Sentral ng Pilipinas Complex Manila, Philippines RESOTUTTON NO. 40-A Series of 2011 In its Memorandum dated 25 April 2011, the AMLC Secretariat (AMLCS) reported to the Council that: On 7 December 2070, the United Nations (IJN) Security Council Committeel which was estoblished pursuont to UN Security Council Resolution No. 7533 (2OO4) concerning the Democrotic Repubtic of the Congo odded the following four individuols to the List of tndividuols and Entities (List) subject to the meosures imposed by poragrophs 13 and 75 of UN Security Council Resolution No. 7596 (2005), as renewed by poragraph 3 of the UN Security Council Resolution No. l9S2 (2010). The detoils of the individuals odded in the List are as follows: Name (last/firct): : IYAMUREMYE, Gaston; Alias : Rumuli; Byiringiro Victor Rumuli; Victor Ru m u ri; Michel Byi ri n gi ro; Ddte Of Birth : 7948; Place OI Birth : Musonze District (Northern Province), Rwanda; AIt. POB : Ruhengeri, Rwanda; Passportfldentilying : Title: Second Vice President of FDL* ; information Rank: Brigodier Generol; Current locotion: Kibua, North Kivu, Democratiq Republic of Congo (DRC); Alt. Curreni locotion: Aru, DRC. I Created pursuant to the UN Sccurity Council (UNSC) Resolution No. 1533 (200a) and tasked to, among others, implement and monitor compliance with Paragraph 20 of {JNSC Resolution No. 1493, which demands all states to take necessary measures to prevent the supply of arms and any related materiel or assistance to armed groups operating in North and South Kivu and in Ituri, and to groups not party to the Global and All-Inclusive Agreement on the Transition in the Democratic Republic of the Congo. 'The forces democratiques de libcration du Rwanda (FDLR) or The Democratic Forces for the Liberation of Rwanda is the primary remnant of Rwandan Hutu Power rebel group in the east of the Democratic Republic of congo. The group is both a military group and a terrorist organization.

Desi g notion t ustification According to multiple sources, including the UNSC DRC Sonctions Committee's Group of Experts, Goston lyamuremye is the second vice president of the FDLR ond is considered o core member of the FDLR militory ond political leodership. Goston lyamuremye dlso ron lgnace Murwonoshyoka's (President of the FDLR) office in Kibuo, DRC until December 2009. Name (last/firct): NSANZUBUKIRE, Fdlicien; Alios; Fred lrdkeza; Dote Of Birth 1967; Ploce OI Birth Muromo, Kinyinya, Rubungo, Kigoli, " Rwanda; Current locotion: Uvira-Sange I oreo, Uviro Territory, South Kivu Province, DRC. Designotio n t ustili cation According to multiple sources, Fdlicien Nsanzubukire is the 7't battalion leader of the FDLR. Fdlicien Nsanzubukire hos been a member of the FDLR since ot leost 7994 ond operoting in eostern DRC since October 1998. The UNSC DRC Sonction Committee's Group of Experts reports that Filicien Nsonzubukire supervised ond coordinated the trofficking of ammunition and weopons between ot ledst November 2008 ond April 2009 from the United Republic of Tonzonio, vio Loke Tangonyika, to FDLR units bosed in the Uvira ond Fizi areas of South Kivu. Name (last/first): ZMURINDA, lnnocent; Date Ol Eirth September 7, 7972; AIt. DOB 7975; Place ol Birth (POB): Ngungu, Masisi Territory, North Kivu Province, DRC; Current locotion: Masisi Territory, North Kivu Province, DRC;

Passportldentifying : Rdnk: Lieutenont Colonel. According td information ' open-source ond official reporting, Lt Col lnnocent Zimurinda wos an officer in the Congris Notional pour Io Difense du Peuple (CNDP) which was integroted into the Forces Armies de Io Ripublique D€mocratique du ConEo (FARDC) in eorly 2009. Desig nati on t ustificati on According to multiple sources, Lt Col lnnocent Zimurinda, in his copacity os one of the commonders of the FARDC 237't Brigade, gove orders that resulted in the massacre of over 70O Rwondon refugees, mostly women and children, during an I April 2009 militory operation in the Sholio oreo. The UNSC DRC Sonctions Committee's Group of Experts reported thot Lt Col lnnocent Zimurinds wos witnessed first hond refusing to release three children from his commond in Kalehe,t on August 29, 2OO9. According to multiple sources, Lt Col lnnocent Zimurindo, prior to the CNDP's. integrotion into FARDC, porticipoted in o November 2008 CNDP operotion thot resulted in the mossocre of 89 civilions, including women ond children, in the region of Kiwanjo. ln March 2070, 51 human rights groups working in eostern DRC posted o comploint online olleging thot Lt Col lnnocent Zimurinda wos responsible for multiple human rights abuses involving the murder of numerous civilians, including women ond children, I between February 2007 ond August 2007. Lt Col lnnocent Zimurindo has also been occused in the some complaint to be responsible for the rape of o lorge number of women ond girls. According to o May 27, 2070, statement by the Specialt Representative of the Secretory Generol for Children ond Armed Conflict, lnnocent Zimurindo has been involved in the

arbitrory execution of child soldiers, including during operation Kimia ll- According to the some stotement, he denied access by the UN Mission in the DRC (MONUC) to screen troops for minors. According to the UNSC DRC Sanctions Committee's Group of Experts, Lt Col Zimurindo holds direct ond commond responsibility for child recruitment and for mointoining children within troops under his commond. Name (last/fim) : MIJGARAGU, Leodomir; AIias : Manzi Leon; Leo Monzi; Date of Birth : 7954; AIt. DOB : 7953; Date OI Birth : Kigoli, Rwondo; AIt. POB : Rushoshi (Northern Province), Rwando; { Possportfldentifylng : Title: FDLR/FOCA Chief of Staff; Rank: Information Brigadier General; Designation : According to open-source and official Justification reporting, Leodomir Mugorogu is the Chief of Staff of the Forces Combottantes Abucunguzi/Combotont Force for the 't Liberation of Rwonda (FOCA), the FDLR's armed wing. According to official reporting Mugarogu is o senior plonner for FDLR's military operations in the eostern DRC. The UN Security Council Resolution No. 1596 adopted on 18 April 2005 provides "The Security Council, xxx Acting under Chapter Vll of the Charter of the United Nations,

L. Reoffirms the measures established by paragraph 20 of resolution L4933, dated 28 July 2OO3, and extended until 31July 2005 by resolution 1552, dated 27 lulV 2ff,4, decides that these measures shall from now on apply to any recipient in the territory of the Democratic Republic of the Congo, and reiterates that assistance includes financing and financial assistance related to military activities; 13. Decides that, during the period of enforcement of the measures - referred to in paragraph 1 above, all the States shall take the necessary measures to prevent the entry into or transit through their territories of { all persons designdted by the Committee as acting in violation of the measures taken by Member States in accordance with paragraph 1 above, provided that nothing in this paragraph shall oblige a state to refuse entry into its territory to its own nationals; !5. Decides that all States shall, during the period of enforcement of the measures referred to in paragraph 1 above, immediately freeze the funds, other financial assets and economic resources which are owned or controlled, directly or indirestly, by percons designated by the Committee pursuant to paragraph 13 above, or that are held by entities owned or controtled, directly or indirectly, by any persons acting on their behalf or at their direction, as designated by the Committee, and decidesfurtherthat all States shall ensure that no funds, financial assets or economic resources are made available by their naticinals or by any pentons within their territories, to or for the benefit of such persons or. entities; 1 x.tt Section 7(1)of R.A.9160, as amended, provides: 'sEc. 7. creation of Anti-Money Laundering council (AMLC) - The Anti-Money Laundering Council is hereby created and shall be composed of the Governor of the Bangko Sentral ng Pilipinas as chairman, the Commissioner of the Insurance Commission and the Chairman of the 3 20. Decides that all states, including the Democratic Republic of the Congo, shall, for an initial period of 12 months from the adoption ofthis resolution, take the necessary measures to prevent the direct or indirect supply, sale or transfer, from their territories or by their nationals, or using their flag vessels or aircraft, of u..r una any related materiel, and the provision of any assistance, advice or training related to ruilitary activities, to all foreign and Congolese armed groups and militias operating in the tenitory of North and South Kivu and of Ituri, and to groups not party to the Global and All-inclusive agreement, in the Democratic Rcpublic of the Congo;

Securities and Exchange Commission as members. The AMLC shall act unanimously in the discharge of its functions as defined hereunder: (1) to require and receive covered or suspicious transaction reports from covered institutions; xx Laundering The Revised lmplementing Rules and Regulations of the Anti-Money Act of 2OO!, as amended, Provide: "Rule 13.7.2. Authority to Assist the united Nations and other" International Organizations and Foreign States. - The AMLC is authorized under section z (e) and t3 (b) and (d) of the AMLA to receive and take{ action in respect of any request of foreign states for assistance in their own anti-money laundering operations. lt is also authorized under Section 7 l7l of the AMLA to cooperate with the National Government and/or take appropriate action in respect of conventions, resolutions and other directives of the United Nations (UN), the UN Security Council, and other international organizations of which the Philippines is a member. However, the AMLC may refuse to comply with any such request, convention, resolution or directive where the action sought therein contravenes the provision of the Constitution or the executlon thereof is likely to prejudice the national interest of the Philippines'" The inclusion of IYAMUREMYE, Gaston; NSANZUBUKIRE, F6licien; ZIMURII{DA, Innocent; and MUGARAGU, Leodomir in the List of Individuals and Entities subject to the measures imposed by paragraphs 13 and 14 of UN Security Council Resolution No. 1595 (2005), as renewed by paragraph 3 of the UN Security Council Resolution No. t952 (zOtO), requires a cooperative act among UN members. Accordingly, as a charter member of the united Nations, the Philippines, through the Anti-Money Laundering council, must actively support the actions required under the subject UN Security Council Resolutions. The Council resolved to: (1) Direct all covered institutions to submit to the Anti-Money Laundering Council reports on suspicious transactions, if any, involving IYAMUREMYE, Gaston; NSANZUBUKTRE, Fdlicien; ZIMURINDA, Innocenu and MUGARAGU, Leodomir, including all transactions that occurred within the past five (5) years counting from the date of receipt of this Resolution; and 6

I l2l Request the Supervising Authorities to disseminate copies of this Resolution to all covered institutions under their respective jurisdictions. 03 l,lay 2011, Manila, PhiliPPines. (Governor, Bangko Sentral ng Pilipinas) S#'fnnr Member (Chairman, Securities and Exchange Commission) (Commissioner, Insurance Commission) I