---------- Forwarded message --------- From: FTX Trading Ltd. <ftxinfo@ra.kroll.com> Date: Fri, Nov 17, 2023, 10:19 AM Subject: RE: [EXTERNAL] FTX DR 5-105 Records Request To: g@xny.io <g@xny.io> Gunnar, Thank you for your inquiry. Kroll is the appointed claims and noticing agent for FTX Trading Ltd. chapter 11 cases.? As such, Kroll does not have access to personal FTX account information. Should you have an inquiry related to the chapter 11 proceedings, please do not hesitate to respond to this email. Information, including access to court documents, instructions on how to file a proof of claim, and important dates and deadlines will be available throughout the case at?https://restructuring.ra.kroll.com/FTX/. PLEASE NOTE: Kroll is the appointed claims and noticing agent for FTX Trading Ltd. and 101 affiliated debtors’ chapter 11 cases.? As such, we are not permitted to provide legal or financial advice.? Further, Kroll is not permitted to accept claims via email or fax, and any such information provided via either of these methods will not constitute a claim in these proceedings. Regards, _________________________________________ Kroll Inquiries www.kroll.com <http://www.kroll.com/en/services/business-services> *Effective March 29, 2022, Prime Clerk has rebranded as Kroll. All emails sent by us will now have the domain @Kroll.com. Emails sent to the domain @ primeclerk.com will continue to be received. Please be assured that your information remains secure and is only being used by us in connection with the purpose for which it is held This email is confidential and subject to important disclaimers and conditions, including those regarding confidentiality, legal privilege and certain legal entity disclaimers, available at https://www.kroll.com/disclosure. Our Privacy Policy is available at https://www.kroll.com/en/privacy-policy. --------------- Original Message --------------- *From:* Gunnar Larson [g@xny.io] *Sent:* 11/10/2023, 10:55 AM *To:* ftxquestions@kroll.com *Cc:* frc@fincen.gov; sreader@curtis.com *Subject:* [EXTERNAL] FTX DR 5-105 Records Request Hello there: New York is one of the few states that require lawyers to check for conflicts of interest before accepting any new engagement. In 1996, NY adopted DR 5-105(E), a new paragraph of New York’s main rule governing conflicts of interest. DR 5-105(E) contains three sentences (which I set off here in bullets to make the rule easier to read): • “A law firm shall keep records of prior engagements, which records shall be made at or near the time of such engagements and shall have a policy implementing a system by which proposed engagements are checked against current and previous engagements, so as to render effective assistance to lawyers within the firm in complying with DR 5-105(D).” • “Failure to keep records or to have a policy which complies with this subdivision, whether or not a violation of DR 5-105(D) occurs, shall be a violation by the firm.” • “In cases in which a violation of this subdivision by the firm is a substantial factor in causing a violation of DR 5-105(D) by a lawyer, the firm, as well as the individual lawyer, shall also be responsible for the violation of DR 5 105(D).” The rule thus embodies two separate obligations. Law firms must: 1. Make and keep contemporaneous records of prior engagements at or near the time of such engagements 2. Have a policy implementing a system for checking proposed engagements against current and previous engagements. xNY.io - Bank.org would like to check for conflicts of our interest concerning FTX's asset sale and New York State's regulator who is overseeing Trusts holding FTX assets. Participants, the Trust or the Sponsor may be required to comply with FinCEN regulations, including those that would mandate the Authorized Participant to implement anti-money laundering programs, make certain reports to FinCEN and maintain certain records. Similarly, the activities of an Authorized Participant, the Trust or the Sponsor may require it to be licensed as a money transmitter or as a digital asset business, such as under the New York State Department of Financial Services’ BitLicense regulation. Would you please be able to send us a confirmation of your DR 5-105 records on FTX clearing xNY.io - Bank.org of any associated conflicts to FTX. Thank you, Gunnar Gunnar Larson xNY.io - Bank.org 917-580-8053 This email is confidential and subject to important disclaimers and conditions, including those regarding confidentiality, legal privilege and certain legal entity disclaimers, available at https://www.kroll.com/disclosure. Our Privacy Policy is available at https://www.kroll.com/en/privacy-policy. ref:!00D1N01uIqY.!500Qg03flvp:ref