Compliance & Regulatory Requirements

Pursuant to the USA PATRIOT Act and rules issued by the U. S. Department of Treasury, a U. S. Bank or a U. S. Broker-Dealer in securities (a “Covered Financial Institution) is required to obtain information from any “Foreign Bank” that maintains a Correspondent Account with it.

As permitted by the final rules, The Toronto-Dominion Bank has prepared a Global Certification for use by any Financial Institution that believes it requires a PATRIOT Act Certification from The Toronto-Dominion Bank on its own behalf or each of its international branches or subsidiaries as set out in appendix 1 attached. Please use this Certification instead of requiring an individual TD Bank Financial Group business to complete a separate Certification form. If the business that maintains a correspondent account with your institution is not listed, or you have any questions with regard to this Certification, please advise by emailing us at usapatriotact@tdsecurities.com

• Toronto-Dominion Bank Global Certification 2003

• Access the Toronto-Dominion Bank Global Certification 2003 regarding Correspondent Accounts for Foreign Banks under the USA PATRIOT Act.

• The Toronto-Dominion Bank Global Recertification 2006

• Access the Toronto-Dominion Bank Global Recertification 2006 regarding Correspondent Accounts for Foreign Banks under the USA PATRIOT Act.

• The Toronto-Dominion Bank Global Recertification 2009

• Access the Toronto-Dominion Bank Global Recertification 2009 regarding Correspondent Accounts for Foreign Banks under the USA PATRIOT Act.

• Anti-Money Laundering Statement

• Access the TD Bank Financial Group of Companies’ Anti-Money Laundering Statement.

• Anti-Money Laundering (AML) Questionnaire (Wolfsberg)

• Access the TD Bank Financial Group Anti-Money Laundering Questionnaire.

• Patriot Act Disclosure/Customer Notice

• Access the Patriot Act Disclosure/Customer Notice.