Common use of Reporting Certification Clause in Contracts

Reporting Certification. To: United States Department of Justice United States Attorney’s Office Criminal Division, Fraud Section District of Connecticut Attn: ▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇▇▇▇▇, Acting Chief Attn: ▇▇▇▇▇▇▇ ▇ ▇▇▇▇▇, Acting U.S. Attorney Re: Plea Agreement Disclosure Certification The undersigned certify, pursuant to Paragraph 10 of the Plea Agreement (“Agreement”) filed on December 21, 2021 in the U.S. District Court for the District of Connecticut, by and between the United States and NatWest Markets Plc (the “Company”), that undersigned are aware of the Company’s disclosure obligations under Paragraph 11 of the Agreement and that the Company has disclosed to the United States Department of Justice, Criminal Division, Fraud Section and the United States Attorney’s Office for the District of Connecticut (collectively, the “Fraud Section and the Office”) any and all evidence or allegations of conduct required pursuant to Paragraph 11 of the Agreement, which includes evidence or allegations that may constitute a criminal violation of U.S. federal law (“Disclosable Information”). This obligation to disclose information extends to any and all Disclosable Information that has been identified through the Company’s compliance and controls program, whistleblower channel, internal audit reports, due diligence procedures, investigation process, or other processes. The undersigned further acknowledge and agree that the reporting requirement contained in Paragraph 11 and the representations contained in this certification constitute a significant and important component of the Agreement and the Fraud Section’s and the Office’s determination whether the Company has satisfied its obligations under the Agreement. The undersigned hereby certify respectively that [he/she] is the Chief Executive Officer of the Company and that [he/she] is the Chief Financial Officer of the Company and that each has been duly authorized by the Company to sign this Certification on behalf of the Company. This Certification shall constitute a material statement and representation by the undersigned and by, on behalf of, and for the benefit of, the Company to the executive branch of the United States for purposes of 18 U.S.C. § 1001, and such material statement and representation shall be deemed to have been made in the District of Connecticut. This Certification shall also constitute a record, document, or tangible object in connection with a matter within the jurisdiction of a department and agency of the United States for purposes of 18 U.S.C. § 1519, and such record, document, or tangible object shall be deemed to have been made in the District of Connecticut. By: [NAME] Dated: Chief Executive Officer NatWest Markets Plc By: [NAME] Chief Financial Officer NatWest Markets Plc Dated: UNITED STATES DISTRICT COURT DISTRICT OF CONNECTICUT UNITED STATES OF AMERICA v. NATWEST MARKETS PLC Defendant. CRIMINAL NO. 3:21-cr-187 (OAW)