Securities Commission of The Bahamas Notice on UN Sanctions List Update for DRC

Date: 26 October 2023 To: All Registrants and Licensees Re: International Obligations (Economic and Ancillary Measures) Act, Chapter 16 (IOEAMA): Democratic Republic of Congo Pursuant to section 3A of the International Obligations (Economic and Ancillary Measures) Act, Chapter 16 (IOEAMA), licensees and registrants of the Securities Commission of The Bahamas (the Commission) are hereby informed that on 25 October 2023, the Security Council Committee established pursuant to resolution 1533 approved the addition of the entries specified in the United Nations press release attached hereto to its Sanctions List of individuals and entities subject to the measures imposed by the Security Council and adopted under Chapter VII of the Charter of the United Nations. The press release can also be found at the web address below:

1. https://press.un.org/en/2023/sc15465.doc.htm Licensees and registrants are urged to take all appropriate actions to ensure full compliance with section 3A IOEAMA, Part IV, “Implementation of United Nations Security Resolutions”, of the Anti-Terrorism Act, and regulation 8 of the Anti-Terrorism Regulations. Licensees and registrants must confirm compliance within 30 days of the date of this notice and on a quarterly basis thereafter by submitting Form 1A or 1B attached, as appropriate. Please note that licensees and registrants are also required to submit confirmation of compliance to the Commission where there are no findings or ‘hits’. Licensees and registrants are further required to file an annual declaration, certifying that their operations are in full compliance with the aforementioned legislative provisions, signed by at least two Directors of its Board of Directors or in the alternative, one Director and the compliance officer registered with the Commission. The Commission further advises that the filing deadline relative to the annual declaration is 31 January annually. See Form 2 attached. Please be advised that failure to submit the required reports may result in disciplinary action, including a minimum fine of $200.00 per day per Order. All confirmations of compliance and declarations should be addressed to: The Executive Director Securities Commission of The Bahamas Poinciana House North Building, 2nd Floor 31A East Bay Street P. O. Box N-8347 Nassau, The Bahamas Email: SUDfilings@scb.gov.bs

Licensees and registrants are further urged to regularly consult the following UNSC website addresses, to ensure continued compliance, and accurate record keeping relating to United Nations Security Council Resolutions:

1. UNSC: https://www.un.org/securitycouncil/
2. UNSC Sanctions list materials: https://www.un.org/securitycouncil/sanctions/1533/materials
3. Consolidated UNSC Sanctions List: www.un.org/securitycouncil/content/un-sc-consolidated-list A copy of this notice, as well as the above-mentioned listing, can be found on the Commission’s website. Any inquiries concerning this notice may be directed to the Commission at: Poinciana House North Building, 2nd Floor 31A East Bay Street P. O. Box N-8347 Nassau, The Bahamas Email: info@scb.gov.bs Telephone: 1 (242) 397-4100

10/26/23, 9:18 AM Security Council 1533 Sanctions Committee Adds Two Entries to Its Sanctions List | UN Press https://press.un.org/en/2023/sc15465.doc.htm 1/2 United Nations PRESS RELEASE SC/15465 25 OCTOBER 2023 Security Council 1533 Sanctions Committee Adds Two Entries to Its Sanctions List On 25 October 2023, the Security Council Committee established pursuant to resolution 1533 approved the addition of the entries specified below to its Sanctions List of individuals and entities subject to the measures imposed by the Security Council and adopted under Chapter VII of the Charter of the United Nations. A. Individuals CDi. 038 Name: 1: BERNARD 2: MAHESHE 3: BYAMUNGU 4: na Title: na Designation: a) Brigadier General b) Deputy Commander of operations and intelligence for M23 DOB: 10 Oct. 1974 POB: Democratic Republic of the Congo Good quality a.k.a: na Low quality a.k.a: TIGER ONE Nationality: Democratic Republic of the Congo Passport no: na National identification no: na Address: Democratic Republic of the Congo Listed on: 25 Oct. 2023 Other information: Listed pursuant to paragraphs 7 (c) and 7 (h) of resolution 2293 (2016) as “political and military leaders of Congolese militias, including those receiving support from outside the DRC, who impede the participation of their combatants in disarmament, demobilization and reintegration processes” and “acting on behalf of or at the direction of a designated individual or entity, or acting on behalf of or at the direction of an entity owned or controlled by a designated individual or entity”, as reaffirmed by paragraph 2 of resolution 2688 (2023). As a leader of M23 (CDe.006), he is involved in promulgating and supporting the armed group’s activities. He was promoted in January 2023 to Brigadier for the Congolese Revolutionary Army, the M23 armed branch. He was then appointed chief of staff and deputy to SULTANI MAKENGA (CDi.008), and has validated the planning for every M23 operations in DRC since then. A warrant has been issued by Congolese authorities for his arrest. CDi. 037 Name: 1: PROTOGÈNE 2: RUVUGAYIMIKORE 3: na 4: na Title: na Designation: Commander of the FDLR special unit “Commando de recherche et d'action en profondeur” (CRAP) (now called Maccabe) DOB: a) 1968 b) 1969 c) 1970 POB: a) Karandaryi Cell, Mwiyanike Sector, Karago Commune, Gisenyi Prefecture, Rwanda b) Nyabihu District, Western Province, Rwanda Good quality a.k.a: a) RUHINDA b) GABY RUHINDA c) ZORRO MIDENDE Low quality a.k.a: GATOKARAKURA Nationality: Rwanda Passport no: na National identification no: na Address: Nyiragongo, North Kivu, Democratic Republic of the Congo Listed on: 25 Oct. 2023 Other information: Listed pursuant to paragraphs 7 (b), 7 (e), and 7 (h) of resolution 2293 (2016) as “being political and military leaders of foreign armed groups operating in the DRC who impede the disarmament and the voluntary repatriation or resettlement of combatants belonging to those groups”; “committing acts in the DRC that constitute human rights violations or abuses or violations of international humanitarian law, as applicable, including those acts involving the targeting of civilians, including killing and maiming, rape and other sexual violence, abduction, forced displacement, and attacks on schools and hospitals”; and “acting on behalf of or at the direction of a designated individual or entity, or acting on behalf of or at the direction of an entity owned or controlled by a

10/26/23, 9:18 AM Security Council 1533 Sanctions Committee Adds Two Entries to Its Sanctions List | UN Press https://press.un.org/en/2023/sc15465.doc.htm 2/2 ! For information media. Not an official record. designated individual or entity”, as reaffirmed by paragraph 2 of resolution 2688 (2023). As a leader of FDLR (CDe.005), he has effective command and control over the group’s combatants. Press releases concerning changes to the Committee’s Sanctions List may be found in the “Press Releases” section on the Committee’s website at the following URL: https://www.un.org/securitycouncil/sanctions/1533/press-releases. The updated version of the Committee’s Sanctions List, available in HTML, PDF and XML format, may be found at the following URL: https://www.un.org/securitycouncil/sanctions/1533/materials. The United Nations Security Council Consolidated List is also updated following all changes made to the Committee’s Sanctions List and is accessible at the following URL: https://www.un.org/securitycouncil/content/un-sc-consolidated-list. DEMOCRATIC REPUBLIC OF THE CONGO

FORM 1A  [REGISTRANT/LICENSEE LETTERHEAD]  NOTICE  RE: [Name of (i) International Obligations (Economic and Ancillary Measures) Order Citation/  (ii) Notice of the listing to the United Nations Sanctions List]  This notice is to confirm that [Name of Registrant/Licensee] has conducted a review of its databases  and  records  (including  transaction  records)  for  any  findings  related  to  [Cite  Order/and/or  Individual/entity added to United Nations Sanctions List], and hereby confirms that there were no  positive results.  _______________________________  Compliance Officer 

FORM 1B  [REGISTRANT/LICENSEE LETTERHEAD]  NOTICE  RE: [Name of: (i) International Obligations (Economic and Ancillary Measures) Order Citation/ (ii)  Notice of the listing to the United Nations Sanctions List]  This is to confirm that [Name of Registrant/Licensee] has conducted a review of its databases and  records (including transaction records) for any findings related to [Cite Order and/or  Individual/entity added to United Nations Sanctions List], and hereby advise of the following  positive results, which have been reported to the Attorney General and Financial Intelligence Unit:  Name of Individual/Entity  Account/Transaction Details     ____________________________  Compliance Officer 

FORM 2  [REGISTRANT/LICENSEE LETTERHEAD]  DECLARATION  We, [Name of Director] and, [Name of additional Director/Compliance Officer] hereby declare that  the operations of [Name of Registrant/Licensee] are in full compliance with the following Orders: 

1. [List of International Obligations (Economic and Ancillary Measures) Orders relevant to this  Declaration].  ______________________________    ____________________________________          DIRECTOR          DIRECTOR/COMPLIANCE OFFICER