EFTA01355938.pdf

WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA #PositiveImpact From: Nina Tona Sent: Thursday, June 20, 2019 11:29 AM To: Jamaal Bushara >; Joseph Harlesto Cc: Padam Chainan Ellenoi larvi Ana Hunter ; Ian Salters 1>; Oliver Esslingen Subject: RE: Cases for this Week - 6/21(I) Classification: For Internal use only Hi Team, Please see the updated list. Ellenoi added the 4 clients. Kindly review and advise what is required to remediate, please ensure Red Okas is worked on first. Pending with COB Client Name KYC Type Status Action COB Due Date Responsible 134 West 58th Realty Remediation COB IT issue Jamaal 06/19/2019 LLC 125 Washington Remediation COB IT issue Joe 6/14/2019 Dobson CC Limited Remediation COB With G KYC Checker Jamaal 6/21/2019 Partnership Red Oak Investment Remediation COB Provide remediation list Jamaal 6/28/2019 Fund (High Priority) Howard Lepow Remediation COB Provide remediation list Joe 6/28/2019 1149 Gower Street Remediation COB Provide remediation list Jamaal 6/28/2019 Hollywood LLC Fifth Avenue South Remediation COB Provide remediation list Joe 6/28/2019 Pending with Business Client Name KYC Type Status Dakota Pacific Global Macro Fund LLC Extension Client to provide clarification to AFC question Staple Street Global Extension With business to obtain from client Daniel and Suzzan Cohen Remediation Tax issue, MIFID opt-out DA Brazil NCA With business to obtain from client DA Venezuela NCA With business to obtain from client Ultralat Capital Markets Refresh With business to obtain from client Anschutz Investment Company Extension With business to provide required info CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0041261 CONFIDENTIAL SDNY_GM_00187445 EFTA01355938