EFTA01377174.pdf

Classification: For Infernal use only Hi Chris - we are actually offboarding Southern Financial in GM. Let us know if you need anything else. Best, Vahe From: Christopher Whyton Sent: Wednesday, February 01, 2017 8:38 AM To: Vahe Stepanian Cc: Isabel-A Gonzalez Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients without an ACO should be moved to the red list for offboarding. Thanks Chris From: Isabel-A Gonzalez Sent: 01February 2017 11:51 To: Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Chris, I have done a bit of digging on this. As per below table, two of this names were indeed included in the Phase I of the Trading Outreach. The other 2 may have happen offline via lain. Please see below the details I have been able to extract: Tradint OutPerin 04.itput Ii YI William Beaumont Hospital [email protected] Proven Wealth Adrienne Bruce Limited Adrienne Coyle yes Alex Giannou Coyle Harkness, EM Southern Financial, LLC Vahe Stepanian Matt Barnett Matt Barnett Tradition SEF, Inc. Olivier Pariente - TCG Yes Olivier Pariente - TCG (TCG) (TCG) My suggestions are: • #1 - reach out to Anthony. He is very responsive • #2 — reach out to ACO, and Bruce. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0073770 CONFIDENTIAL SDNY_GM_00219954 EFTA01377174