EFTA01373611.pdf

From: Adrienne Bull Sent: 6/8/2018 5:58.11 PM To: Sheffali Welch Oliver Esslinger Emily Craig Melisa Venegas Daphne Cales CC: Wayne Salit Subject: RE: Fabrizio/Jan KYC update Monday (C) Attachments: WM Americas KYC Presentation 6-11-2018v1.pptx Classification: Confidential Hi Sheffali - See updated deck attached and comments in-line below. Kind Regards Adrienne From: Sheffali Welch Sent: Friday, June 08, 2018 4:16 PM To: Adrienne Bull Oliver Esslinger Emily Craig Melisa Venegas Daphne Cales Cc: Wayne Salit Subject: RE: Fabrizio/Jan KYC update Monday IC] Classification: Confidential Thank you. A couple quick comments and questions we should prep for. Slide 2: Wayne — you (or we) will get asked about the 1 in AFCs queue from Feb. Not sure which one this is, but if there is any chance of reviewing it (and approving it!) before the call Monday it would be great to say Jan and Feb are 100% done. AB: Last Submitted on April 2n°. There is a note in the case stating : Waiting on more information from the Global Team. KYC Case # 1904641 - CAPUTO, JORGE ANTONIO RELATIONSHIP If we are only 10°/0 approved in June and we're nearly half way through the month (by June 11th), when do we think we'll be done with Q2? AB: Daphne can you speak with Nick and Vinita on this and revert back Slide 3: None of these should be reporting as overdue, since they are not due yet. AB: Correct. Updated There is a spike in August of 148 cases. We will need to explain this. Is this because a lot of customers are associated with one relationship, for example? How do we get ahead of this, e.g. if there are only 46 left to complete in July, do we think we could accelerate some of the August cases forward? AB: Customers within 45 different relationships are due. 5 of those relationships represent approx. 50% of the customers due. See list of relationships below. The case manager teams will start to work on these ASAP as they get through the July volumes (some have already been started). I will !lase with Daphne / allocation of Case managers to bankers will be adjusted as needed to get through the volumes SOUTHERN FINANCIAL RELATIONSHIP 20 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067888 CONFIDENTIAL SDNY_GM_00214072 EFTA01373611