EFTA01390422.pdf

Zbynek Kozelsky From: Amy Horak Sent: Monday, November 03, 2014 12:42 PM To: Zbynek Kozelsky Cc: SBOM; Zia Memon Subject: KCP Exceptions [I] Classification: For internal use only After our review with Zia last week, please note the exceptions below. I also spoke to Dawn, and if there is any issue that isn't able to be addressed, New Accounts will come back to us to further review. i Southern Financial: BSO Exception granted to accept agreehent on file for 025080 to its mirror acct n4g-026161 (3128/13 version signed 7/2/13 - just never sent to new acct Primary account: N4G-025080 - coded and processed correctl No issues there. NC opened on Secondary account, N4G-026161 - this account is missing cfi nt agreement. (this client has about $150MM in N4G accounts at this point der various entities) Fxcan ict Secondary "Tbil, OK 04'/x/ Q026161,..Cleint A ein Virgin Island Foundation: BSO Exception gr nted to accept agreement attached below (3128/13 version signed 9/13/13, never sent up to new accounts) N4G-024950, account opened 09/24/2013. JE Foundation Acct. Agmt. 9.30... And we agreed to this (emails complete email is below) "Per our review and conversation earlier today, please note BSO Exceptions granted to accept older account agreements provided that Updated W9s are on file for any accounts opened 7/1/14 or later, and Cash Sweep Letter is obtained for any Accounts opened 3/1/14 or later." With would like to a ee more accounts to that - is that possible? Yadegar, N4G-016626: BSO Except granted to accept agreement attached below For ACCT AGREEMENT PURPOSES ONLY - not W-9, as that not required at this time (3119/14 version signed 7/16/14, ) 1 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094926 CONFIDENTIAL SDNY_GM_00241110 EFTA01390422