EFTA01362592.pdf

From: Tanushree Kirti Sent: 10/30/2018 10:16:37 AM To: Davide-A Sferrazza Nina Tona CC: Max Kleinert ; Ian Salters ; Victoria Bruce Subject: RE: Family Office Initiative - Follow Up [I] [SC] [CI Attachments: WM clients_ICG coverage 31July2018 - CIB update_KCP US Comments.xlsx; image003.gif; image004.gif; imageO05.gif; image006.gif Classification: Confidential Hi Davide and Nina, The spreadsheet provided from US KCP is confusing for CIB. I would really appreciate if this is structured for Aziz's team to take clear steps esp. when they had put specific actions per Red and Amber clients in column U of 'Combined with Field ID' tab. I have split the ask below but would want you to confirm and be mindful of being clear what we want CIB to do. Btw, a lot of Red and Amber clients on this 'Combined with Field ID' tab were on the June offboarding list and have been offboarded so the US KCP team were asked to make note of it — has this been done? 1) Existing Red and Amber clients that can be turned green either with ACO approval or confirmation from CDS team, that KYC in CIB is up to date File WM Combined Approvals CRDS ID Adoption UCL_LEGALNAME ACO Tab BR CORP_GM_PRODUCT_COLOUR required Confirmation required from regional leads that KYC was completed to the required standard. NCA required if KYC has not Daniel been done. AVALON E KCP ACO 1000039769 GB ADVISORS, LLC Kaiser US GM RED approval Confirmation required from regional leads that KYC was completed Daniel to the AVALON E KCP required 1000039769 US ADVISORS, LLC Kaiser US GM RED standard. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052081 CONFIDENTIAL SDNY_GM_00198265 EFTA01362592