EFTA01356806.pdf

From: Julie Cataudella Sent: 5/3/2019 1:52:26 PM To: Funda Bozkurt ; Ian Salters CC: Kimberly Hart Subject: RE: DB Force - Client types [II Attachments IWP Eligibility SCRUB 5.2.19.xlsx Classification: For Infernal use only Based on our discussion yesterday, below is the summary and next steps. SUMMARY 1. DBforce current state: "IWP" field capturing eligibility and adoption is maintained on the Relationship level and flows down to all underlying customers (both clients and prospects) within that relationship. 2. DBforce future state: a. Remove IWP field from Relationship level b. Wipe out all values in IWP field on Customer level c. Make IWP field read only to all users except supervisor/delegates (need names from Ion) d. One-time upload of IWP values (need Ion to review attached list of all current values in DBforce and identify whether to "keep", "remove", or "change" value on Customer level) NEXT STEPS: 1. Ian — complete attached spreadsheet to provide to IT 2. Julie — write up DBforce IT change request and obtain release date 3. All — outline procedures for IWP personnel to 1) submit pre-qualification documents for IWP Eligible tracking and 2) IWP package for IWP Adoption tracking OTHER ITEMS: 1. Funda — follow up with Ellenoi and Nina to input "GM" and "CRDS#" fields in DBforce 2. Ian — Risk Ranking and KYC due date synchronization a. obtain GM's risk ranking for all impacted clients b. compare to WM's risk ranking c. discuss with WM AFC to match GM's risk to WM's risk so these clients are on the same KYC cycle 4. All — discuss tracking IWP's "Market Professionals" in DBforce Original Appointment From: Funda Bozkurt Sent: Monday, April 29, 2019 11:52 AM To: Funda Bozkurt; Julie Cataudella; Ian Salters Subject: DB Force - Client types tij When: Thursday, May 02, 2019 2:00 PM-3:00 PM (UTC-05:00) Eastern Time (US & Canada). Where: Kims office CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042902 CONFIDENTIAL SDNY_GM_00189086 EFTA01356806