EFTA01358425.pdf

Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed heroin are provided for discussion purposes only, and strictly on a non-advisor; basis The KCP Americas desk does not provide investment advice. The Information set font herein is confidential and personal to you and is being presented for your information and for discussion purposes only Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any leggy binding obligation on the part of DBSI or any of its affiliates. From: Nina Tona Sent: Tuesday, March 13, 2018 2:00 PM To: Xavier Avila ; Davide-A Sferrazza ; Alastair Mackinlay Tazia Smith Cc: Martin Zeman Joshua Shoshan a; Billy Obregon Ian Salters < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List III Classification: For internal use only Tazia, We are putting together our KYC/NCA priorities list for our GM accounts. Please let me know if we are missing anything from you perspective. Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 1:55 PM To: Nina Tona ; Davide-A Sferrazza ; Alastair Mackinlay Cc: Martin Zeman Joshua Shoshan Billy Obregon >; Ian Salters u tect: : le - Action Plan - Update I KYC Priority List III This is good, below my changes... Let's make sure we collate everyone's priorities....someone reach out to Tazia and co too to see if anything we are missing. From: Nina Tona Sent: Tuesday, March 13, 2018 1:16 PM To: Xavier Avila ; Davide-A Sferrazza a Alastair Mackinlay Cc: Martin Zeman < Joshua Shoshan •: .; Billy Obregon Su • ect: RE: GM KCP Bi ile - Action Plan - Update I KYC Priority List ill Hi Team. Please see the below and advise if the rank priority is correct and help me fill the blanks highlighted in green. Once I get your confirmation, i will forward to Mat and Rita to manage. KYC Responsible Responsible Priority WM Client / New KYC Review Case Target Live Team Obcar ID -For -For Rank Account Name KYC Date Manager Due Trades Info/Doa Contact/CM Date CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046112 CONFIDENTIAL SDNY_GM_00192296 EFTA01358425