EFTA01362832.pdf

From: Ian Salters Sent: 2/21/2019 6:16:42 PM To: Oavide-A Sferrazza Sill King Olivier Poncet Joe Agliona Subject: FW: Combined KYC list and priorities [I] Attachments: WM clients trading with GM - combined list 02.16.19.xlsb Have we reviewed the lists again to ensure we believe the information is correct also to reassess priorities (if needed). Ian Sent with BlackBerry Work (www.blackberry.com) From: Ian Salters < Date: Friday, FebFc I PR IMI M To: Olivier Poncet milimommilms., Bill King Davidc-A Sferrazza a Cc: Alastair Mackinlay Nina Tona Subject: FW: Combined KYC list and priorities Ill Classification: For internal use only FYI From: Ian Salters Sent: Friday, February 15, 2019 5:31PM To: Victoria Bru ; Thomas Klemm Cc: Subject: Combined KYC list and priorities Ill Classification: For Internal use only I have just received an updated file from MAX and the results are a substantial improvement. They have rechecked every client in the dbCAR database and the results are as follows. Many of the names did not come up originally because they were off by a slash, comma, periods, spaces, and other characters. IWP Onboarded = 43 (further 7 to be prioritized) WM Onboarded = 53 (further 12 to be prioritized) I will have both businesses review the results. Regards Ian CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052452 CONFIDENTIAL SONY GM_00198636 EFTA01362832