EFTA01356507.pdf

From: Oliver Esslinger Sent: 5/14/2018 1:54:38 PM To: Armen Brash Julie Cataudella CC: Kimberly Har zia Memon Subject: FW: Market Purity Work Shop [CJ Attachments Market Purity Americas Workshop vl.pptx; Market Purity underlying data USO May 14th.xlsx; Picture (Device Independent Bitmap) 1.jpg; Picture (Device Independent Bitmap) 2.jpg; Picture (Device Independent Bitmap) 3.jpg Classification: Confidential Hi Armen/Julie: Before I reach out to Sub GMT heads or similar I thought I'd start with you to review USO population in scope for market purity. As discussed earlier today in our work shop (Armen, I can debrief you offline) please find enclosed universe of "impure" data (249 clients) asking you to review and provide feedback in excel template columns V-X using enclosed legend as reference as guidance. I already cross referenced to previous PCS or other files you shared with only one match. Besides the impurity based on UBO domicile Metric 1 (column T) we also tracked Metric 2 aka RM covering more than 10 jurisdictions in column S with the following outcome highlighting Mary Ann (9 close to threshold put still "pure" ) and Terrence (11). If needed please discuss with Andrew to get some confirmation in terms of target market coverage as well Row Labels Count of Country MARY ANN COLEMAN 9 TEMENCE TANGNEY 21 AUSTRALIA 1 ARGENTINA 1 CANADA 1 FRANCE 1 JAPAN 1 GREECE 1 NETHERLANDS 1 ISRAEL 1 SINGAPORE 1 LIBERIA 1 SWITZERLAND 1 PANAMA 1 UNITED KINGDOM 1 PORTUGAL 1 UNITED STATES 1 SINGAPORE 1 VIRGIN ISLANDS, BRITIS 1 SWITZERLAND 1 UNITED KINGDOM 1 UNITED STATES 1 Please contact me for any questions, otherwise kindly try to provide me back with high level feedback by end of this week. Thank you Oliver Legend: Outcome Status Rationale For review Under review with BC Resolution workshop free text Remediation Global Escalation (if required) Accepted impurities Not started CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042395 CONFIDENTIAL SDNY_GM_00188579 EFTA01356507