EFTA01355947.pdf

Ellenoi Jarvis Deutsche Bank Trust Company Americas WM Americas 345 Park Avenue. 10154.0004 New York, NY, USA Tel. Fax Mobile Email #Positivelmpact From: Craig Roberts Sent: Friday, May 24, 2019 4:26 PM To: Ellenoi Jarvis < >; Funda Bozkurt < Cc: < >; Rebecca Gaily Subject: RE: NFA Classification: For internal use only All, Please find attached two lists. The l c list was provided by WM to ORDS, and ORDS used the fist to send required Dodd- Frank Quarterly notices in Q12019. The 2'4 list is the WM Client List dated as of yesterday. 106 of the 265 records, or 40%, of the names that appear in the 1" list do not appear in the WM Client list. Those names are highlighted in green. I've highlighted names in the WM Client List in yellow that appear in both lists. Before we decide what to send to NFA, can you please provide an explanation for the disparity between the two lists and some guidance as to what list is appropriate for the NFA request? Thanks, Craig Craig Roberts Director I Dodd-Frank Compliance 60 Wall Street. 10005-2836 New York, NY, USA Tel. Email #Positivelmpact From: Ellenoi Jarvis Sent: Friday, May 24, 2019 12:54 PM To: Anthony Carbonetto <- >; Craig Roberts < >; Ian Salters CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041279 CONFIDENTIAL SDNY_GM_00187463 EFTA01355947