EFTA01406355.pdf

PIVOT File Combined BR (Multiple Items) CORP GM PRODUCT COLOUR (Multiple Items) Row Labels Count of FILEID AFC Dispensation 1 GM has been retained, GTB is "Partial Exit" no further approvals should be required 1 In 52k 38 Remediation 2017 52k case: Requires 1) KYC to be completed in CIB and confirmation required from regional leads that KYC was completed to the required standard, equivalent to CIB ExCO Approval and ACO or 2) full and brand new NCA required if KYC has not been done (note, this will not come out of offboarding until NCA is complete) 38 Rejected Swap Out 1 Remediation 2017 52k case: Requires 1) KYC to be completed in CIB and confirmation required from regional leads that KYC was completed to the required standard, equivalent to CIB ExCO Approval and ACO or 2) full and brand new NCA required if KYC has not been done (note, this will not come out of offboarding until NCA is complete) 1 Swap In - Offboarding 2018 1 Remediation 2017 52k case: Requires 1) KYC to be completed in CIB and confirmation required from regional leads that KYC was completed to the required standard, equivalent to CIB ExCO Approval and ACO or 2) full and brand new NCA required if KYC has not been done (note, this will not come out of offboarding until NCA is complete) 1 #N/A 19 ACO approval 10 Confirmation required from regional leads that KYC was completed to the required standard. NCA required if KYC has not been done. ACO approval 9 Grand Total 60 unicode ms,Regular"For internal use only EFTA01406355 COMBINED Client Name CRDS ID cRDS ID with location WM ACO Tab Iris Ceramica Group Societa' Per Azioni,IT 1.000293306E9 1000293306 GB Alessandro Cummunale KCP EMEA Karrick Limited,GG/ LK Advisers LTD, GB 1.001107173E9 1001107173 US Alessandro Cummunale KCP EMEA MC Management GmbH,AT/ Anadoria 1.000077151E9 1000077151 DE Alessandro Cummunale KCP EMEA Portland Worldwide Investments Limited 1.000377603E9 1000377603 DE Alessandro Cummunale KCP EMEA Romano Minozzi 1.001145054E9 1001145054 DE Alessandro Cummunale KCP EMEA ZZ Strategy Limited 1.013277859E9 1013277859 GB Alessandro Cummunale KCP EMEA lOak Capital Limited 1.000465354E9 1000465354 GB Raphael Drescher KCP EMEA Aktiebolaget Stena Finans,SE 1.000176786E9 1000176786 GB Raphael Drescher KCP EMEA Brederode International Sarl, LU 1.001146814E9 1001146814 GB Raphael Drescher KCP EMEA Brederode SA,BE, Geyser SA 1.000629573E9 1000629573 GB Raphael Drescher KCP EMEA Brett Palos Investments Ltd 1.000601518E9 TBC Raphael Drescher KCP EMEA Charles William Dunstone 1.001458624E9 1001458624 GB Raphael Drescher KCP EMEA Cofra Holding AG 1.000055035E9 1000055035 GB Raphael Drescher KCP EMEA Dunross & CO Aktiebolag,SE 1.000044577E9 1000044577 GB Raphael Drescher KCP EMEA Hadfield Luxembourg SARL 1.008057154E9 TBC Raphael Drescher KCP EMEA IKEA Services 1.00017409E9 1000174090 DE Raphael Drescher KCP EMEA Inter Fund Management S.A.,LU 1.000571359E9 1000571359 GB Raphael Drescher KCP EMEA Kirkbi A/S 1.000835796E9 TBC Raphael Drescher KCP EMEA Mansour family 1.000018155E9 1000018155 AE Raphael Drescher KCP EMEA MECON HOLDING CO. W.L.L. 1.001261355E9 TBC Raphael Drescher KCP EMEA Reuben Brothers Limited 1.000639994E9 1000639994 GB Raphael Drescher KCP EMEA Shop Direct Finance Company Ltd, GB 1.001220702E9 1001220702 GB Raphael Drescher KCP EMEA Sphinx Investment Corp, MH 1.007963091E9 1007963091 GB Raphael Drescher KCP EMEA Stena Investment SARL, LU 1.000714733E9 1000714733 GB Raphael Drescher KCP EMEA TFB Mortgages 1.001261151E9 1001261151 GB Raphael Drescher KCP EMEA EFTA01406356 Alovet S.L 1.00018098E9 1000180980 DE Vincenzo Maini KCP EMEA Axia Investments Limited,KY 1.000773998E9 1000773998 GB Vincenzo Maini KCP EMEA Beachwood Universal Limited 1.009657303E9 1009657303 GB Vincenzo Maini KCP EMEA De Longhi Industrial S.A. 1.013156462E9 TBC Vincenzo Maini KCP EMEA Ekistics Liquid Investments 2 Limited,VG 1.004821234E9 TBC Vincenzo Maini KCP EMEA Ekistics Mezzanine Investors Finance Company 1 S.a r.1 1.000604343E9 TBC Vincenzo Maini KCP EMEA Falkstenen AB,SE 1.000519821E9 1000519821 GB Vincenzo Maini KCP EMEA Fedesa 1.000068017E9 TBC Vincenzo Maini KCP EMEA Goldstone Capital Limited 1.004527299E9 TBC Vincenzo Maini KCP EMEA Hougou Family (Pierre Tristan Michel Bastid) 1.000801021E9 1000801021 GB Vincenzo Maini KCP EMEA Longbow Finance S.A.,CH 1.000077795E9 1000077795 DE Vincenzo Maini KCP EMEA Noga Real Estate Ltd 1.007863101E9 TBC Vincenzo Maini KCP EMEA Paramount Holdings 1.004417918E9 1004417918 GB Vincenzo Maini KCP EMEA Pierre Bastid - Hougou 1.012902844E9 TBC Vincenzo Maini KCP EMEA Premier Group 1.007510398E9 TBC Vincenzo Maini KCP EMEA Rijn Capital B.V. 1.013962671E9 TBC Vincenzo Maini KCP EMEA ROSP 1.001261005E9 TBC Vincenzo Maini KCP EMEA Sucres et Denrees SA,FR 1.000061217E9 1000061217 FR Vincenzo Maini KCP EMEA Suliman S. Olayan Foundation 1.00448807E9 TBC Vincenzo Maini KCP EMEA SUPREME UNIVERSAL HOLDINGS LIMITED 1.004524963E9 1004524963 GB Vincenzo Maini KCP EMEA Tetral/Freemont Investment Management,CH 1.001183304E9 1001183304 DE Vincenzo Maini KCP EMEA Waypoint Treasury Limited,JE 1.000079707E9 1000079707 GB Vincenzo Maini KCP EMEA Miraplan Asset Management LTD.,KY 1.00079786E9 1000797860 DE Xavier Avila KCP EMEA 265 Strand Property S.A R.L.,LU 1.015164797E9 1015164797 GB KCP EMEA AG Mortgage Investment Trust INC,US 1.001220787E9 1651220787 US KCP EMEA Arnault 1.000064987E9 TBC KCP EMEA Christoph Henkel,GB 1.00114191E9 TBC KCP EMEA Constellation Opportunities Fund Limited 1.015632342E9 1015632342 SG KCP EMEA Fritz Thyssen Stiftung,DE 1.000054639E9 1000054639 DE KCP EMEA Joachim Herz Stiftung,DE 1.000077319E9 1000077319 DE KCP EMEA Ltp Libourne Sarl,FR 1.014584425E9 1014584425 GB KCP EMEA MT Luxco S.A R.L.,LU 1.015488174E9 1015488174 DE KCP EMEA Nns Holding S.A R.L.,LU 1.000694843E9 TBC KCP EMEA EFTA01406357 Norwegian Cruise Line Holdings 1.000008449E9 1000008449_CA KCP EMEA Pinault 1.00018183E9 TBC KCP EMEA Schieferstein Consulting and Asset Management GmbH,DE 1.000256925E9 1000256925_DE KCP EMEA Semper Constantia Privatbank Aktiengesellschaft,AT 1.000036349E9 1000036349_DE KCP EMEA Stihl International Gesellschaft Mit Beschraenkter Haftung,DE 1.000170756E9 1000170756_DE KCP EMEA Talented Chief Limited,VG TBC KCP EMEA Bancard International Investments Inc 1.005279847E9 1005279847 GB Xavier Avila KCP US Blue Dragon Investments 1.000270715E9 1000270715 GB Xavier Avila KCP US Blue Dragon Investments 1.000748425E9 1000748425 GB Xavier Avila KCP US Arbitral International Corporation 1.000302605E9 1000302605 GB Xavier Avila KCP US Armory Fund LDC 1.000635214E9 1000635214_GB Xavier Avila KCP US Bevco Lux S.a r. 1. 1.010007434E9 1010007434 GB Xavier Avila KCP US Blue Media Investments Inc 1.000622835E9 1000622835 GB Xavier Avila KCP US Bradwell Commercial Ltd 1.000384058E9 1000384058 GB Xavier Avila KCP US Kifenor SA 1.000334995E9 1000334995_DE Xavier Avila KCP US Davinci Capital SAPI de CV 1.004639543E9 1004639543 ES Xavier Avila KCP US Drake Aurora Fund 1.00450245E9 1004502450 GB Xavier Avila KCP US Tendencia Asset Management Ltd 1.009074801E9 TBC Xavier Avila KCP US Fratelli Investments Limited 1000081408 1000081408 GB Xavier Avila KCP US Aivilo Spain SL 1.004738735E9 1004738735_DE Xavier Avila KCP US Inverban 1.001261063E9 1001261063_GB Xavier Avila KCP US Lepton Fund Ltd,BR 1.000365839E9 1000365839 GB Xavier Avila KCP US Miraplan Asset Management Ltd 1.00079786E9 1000797860 DE Xavier Avila KCP US Monex Inversiones SA 1.001261818E9 1001261818 GB Xavier Avila KCP US 03 Capital Global Fund 1.012934358E9 1012934358 DE Xavier Avila KCP US Proaltus Capital Partners SL 1.000596483E9 1000596483 GB Xavier Avila KCP US Puerto Asis Corporation 1.004605899E9 1004605899 US Xavier Avila KCP US Roman / OPTIMIST INVESTMENT ADVISORS S.A 1.000641214E9 1000641214 GB Xavier Avila KCP US Signature Capital 1.005284346E9 1005284346 GB Xavier Avila KCP US EFTA01406358 Techint S.A. De C.V. 1.003983724E9 1003983724 US Xavier Avila KCP US Televisa SA de CV 1.000051443E9 1000051443 GB Xavier Avila KCP US Tendencia Asset Management Ltd 1.009003844E9 1009003844 GB Xavier Avila KCP US Tonelle Limited 1.001107167E9 1001107167 DE Xavier Avila KCP US Transacciones e Inversiones Arizona SA 1.000302747E9 1000302747 US Xavier Avila KCP US Tresalia Hedge Latam L.P. 1.000672724E9 1000672724 GB Xavier Avila KCP US USD Bevco S.a r.l. 1.009987702E9 1009987702 GB Xavier Avila KCP US W De Argentina - Inversiones S.A 1.007979444E9 1007979444 US Xavier Avila KCP US MPT Funds SPC LTD 1.001260949E9 1001260949 GB Xavier Avila KCP US Mantiqueira Overseas Fund LTd 1.009965413E9 1009965413 GB Xavier Avila KCP US Simco Investment Management Corporation 1.001146566E9 1001146566 GB Xavier Avila KCP US Ansbacher Bahamas Limited,BS 1.000303252E9 1000303252 DE David Posen KCP US Colina Insurance Limited 1.007668198E9 1007668198 GB David Posen KCP US Amzak Capital Management LLC 1.000713302E9 1000713302 GB Xavier Avila KCP US The Anschutz Foundation 1.003511251E9 TBC Xavier Avila KCP US E.N. Investment Company 1.000159818E9 1000159818 GB Xavier Avila KCP US Avalon Hedged Equity Fund L.P. 1.000039769E9 1000039769 GB Daniel E Kaiser KCP US Canyon Green Solemint LLC,US / Geoffrey H Palmer,US 1.000167608E9 1000167608 US Xavier Avila KCP US CARPE DIEM CAPITAL PTY LIMITED 1.004536091E9 1004536091 AU Daniel E Kaiser KCP US Cascade Investment LLC 1.009057698E9 TBC Xavier Avila KCP US DAVID H MURDOCK LIVING TRUST 1.001262658E9 1001262658 CA Xavier Avila KCP US Dean Holdings Inc 1.004737742E9 1004737742 CA Xavier Avila KCP US ENDURANCE VOYAGES, LLC 1.008679777E9 1008679777 US Xavier Avila KCP US Gapstow 1.003715597E9 1003715597 US Xavier Avila KCP US George B Kaiser 1.00058966E9 1000589660 GB Xavier Avila KCP US George Kaiser Family Foundation 1.000335587E9 1000335587 GB Xavier Avila KCP US - GLSC 48 SPECIAL LLC 1.007914638E9 1007914638 US Xavier Avila KCP US Hartz Capital Investments Ltd,US 1.000049307E9 1000049307 GB Xavier Avila KCP US EFTA01406359 Himalaya Partners 1.000039669E9 TBC Xavier Avila KCP US Icahn Enterprises LP 1.000056225E9 1000056225_US Daniel Kaiser KCP US 3MB Capital Partners LP 1.000042361E9 1000042361_US Xavier Avila KCP US Karlin Asset Management 1.000385586E9 TBC Daniel Kaiser KCP US McCamish Group 1.000675268E9 1000675268_US Xavier Avila KCP US Medley Partners 1.003446816E9 TBC Xavier Avila KCP US Osiris Holdings Inc 1.000155866E9 1000155866 CA Xavier Avila KCP US Parkwood LLC 1.007669306E9 1007669306 US Xavier Avila KCP US SIMON CHARITABLE PRIVATE LLC 1.004027219E9 1004027219_GB Xavier Avila KCP US SIMON CHARITABLE PUBLIC LLC 1.000001979E9 1000001979_GB Xavier Avila KCP US SIMON MARKETABLE, L.P. 1.00520244E9 1005202440_US Xavier Avila KCP US Pacifica Companies 1.003926685E9 TBC Xavier Avila KCP US Paul G Allen 1.009438472E9 1009438472 GB Xavier Avila KCP US Petrus Asset Management Company 1.005280024E9 1005280024_US Xavier Avila KCP US PW Focus Fund LLC 1.009893804E9 1009893804_GB Xavier Avila KCP US RWN Management LLC 1.000079101E9 1000079101_US Xavier Avila KCP US SC DELANCEY LLC 1.007440895E9 1007440895 US Xavier Avila KCP US Silver Rock Financial LLC 1.00002647E9 1000026475_GB Xavier Avila KCP US Somerston Investments Ltd,GB 1.000227124E9 1000227124_GB Xavier Avila KCP US Southern Financial LLC 1.007406812E9 1007406812_GB Xavier Avila KCP US Vulcan Capital Management (Fifth Street) 1.000026669E9 TBC Xavier Avila KCP US West Family Investments Inc 1.000038847E9 1000038847_GB Xavier Avila KCP US Willett Advisors LLC 1.003437027E9 1003437027_GB Xavier Avila KCP US MSD Capital L.P. 1.000005933E9 1000005933_GB Xavier Avila KCP US Cerberus Capital Management L.P. 1.000256779E9 1000256779_CA Xavier Avila KCP US Equity Investments, LP 1.009171312E9 1009171312_GB Xavier Avila KCP US Duquesne family office 1.000270989E9 1000270989_GB Dan Bergad KCP US PENN CAPITAL MANAGEMENT COMPANY, INC 1.000001979E9 1000001979_GB Xavier Avila KCP US AQUILINE HOLDINGS LLC 1.003513703E9 1003513703_GB Xavier Avila KCP US TECHVIEW INVESTMENTS LTD. 1.000474451E9 1000474451_US Xavier EFTA01406360 Avila KCP US Alden Global Capital LLC,US 1.003458959E9 1003458959 GB Xavier Avila KCP US Andrew Mathias 1.009039376E9 TBC Xavier Avila KCP US Centaurus Capital LP 1.000802041E9 1000802041 GB Xavier Avila KCP US Chris Cline 1.008596938E9 TBC Xavier Avila KCP US Corbin Capital Partners LP,US 1.000283263E9 1000283263 GB Xavier Avila KCP US Jaws Capital LP,US 1.000289842E9 1000289842 GB Xavier Avila KCP US JHAC LLC 1.000412615E9 1000412615 GB Xavier Avila KCP US JR Miller Enterprises 1.013458025E9 TBC Xavier Avila KCP US JR Miller Enterprises 1.013352892E9 1013352892 GB Xavier Avila KCP US JVB Properties LLLP 1.003485758E9 1003485758 US Xavier Avila KCP US Peak6 Investments,L.P. 1.000076933E9 1000076933 GB Xavier Avila KCP US TOMS Capital LLC 1.00064002E9 TBC Xavier Avila KCP US TRB Fund I LP 1.004060262E9 TBC Xavier Avila KCP US Wilbur Ross 1.004503469E9 1004503469 US Xavier Avila KCP US SIMCO INVESTMENT MANAGEMENT CORPORATION 1.001146566E9 1001146566 GB Xavier Avila KCP US Kawa Capital Management 1.000076625E9 1000076625 GB Xavier Avila KCP US Pascal Fund, Ltd. 1.001467253E9 1001467253 GB Xavier Avila KCP US Sheffield Asset management 1.000077095E9 1000077095 DE Xavier Avila KCP US Union Communications Company LP,US 1.000077351E9 1000077351 US Xavier Avila KCP US Monashee Investment Management LLC,US 1.000644037E9 1000644037 GB Xavier Avila KCP US Hamlin Capital Management, LLC,US 1.000013675E9 1000013675 US Xavier Avila KCP US Elk Creek Partners LLC 1.001456865E9 1001456865 US Xavier Avila KCP US Tradelnvest Financial Holdings LTD 1.01566581E9 1015665810 GB Xavier Avila KCP US Bellerofonte LLC 1.015906547E9 TBC Xavier Avila KCP US The Lamia Ventures Corp 1.013887599E9 TBC Xavier Avila KCP US Vanguardia Inversiones SAS 1.008199869E9 TBC Xavier Avila KCP US Vanguardia Inversiones SAS 1.008300941E9 TBC Xavier Avila KCP US Inversiones Alabama Limitada 1.016136898E9 TBC Xavier Avila KCP US Fifth Street Station LLC 1.000846097E9 TBC Xavier Avila KCP US Anschutz Investment Company 1.000078659E9 TBC Xavier Avila EFTA01406361 KCP US Dakota Pacific Global Macro Fund LLC 1.01555301E9 TBC Xavier Avila KCP US Facile Investments Limited 1.000634175E9 1000634175 GB & HK & US Reema Parmar WM APAC Archer Asset Holding Ltd 1.008318901E9 1008318901 GB & _HK Reema Parmar WM APAC Chatsworth Asset Holding Ltd 1.000806275E9 1000806275 HK & US Reema Parmar WM APAC Greenwich Asset Holding Ltd 1.000292945E9 1000292945 GB & HK & SG & US Reema Parmar WM APAC Newton Asset Holding Ltd 1.004577342E9 1004577342 GB & HK & SG & US Reema Parmar WM APAC Hemingway Asset Holding Ltd 1.004603201E9 1004603201 GB & HK & SG Reema Parmar WM APAC Glasgow Asset Holding Ltd 1.004603199E9 1004603199 GB & HK and SG Reema Parmar WM APAC Berkeley Asset Holding Ltd 1.000676995E9 1000676995 GB & HK and SG Reema Parmar WM APAC Claradon Investments Limited 1.000659092E9 1000659092 GB & HK Reema Parmar WM APAC Properon International Limited 1.000634167E9 1000634167 HK & SG Reema Parmar WM APAC Foxdale Asset Holding Ltd 1.004520317E9 1004520317 US Reema Parmar WM APAC Preston Asset Holding Limited 1.004789629E9 1004789629 GB & SG & US Reema Parmar WM APAC Marvell Assets Limited 1.007606524E9 1007606524 GB & US Reema Parmar WM APAC Hampton Asset Holding Ltd 1.000634668E9 1000634668 GB Reema Parmar WM APAC Showina Investments Ltd 1.000634178E9 1000634178 GB Reema Parmar WM APAC Dalvey Asset Holding Ltd 1.000774046E9 1000774046 GB Reema Parmar WM APAC Mayfair Asset Holding Ltd 1.004577333E9 1004577333 GB Reema Parmar WM APAC Eton Asset Holding Ltd 1.004487944E9 1004487944 GB Reema Parmar WM APAC Infinity Asset Holding Ltd 1.004487954E9 1004487954 GB Reema Parmar WM APAC Lancaster Asset Holding Ltd 1.004861676E9 1004861676 GB Reema Parmar WM APAC Jasmine Asset Holding Ltd 1.004861662E9 1004861662 GB Reema Parmar WM APAC Kingsbridge Asset Holding Ltd 1.00486165E9 1004861650 GB & HK & SG Reema Parmar WM APAC &"arial unicode ms,Regular"For internal use only EFTA01406362