EFTA01362965.pdf

From: Nina Ton Sent: 3/16/2018 11:34:4 To: Davide-A Sferrazza Xavier Avila CC: Joshua Shoshan lastair Mackinla Martin Zeman Billy Obregon ; Ian Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List ill Classification: For Internal use only Thanks, Davide. Armory: client is coming to NY for meeting on 3/23, so it would be great to have a list of KYC update requirements by then. From your email below it looks like this was already started, so does that mean we have the list? Or do we need Rita to provide still? — Billy already has the list. Monex: low priority, client is more focused on Niscaly account opening - Ok o Niscaly is in process of opening WM Pershing account, but is also set up in GM (inactive onboardings in FX Cash and Cash Fixed Income) Colina: this is an AB account, so Billy is not familiar. Xavi can perhaps provide some more color here... - This with Rodrigo, not Billy. Thank you Nina Ton... From: Davide-A Sferrazza Sent: Thursday, March 15, 2018 7:32 PM To: Nina Tona ; Xavier Avila Cc: Joshua Shosha • ; Alastair Mackinlay ca; Martin Zeman ; Billy Obregon ; Ian Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List (Ij Classification: For Internal use only Nina, I discussed Billy's accounts with him this afternoon. Feedback was as follows: Armory: client is coming to NY for meeting on 3/23, so it would be great to have a list of KYC update requirements by then. From your email below it looks like this was already started, so does that mean we have the list? Or do we need Rita to provide still? Monex: low priority, client is more focused on Niscaly account opening Niscaly is in process of opening WM Pershing account, but is also set up in GM (inactive onboardings in FX Cash and Cash Fixed Income) Colina: this is an AB account, so Billy is not familiar. Xavi can perhaps provide some more color here... Let's discuss tomorrow when we have a chance so we can fill in the blanks on the spreadsheet — thanks! Regards, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052737 CONFIDENTIAL SONY GM_00198921 EFTA01362965