EFTA01362897.pdf

From: Nina Tona Sent: 3/13/2018 2:00:20 PM To: Xavier Avila Davide-A Sferrazza ; Alastair Mackinlay CC: Billy Obregon an Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [Ij Classification: For internal use only Hi Tazia, We are putting together our KYC/NCA priorities list for our GM accounts. Please let me know if we are missing anything from you perspective. Thank you Nina Tone From: Xavier Avila Sent: Tuesday, March 13, 2018 1:55 PM To: Nina Tona Davide-A Sferrazzzi Alastair Mackinlay Cc: Martin Zeman Joshua Shoshan Billy Obregon Ian Salters Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List Ill This is good, below my changes... Let's make sure we collate everyone's priorities.. someone reach out to Tazia and co too to see if anything we are missing. From: Nina Tona Sent: Tuesday, March 13 2018 1:16 PM To: Xavier Avila Davide-A Sferrazza Alastair Mackinlay Joshua Shoshan Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] Hi Team, Please see the below and advise if the rank priorily is correct and help me fill the blanks highlighted in green. Once I get your confirmation, i will forward to Mat and Rita to manage. KYC Responsible Responsible Priority WNI Client / New KYC Review Case Target live Team obcar ID For For Rank Account Name KYC Date Manager Due Trades Info/Dors Contact/CM Date 3/: ne KCP O3 Capital 1012934358 Yes prx LATAM Global Fund Rita 2 ii 1 N/A Xavi A Nina T Shteynberg ASAP Yes pe CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0052569 CONFIDENTIAL SDNY_GM_00198753 EFTA01362897