EFTA01379307.pdf

From: Daniel ) Sent: 11/8/2018 3:56:15 PM To: Stewart 0ldfield CC: Andrew Gallivan ; Ashok Eastman I I Subject: Account Planning for 2019 111 Attachments: NY_Stewart Oldfield.xlsx Classification: For internal use only Elizabeth Good Afternoon, As discussed at Patrick's senior banker meeting on Tuesday, we will be starting the account planning meetings for 2019 in late 2018. The aim is to focus only on the clients and prospects with the greatest opportunities for incremental revenue and NNA growth. We are also limiting the number of relationships to review to 5-8 per banking team and also limiting the number of people in the meeting. We will look to you for guidance on invitees, including product specialists, partners, and even other bankers. To assist in choosing the accounts to review, attached is a list of your clients and protected prospects, along with information detailing the breakout of investments and liabilities'. On this list, we have highlighted some potential opportunities within the client and prospect set. For instance, we have highlighted whether an account: 1) Is a current client or protected prospect (Column E) — please also feel free to choose prospects outside this list if more relevant 2) Is KCP eligible, adopted or a KCP client (Column F) — particular focus being on clients who are KCP eligible but do not currently transact KCP business with us 3) Relies on one product for >90% of revenue or CBV (Column G) 4) Has a CBV <5% of client total net worth potentially indicating additional assets held away (Column H) These categories are intended to be useful indicators on which accounts are best positioned for growth, however this exercise will entirely defer to your judgment. We would ask however, that between now and Tuesday November 13 you confirm the accounts you want to plan with Andrew. For these chosen accounts, the SCM team will provide a planning template for you to outline the basic background and opportunities or challenges as you see them for the participants of the meeting — this is not intended to take significant amounts of time to complete. By Friday Nov 16th we want to all bankers and market heads in agreement on the final account lists (5-8 per team) for planning sessions and with the planning templates completed for each account. Starting Nov 261h , as schedules allow we would plan sessions of 90-120 minutes per banker. We will work in the interim to set-up session times in advance. Your flexibility with this would be greatly appreciated. Clearly we need to work around your other priorities, such as MTA's and year-end responsibilities including KYCs, tax planning, etc. and we will do our best to be as accommodative as possible! Please let the SCM team know if you have questions or concerns. *Please note that for any clients reassigned to you from departing bankers in 2018, we have included full year revenues given this is a planning exercise for 2019. Consequently, the revenue totals may not sum exactly to your LUNA totals given they include revenue still assigned to the leaver in GM1S. This view does not include any revenues booked outside of the US. Kind regards, Daniel Eisenberg Daniel Eisenberg, CFP®, CIMA® CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0076653 CONFIDENTIAL SDNY_GM_00222837 EFTA01379307