EFTA01399693.pdf

WM Onboarding Division KYC Type Client Name Product/Account Type Priority Date Started Age COB Contact/ Rel Cor COB Status Pending With IWP Contact Banker Issues/Comments Outstandin EFTA01399693 EFTA01399694 Stewart 0 dfield KYC is with the banker, needs to confirm no involvement with Epstein. unicode ms,Regular"For internal use only EFTA01399695 CIB Onboarding Division KYC Type Client Name dbCAR ID/- Account Product/Account Type Priority Date Started Age COB Contact/Rel Cor COB Status Pending With IWP Contact Banker Issues/Comments Outstanding Global Markets Remediation Inversiones Alabama Limitada 1016136898 N/A High 1/12/2017 764 Tiele Aldridge In Progress Client;AFC Martin Zeman 1. Awaiting updated W8 from client. 2. Provided name clarification to AFC, pending final approval from AFC. Global Markets Remediation Seminole Capital Partners, L.P 1000078557 N/A High 12/24/2018 53 Andrea Sandven On Hold Client Joshua Shoshan Gregory .7 Kiesel Pending with G.K as of 1.16.19 client has not responded Global Markets Remediation Cantillon Capital Management LLC 1000024165 N/A Low 12/24/2018 51 Jamaal Bushara On Hold Joshua Shoshan Gregory J Kiesel Pending with G.K Global Markets Remediation Deprince, Race & Zollo 1000050019 N/ A High 12/24/2018 51 Jamaal Bushara On Hold Client Martin Zeman Gregory J Kiesel Pending with G.K as of 1.16.19 client has not responded Global Markets NCA Bass Brothers Taylor & Company N/A N/A Low 12/24/2018 51 Yasmeen Alim On Hold IWP Joshua Shoshan Gregory J Kiesel Pending wit business to provide BSF from Global Markets NCA Salient Partners N/A N/A Low 12/24/2018 51 Yasmeen Alim On Hold COB Joshua Shoshan Gregory J Kiesel Pending with G.K Global Markets Remediation Sheffield Asset Management 1000077095 N/A Low 12/24/2018 45 Andrea Sandven On Hold Client Joshua Shoshan Gregory J Kiesel On hold until further conversation with client Global Markets Remediation Simco Investment Management 1001146566 N/A Low 12/24/2018 45 Yasmeen Alim In Progress COB Alan Brody (Pascal - underlying principal) ACO has approved Global Markets NCA Jeffrey D. Murray Tst N/A GED Medium 1/11/2019 35 Erik Lutkus In Progress Client;IWP Joshua Shoshan Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19 Global Markets NCA Laura A. Murray Tst N/A GED Medium 1/11/2019 35 Erik Lutkus In Progress Client;IWP Joshua Shoshan Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19 Global Markets NCA Katelyn J. Murray Tst N/A GED Medium 1/11/2019 35 Erik Lutkus In Progress Client;IWP Joshua Shoshan Client provided docs however some were incomplete. IWP to sent back to client for completion 2.14.19 Global Markets Refresh;Extension Equity Investments LP 1009171312 OTC Rates Medium 1/16/2019 29 Andrea Sandven In Progress Client Alan Brody Pending with client Global Markets NCA Fox Growth Fund Inc. N/A FX Medium EFTA01399696 2/1/2019 13 In Progress Client Martin Zeman Roberto Teofilo NCA list sent to client, waiting on client to respond 2.01.2019 - Liam spoke to them 2.12.19 - they should send by end of week Global Markets NCA DA Brazil (Fund) N/A Fixed Income Low 2/1/2019 12 Not Yet Started COB Alan Brody Terri Sohrab Need list from COB. DA Capital LLC=IM Global Markets NCA Black Maple Capital Partners N/A Fixed Income High 2/8/2019 7 Jamaal Bushara In Progress Client Alan Brody List of NCA requirements have been sent to client 2.8.2019, awaiting client response Global Markets Remediation Lyn rock Lake 1016083002 N/A High 2/13/2019 2 Jamaal Bushara In Progress IWP Alan Brody Gregory J Kiesel COB sent list of requirements 2.15.2019. IWP reviewing prior to sending to client Global Markets Refresh;Extension DA Capital LLC 1000851282 Fixed Income High 2/13/2019 2 In Progress Client;IWP Alan Brody Terri Sohrab COB sent list of requirements 2.15.2019. IWP reviewing prior to sending with client. Global Markets Refresh;Extension Staple Street Global Opportunities (Master) L.P 1007957018 Possibly - Credit Derivatives, FX rates High 2/13/2019 2 Not Yet Started COB Alan Brody Terri Sohrab Need list from COB. Sent ask 2.13.19. Need to specify extension product, but just refresh for now. DA Capital LLC=Investment Manager Global Markets Remediation W De Argentina Inversiones S.A 1007979444 N/A High 2/13/2019 2 Not Yet Started COB Billy Obregon Need to remediate. Need list from COB. Sent ask 2.13.19 Global Markets Extension Petrus Yield Opportunity Fund 1003934890 Fixed Income Low 2/15/2019 0 Andrea Sandven On Hold IWP Alan Brody Loans was fixed. Low priority for Alan, on hold for now Global Markets NCA DA Venezuela (Fund) N/A Fixed Income Low 2/15/2019 0 Not Yet Started COB Alan Brody Terri Sohrab DA Capital LLC=IM unicode ms,Regular"For internal use only EFTA01399697