EFTA01356560

For new / amended controls pomade related: CokerogetOPs EEAOstonemdoo Excerpt from coverage KOPs (Page 40 — MIFID II8 EEA section. pages 148-150 Cross border EEA section). Excerpt from KYC KOPs (EEA Customer Identification) 61 Ctelcerersdoct 1. Policy r KOP other relevant proof= documentation and approval evidence" 2. For F3: F4 hmfings and obliglitOfYS 4150 prowde steer:rent samples to Justly operating effectiveness as per the sample size aligned 10 the control frequency in appendix 2 (note the optional sample size reduction for fincangs v*dahon) For new SyStOM / system changes Fro vide evidence that the release has been approved by the relevant SMEs and, where expected for material changes. also sketch the final ERG &fill Wallace of approval by the relevant SMEs For internal use only Page 8 or 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042467 CONFIDENTIAL SDNY_GM_00188651 EFTA01356560