EFTA Document EFTA01362648

From: Ian Salters Sent: 10/30/2018 10:29:18 AM To: Davide-A Sferrazza I I; Nina Tona Subject: FW: Family Office Initiative - Follow Up [I] [SC] [C) Attachments: WM clients_ICG coverage 31JuIy2018 - CIB update_KCP US Comments.xlsx; image003.gif; image004.gif; image005.gif; image006.gif Classification: Confidential Can we tidy this up asap Thanks ian From: Tanushree Kirti Sent: Tuesday, October 30, 2018 10:17 AM To: Davide-A Sferrazza < >; Nina Tona < Cc: Max Kleinert < >; Ian Salters < >; Victoria Bruce < Subject: RE: Family Office Initiative - Follow Up [IJ [SC) [C] Classification: Confidential Hi Davide and Nina, The spreadsheet provided from US KCP is confusing for CIB. I would really appreciate if this is structured for Aziz's team to take clear steps esp. when they had put specific actions per Red and Amber clients in column U of 'Combined with Field ID' tab. I have split the ask below but would want you to confirm and be mindful of being clear what we want CIB to do. Btw, a lot of Red and Amber clients on this 'Combined with Field ID' tab were on the June offboarding list and have been offboarded so the US KCP team were asked to make note of it — has this been done? 1) Existing Red and Amber clients that can be turned green either with ACO approval or confirmation from CDS team that KYC in CIB is up to date File WM Combined Approvals CROS ID Adoption UCLJEGALNAME ACO Tab BR CORP_GM_PRODUCT_COLOUR required Confirmation required from regional leads that KYC was completed to the required standard. Daniel NCA AVALON E KCP required if 1OOO039769 GB ADVISORS, LLC Kaiser US GM RED KYC has not CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052149 CONFIDENTIAL SDNY_GM_00198333 EFTA01362648