EFTA Document EFTA01429778

Subject: Weekly AFC-WM KYC review [I] From: Oliver Esslingen ‹ > Date: Thu, 12 Apr 2018 10:01:34 -0400 To: Derek St-Hilaire Adrienne Bull Janice Franklin Wayne Salit Daphne Cales Yoonsun Chung Nick Watkins Melisa Venegas Sheffali Welch Classification: For internal use only Agenda items: 1. Engagement and Collaboration — calls, on site visits) 2. MI Data exchange — status quo vs gap analysis (see back up) 3. Miscellaneous review of current set up (meetings, Back Up: * 2018 customers KYCs due Jan — Jun 2018 (178 had a due date in Q1) There was a Q1 commitment to have all high risk customers KYCs with a due date in 01 2018 to be submitted by March 31, 2018. The target was met (100% of the HR customers KYCs due Jan — March were submitted) KYC case details (rejected, in progress, pending AFC approval) EFTA01429778