EFTA Document EFTA01355938

WM Americas 345 Park Avenue, 10154-0004 New York, NY, USA # Po sit i ve I m pact From: Nina Tona Sent: Thursday, June 20, 2019 11:29 AM To: Jamaal Bushara Cc: Padam Chainan ; Ian Salters Subject: RE: Cases for this Week - 6/21 (I) Classification: For Internal use only Hi Team, >; Joseph Harlesto Ellenoi larvi Ana Hunter 1>; Oliver Esslingen Please see the updated list. Ellenoi added the 4 clients. Kindly review and advise what is required to remediate, please ensure Red Okas is worked on first. Pending with COB Client Name KYC Type Status Action COB Due Date Responsible 134 West 58th Realty Remediation COB IT issue Jamaal 06/19/2019 LLC 125 Washington Remediation COB IT issue Joe 6/14/2019 Dobson CC Limited Remediation COB With G KYC Checker Jamaal 6/21/2019 Partnership Red Oak Investment Remediation COB Provide remediation list Jamaal 6/28/2019 Fund (High Priority) Howard Lepow Remediation COB Provide remediation list Joe 6/28/2019 1149 Gower Street Remediation COB Provide remediation list Jamaal 6/28/2019 Hollywood LLC Fifth Avenue South Remediation COB Provide remediation list Joe 6/28/2019 Pending with Business Client Name KYC Type Status Extension Extension Remediation Dakota Pacific Global Macro Fund LLC Staple Street Global Daniel and Suzzan Cohen DA Brazil DA Venezuela Ultralat Capital Markets Anschutz Investment Company NCA NCA Refresh Extension Client to provide clarification to AFC question With business to obtain from client Tax issue, MIFID opt-out With business to obtain from client With business to obtain from client With business to obtain from client With business to provide required info CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0041261 SDNY_GM_00187445 EFTA01355938