EFTA Document EFTA01356228

Ian Salters Subject: RE: Cases for this Week - 6/21 III Classification: For internal use only Hi Team, ; Oliver Esslinge 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 Remediation COB IT issue Jamaal 06/19/2019 Remediation COB IT issue Joe 6/14/2019 Remediation COB With G KYC Checker Jamaal 6/21/2019 Remediation COB Provide remediation list Jamaal 6/28/2019 (High Priority) Remediation COB Provide remediation list Joe 6/28/2019 Remediation COB Provide remediation list Jamaal 6/28/2019 Remediation COB Provide remediation list Joe 6/28/2019 Pending with Business Client Name KYC Type Status Extension Extension Remediation NCA NCA Refresh Extension NCA NCA NCA Remediation Remediation Remediation Thank you Client to provide clarification to AFC question With business to obtain from client Tax issue, KIIFID 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 Pending with business Pending with business With business to obtain from client With business to obtain from client. Client on vacation With business to provide list of requirements Pending with business CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00188159 DB-SDNY-0041975 EFTA01356228