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sd-10-EFTA01358425Dept. of JusticeOther

EFTA Document EFTA01358425

Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed heroin are provided for discussion purposes only, and strictly on a non-advisor; basis The KCP Americas desk does not provide investment advice. The Information set font herein is confidential and personal to you and is being presented for your information and for discussion purposes only Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our

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Dept. of Justice
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sd-10-EFTA01358425
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Summary

Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed heroin are provided for discussion purposes only, and strictly on a non-advisor; basis The KCP Americas desk does not provide investment advice. The Information set font herein is confidential and personal to you and is being presented for your information and for discussion purposes only Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our

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EFTA Disclosure
Text extracted via OCR from the original document. May contain errors from the scanning process.
Key Client Partners (KCP) products, investment ideas and solutions and related matters discussed heroin are provided for discussion purposes only, and strictly on a non-advisor; basis The KCP Americas desk does not provide investment advice. The Information set font herein is confidential and personal to you and is being presented for your information and for discussion purposes only Any reproduction and/or redistribution thereof (in whole or in part) or disclosure of its content without our written consent is strictly forbidden. This communication does not create any leggy binding obligation on the part of DBSI or any of its affiliates. From: Nina Tona Sent: Tuesday, March 13, 2018 2:00 PM To: Xavier Avila ; Davide-A Sferrazza Tazia Smith Cc: Martin Zeman Ian Salters < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List III ; Alastair Mackinlay Joshua Shoshan a; Billy Obregon Classification: For internal use only Tazia, We are putting together our KYC/NCA priorities list for our GM accounts. Please let me know if we are missing anything from you perspective. Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 1:55 PM To: Nina Tona ; Davide-A Sferrazza ; Alastair Mackinlay Cc: Martin Zeman Joshua Shoshan Billy Obregon >; Ian Salters u tect: : le - Action Plan - Update I KYC Priority List III This is good, below my changes... Let's make sure we collate everyone's priorities....someone reach out to Tazia and co too to see if anything we are missing. From: Nina Tona Sent: Tuesday, March 13, 2018 1:16 PM To: Xavier Avila ; Davide-A Sferrazza a Alastair Mackinlay Cc: Martin Zeman < Joshua Shoshan •: .; Billy Obregon Su • ect: RE: GM KCP Bi ile - Action Plan - Update I KYC Priority List ill Hi Team. Please see the below and advise if the rank priority is correct and help me fill the blanks highlighted in green. Once I get your confirmation, i will forward to Mat and Rita to manage. Priority Team WM Client / Rank Account Name Obcar ID New KYC Review KYC Date Responsible Responsible -For -For Info/Doa Contact/CM KYC Case Target Live Manager Due Trades Date CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0046112 SDNY_GM_00192296 EFTA01358425

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