EFTA Document EFTA01362607

Cc: Oliver Bettin < >; Christopher Whyton < >; Max Kleinert Subject: RE: Family Office Initiative - Follow Up [Ij [SC) ; Victoria Bruce < >; Katherine Stead Classification: Strictly Confidential This is the current list with the actions we have been working with post discussions with Aziz's team. Best, Tanu L Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. + - Mobil Ema ^WM ercury on my From: lain Macara Sent: 17 September 2018 14:55 To: Tanushree Kirti < >: Clifford Fourie Cc: Oliver Bettin < >; Christopher Whyton Max Kleinert Subject: RE: Family Office Initiative - Follow Up [Ij Victoria Bruce ; Katherine Stead OK — maybe I'm mistaken but the only list I remember seeing was a mix of various hierarchies etc so we'd need CRDS IDs/legal names before this goes to our management. Apologies if we already have this. From: Tanushree Kirti Sent: 17 September 2018 14:41 To: lain Macara < >; Clifford Fourie < Cc: Oliver Bettin < >; Christopher Wh Max Kleinert < Subject: RE: Family Office Initiative - Follow Up [Ij Classification: For Internal use only lain, >; Victoria Bruce < >; Katherine Stead The list remains the same as we shared with you. As discussed, we agreed to take it back to Aziz and team to confirm how we could globally turn the Red and Ambers to Green with the relevant WM ACOs approval. That piece of activity is complete for WM EMEA but pending for WM US due to competing remediation activity being done by WM to support CIB remediation for June 52k offboards. I will share the final one with you as soon as the WM US KCP actions with Aziz's team is complete. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052101 CONFIDENTIAL SONY GM_001013285 EFTA01362607