EFTA Document EFTA01362832

From: Ian Salters Sent: 2/21/2019 6:16:42 PM To: Oavide-A Sferrazza Sill King Joe Agliona Subject: FW: Combined KYC list and priorities [I] Attachments: WM clients trading with GM - combined list 02.16.19.xlsb Olivier Poncet Have we reviewed the lists again to ensure we believe the information is correct also to reassess priorities (if needed). Ian Sent with BlackBerry Work (www.blackberry.com) From: Ian Salters < Date: Friday, FebFc I PR IMI M To: Olivier Poncet milimommilms., Bill King Cc: Alastair Mackinlay Nina Tona Subject: FW: Combined KYC list and priorities Ill Classification: For internal use only FYI From: Ian Salters Sent: Friday, February 15, 2019 5:31 PM To: Victoria Bru Cc: Subject: Combined KYC list and priorities Ill ; Thomas Klemm Davidc-A Sferrazza a Classification: For Internal use only I have just received an updated file from MAX and the results are a substantial improvement. They have rechecked every client in the dbCAR database and the results are as follows. Many of the names did not come up originally because they were off by a slash, comma, periods, spaces, and other characters. IWP Onboarded WM Onboarded = 43 (further 7 to be prioritized) = 53 (further 12 to be prioritized) I will have both businesses review the results. Regards Ian CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052452 CONFIDENTIAL SONY GM_00198636 EFTA01362832