EFTA Document EFTA01372727

From: Sent: To: Subject: Attachments Stewart Oldfield 11/29/2017 6:37:12 PM Cynthia Rodriguez FW: KYC - List of Customers for 2018 [I] Stewart Oldfield.xlsx Classification: For Internal use only Doesn't look horrible. I'm seeing Eran for lunch Monday, so let me know what we will need to get from Adam. Thanks From: Adrienne Bull Sent: Wednesday, November 29 2017 5:39 PM To: Stewart Oldfield Subject: KYC - List of Customers for 2018 [II Classification: For Internal use only Hi Stewart - As year-end 2017 is approaching, given the performance of KYCs is an on-going / continual process, for reference please see the attached for a list of customers requiring KYC in 2018. It is understood that you may still be working on the completion of KYCs for 2017 (all of your hard work and diligence is appreciated). Included in the attached are due dates (column N) in which the KYC needs to be submitted for approval; these due dates should be used as opposed to what is currently in DBForce until further notice. As part of the KYC Program, WM is in the process of implementing a target operating model to assist in supporting the on-going performance of KYCs for our customers in line with DB KYC Policy. The target operating model will include the use of a workflow tool and due dates will be updated in the system in-line with the data in the attached. Please note that there may be instances where a customer appears on the report that you have identified for closure. This is due to timing differences between when the report was created and when the client and / or account was identified for closure. Kind Regards CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066569 CONFIDENTIAL SDNY_GM_00212753 EFTA01372727