EFTA Document EFTA01373567

Kind Regards Adrienne From: Sheffali Welch Sent: Friday, June 08, 2018 4:16 PM To: Adrienne Bull Oliver Esslinger Emily Craig •,1a; Melisa Venegas • IIMIa Daphne Cales Cc: Wayne Salit < Subject: RE: Fabrizio/Jan KYC update Monday [C] Classification: Confidential Thank you. A couple quick comments and questions we should prep for. Slide 2: Wayne - you (or we) will get asked about the 1 in AFCs queue from Feb. Not sure which one this is, but if there is any chance of reviewing it (and approving it!) before the call Monday it would be great to say Jan and Feb are 100% done. AB: Last Submitted on April 2m. There is a note in the case stating : Waiting on more information from the Global Team. KYC Case # 1904641 - CAPUTO, JORGE ANTONIO RELATIONSHIP If we are only 10% approved in June and we're nearly half way through the month (by June le), when do we think we'll be done with Q2? AB: Daphne can you speak with Nick and Vinita on this and revert back Slide 3: None of these should be reporting as overdue, since they are not due yet. AB: Correct. Updated There is a spike in August of 148 cases. We will need to explain this. Is this because a lot of customers are • associated with one relationship, for example? How do we get ahead of this, e.g. if there are only 46 left to complete in July, do we think we could accelerate some of the August cases forward? AB: Customers within 45 different relationships are due. 5 of those relationships represent approx. 50% of the customers due. See list of relationships below. The case manager teams will start to work on these ASAP as they get through the July volumes (some have already been started). I will Base with Daphne / allocation of Case managers to bankers will be adjusted as needed to get through the volumes SOUTHERN FINANCIAL RELATIONSHIP 20 PRINCIPALS OF AQUILINE RELATIONSHIP 17 GOLDENTREE RELATIONSHIP IS SILLERMAN, ROBERT FX RELATIONSHIP 14 BENENSON, EDWARD H RELATIONSHIP 10 Slide 4: HR Status — numbers don't make sense, please review. If there were 258 due and 247 approved how are 59 overdue? AB: Inadvertently had an incorrect figure for approvals: Total due is 258. Approved is 199 and 59 overdue. Updated Slide The second main bullet seems to be missing something. Does this mean 23 are pending documentation or research? - For the 30 in rejected status, 23 are pending client documentation, research 7 ore pending with the RM/ Case Manager . / Banker. AB: Client documentation or Research — updated to add or CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067819 CONFIDENTIAL SDNY_GM_00214003 EFTA01373567