EFTA Document EFTA01398843

Subject: Update on KYC HR 2018 From: Thomas Klemm ct > Date: Mon, 05 Nov 2018 09:42:03 -0500 To: Patrick Campio Susanne Sipek Michael S Jacoby=l>, Andrew Gallivan Steven Mattus Thomas Clarke Daniel-E Kaiser < > 1 Dana Ponzio Claudineia Federovsky Ana-M Guzman Ailsa Briede Mamie Holland Mariacriselda Loleng Lisa Latino a, Joyce Tsoi Ana, Felipe Godard < >, Donna Kerrigan Charlie Burrows Ashok Eastman >, George Crosby All, I will be sending the below standard emails to all bankers and copy you for your bankers where clients have either not reacted or bankers could not commit a date by when client information would be available. Cut off date is as communicated the 15 Nov. After that the exit letters will go out (draft attached). Entire list for transparency below. Standard email Dear XXX, First, let me thank you for your ongoing efforts to address our HR KYC challenge. Demonstrating our ability to protect the franchise and bring the Americas in line with all other WM regions is pivotal for our growth strategy. For the first time we have a line of sight to closing the year at zero HR overdues. Let me add that it requires AFC approval to count a HR file as completed. For the following clients of yours, the project team has been informed that the client will either not provide the relevant information by 15 November or did not commit to a due date. Given that the bank would not be in a position to continue business with those clients unless the KYC gets completed, those clients will receive an exit letter after 15 Nov (DBTCA draft attached). EFTA01398843 If the missing information will be provided in time, those names will of course be removed from the list. Otherwise a letter must be send. Please reach out to Emily Craig or Daphne Cales if information has / will be received and the file we be handed over to AFC in time. Please feel also free to contact me if need be. Kind regards, Thomas Thanks, T Reynaldo Figueredo Alfa Sca Risper S.A. Nirvana Capital International Limited ASA18J Inc. TAMAYO, CARLOS ENRIQUE Dinastia Sca Lotos Limited Fjc Sca Nuevo Mundo Sca Forum Capital Pte Ltd Roslyn Property Holdings LLC Frendall S.A. Tamayo, Ricardo High Grove Capital Management Ltd Los Chicos Sca Mauricio Pretelt Pan-am Investments GOL T.V. The Family Nekane Trust Moreno Echavarria, Alfonso Casal Fernandez, Francisco Temple Investments Limited Conor Holdings Limited Aeropost S.A. Inigo Momene Cardenal Solu Americas Inc. ROSANNA GARCIA MARTINEZ ST. PETESBURG TRADING INC. Diaz M de Troncoso, Astrid Elizabeth ROSANNA MARTINEZ DE ABRAHAM Global Seafood Capital Inc. EFTA01398844 SRE Capital LP Lawson Hills Limited ABCINQ LTD POTOMAC DEVELOPMENT INC Carlos Luna Tanama C.V. Remate (USA) INC Moreno, Joaquin Darina C.V. Remate Lince SAPI de CV Douna C.V. CRETACEUS INVESTMENT LIMITED Ickenham Properties C.V. Deirdre Judge A-Grade Holdings, LLC Yucaipa Hospitality Investments, LLC Sunset and Doheny Property, LLC A-Grade Management, LLC Yucaipa U.S. Hospitality Partners Holdings, Inc. Antelope Insurance Company, Inc. Lee Rutter Bridgeton 396 Broadway Investment Corp. Bridgeton Museum Parc, LLC Bridgeton 396 Broadway Property, LLC Kips Bay Property Corp. Bridgeton Museum Parc Investment Corp. Bridgeton Museum Parc Property, LLC Mark Westhoff Samstock/ZFT LLC EGI-CW Holdings LLC SZ Investments LLC Samstock LLC Samstock/SIT, LLC Malcolm Kimble Fertitta Entertainment, Inc. GNLC Holdings, Inc. Fertitta, Tilman Joanne Jensen Do it Again, LLC. NEW DIMENSIONS TRADING LTD HORIZONS CAYMAN TRADING LTD Shahin Ahdieh Dahlia ARR LLC Dawn Mist LLC Dahlia ARR Trust FBO Aziz Rahman Rasul Gabriel Micheletti LAIF Management (GP-GP) Ltd. Capex S.A. Pascal Land rove EFTA01398845 Cronus Limited Stewart Oldfield Gratitude America Ltd Sven-Otto Westphalen Defrak Integrated Services S.A. de C.V. Josie Alonso Besco Holdings Ltd Dessy Arteaga IEGT LTD Original Appointment From: Patrick Campion Sent: Dienstag, 10. Juli 2018 10:28 To: Patrick Campion; Thomas Klemm; Susanne Sipek; Lee Flutter; Michael S Jacoby; Andrew Gallivan; Steven Mattus; Thomas Clarke; Daniel-E Kaiser; Sheffali Welch; Dana Ponzio; Claudineia Federovsky; Ana-M Guzman; Ailsa Briede; Mamie Holland; Mariacriselda Loleng; Lisa Latino; Joyce Tsoi; Felipe Godard; Donna Kerrigan; Charlie Burrows; Ashok Eastman Subject: 16 EST - Weekly Senior Team Catch-up [I] When: Montag, 5. November 2018 16:00-16:45 (UTC-05:00) Eastern Time (US & Canada). Where: CR 2405 in NY / Dial-in Attached Classification: For internal use only Classification: For internal use only Patrick Campion's Virtual Meeting Room Details United States +1 973 631 2000 / +1 201 593 3794 Virtual Meeting Room number: 880884540438 Host Pin: 757893 Participant PIN: 499589 Internal Phone and VC Devices Virtual Meeting Room number: 880884540438 Desktop Video or External Video Virtual Meeting Room address: <mailto <mailto External Audio Participants: Choose country location below for dial in Then enter number 880884540438 Major Hubs: Australia +61 39 270 4173 EFTA01398846 China Germany Hong Kong India regulatory reasons) Singapore +86 21 2080 2601 +49 69 9104 8927 +85 22 203 7642 (In progress; delayed due to +65 6423 8443 United Kingdom +44 20 7541 0599 United States +1 973 631 2000 / +1 201 593 3794 Rest of the world: Austria: +43 15 1866 1138 Belgium +32 324 459 02 Canada +1 416 682 8029 Cayman Islands +1 345 914 5619 Channel Islands +44 15 3488 9059 France +33 1 44 95 59 85 Hungary +36 1301 3733 Indonesia +62 21 296 44012 Ireland +35 31 865 3753 Israel +972 3 710 2061 Italy +39 02 4024 4995 Japan +813 515 65112 Malaysia +60 3205 36760 Mauritius +230 402 0398 Mexico +52 55 5201 8564 Netherlands +31 20 5554 260 New Zealand +64 9 351 1673 Philippines +63 2 777 0597 Poland +48 22 526 8726 Portugal +351 2 1311 1370 Romania +40 31 222 4248 Russian Federation +7 495 933 9000 Saudi Arabia +966 11 273 9625 South Africa +27 11 775 7072 South Korea +82 2 316 2013 Spain +34 933 672 857 Sweden +46 8 463 5578 Taiwan +886 2 2192 4654 Thailand +66 2 646 5164 United Arab Emirates +971 4 361 1793 Vietnam +84 8 6299 8804 EFTA01398847