EFTA Document EFTA01356277

Vaishali From: Adrienne Bull Sent: Monday, September 11, 2017 8:43 AM To: Andrew Gallivan < >; Patrick Harris < Cc: Vaishali-P Mehta Rodrigo Quintero < Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's Hi Vaishali Can you please send the list of moderate risk trust accounts to Andrew. Kind regards Adrienne Original Message From: Andrew Gallivan Sent: Monday, September 11, 2017 07:35 AM Eastern Standard Time To: Adrienne Bull; Patrick Harris Cc: Vaishali-P Mehta; Rodrigo Quintero Subject: RE: What are you presenting to the Risk committee Monday on high risk KYC's [I] Classification: For Internal use only Send me the full list and we can pull the DB Trusts From: Adrienne Bull Sent: Friday, September 08, 2017 5:49 PM To: Patrick Harris; Andrew Gallivan Cc: Vaishali-P Mehta; Rodrigo Quintero Subject: RE: What are you presenting to the Risk committee Monday on high risk KYCs [I] Hi Pat — Regarding your request below, I met with Vaishali and understand the following: Although trust accounts are able to be identified, there is no way to identify those that are DB-administered. The current list of trust accounts (moderate risk) is 392. Of Note: There is a flag in DB Force that allows a user to check if the trust is DB administered but it is not always populated when applicable. i.e., running a report using the DB administered flag would not produce an accurate list of DB Administered Trusts. Based on the above, please advise if you would like to list of Trust Clients (392 Clients) Kind Regards Adrienne CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042065 CONFIDENTIAL SDNY_GM_00188249 EFTA01356277