EFTA Document EFTA01358449

From: Sent: To: CC: Davide-A Sferrazza 2/26/2018 10:02:13 PM Nina Tona_Xavier Avila • Alastair Mackinlay Martin Zeman Joshua Shoshan Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update II [I) Attachments: Copy of KCP Americas Main GM KCP Client List.xlsx Classification: For internal use only Team, GTE and LEI status updated in columns H & I, respectively. Some interesting situations came up as I was looking in the Gil tool, so will have to explore those cases a bit more... Thanks, Davide From: Nina Tona Sent: Friday, February 23, 2018 3:34 PM To: Xavier Avila Davide-A Sferrazza ‹ ; Alastair Mackinlay Cc: Martin Zeman : Joshua Shoshan a; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update II [I] Classification: For Miami use only Hi All, Happy Friday! Just wanted to provide an update on the progress. Completed — Week of Feb 20th • Americas Tab - products/entities added • Live Trades — Spoke with Keith B — I gave him our list, he will advise which clients have live trades and the product • ISDA/CSA — Spoke with Sebastian — I gave his team our list — and they are checking if our clients have iSDA/CSAs on file and sending us the agreement. They have already send some, they should go through the whole list by early next week. Completed — Week of Feb 12th • dbCAR IDs confirmed • Added KYC Review Date —we need to review this and start KYC reviews • Latam Tab — products/entities added • Alex Brown. Tab • products/entities added • Revenues for WS 2017 added Pending • Good to Trade — Davide • Revenues — GM 2017/2018 and PIS 2018 • GM or Umbrella Account — Davide and Nina CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046187 CONFIDENTIAL SDNY_GM_00192371 EFTA01358449