EFTA Document EFTA01362559

Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 1:55 PM To: Nina Tona < >; Davide-A Sferrazza Cc: Martin Zeman >; Joshua Shoshan < >; Ian Salters < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List llj Alastair Mackinlay >; Billy Obregon This is good, below my changes... Let's make sure we collate everyone's priorities....someone reach out to Tazia and co too to see if anything we are missing. From: Nina Tona Sent: Tuesday, March 13, 2018 1:16 PM To: Xavier Avila ; Davide-A Sferrazza Cc: Martin Zeman >; Joshua Shoshan < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List DJ Hi Team, >; Alastair Mackinlay >; Billy Obregon Please see the below and advise if the rank priority is correct and help me fill the blanks highlighted in green. Once get your confirmation, I will forward to Mat and Rita to manage. Priority Rank Team KCP LATAM WM Client/ Account Name O3 Capital Global Fund obcar ID Responsible New KYC Review -for KYC Date Info/Docs Yes N/A Xavi A Responsible -For Contact/CM Nina T Case Manager Rita Shteynberg KYC Target Due Date ASAP Live Trades Yes 3/: ne pr< 2 ii pe 2 KCP US Southern Financial LLC Martin Z Nina T Zack Bunimovich ASAP Yes 3/: car asi ite WE be: Fel 3 KCP LATAM Tonelle Limited No Xavi A Nina T Rita Shteynberg ASAP Yes 4 KCP US Anschutz Investments Co Yes N/A Martin Z Nina T Aisha Khan ASAP Yes Lis rec pr< ser Ma CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0052030 SDNY_GM_00198214 EFTA01362559