EFTA Document EFTA01362606

I met Paul Maley last week and he suggested that if we send the name of our ACO, the status of our KYC And the CRDS LE reference to Aziz Anwar, he would be able to change the red to green in GM systems. I'm not sure if it is this simple but we really need the changes to be made asap. Max will reach out to you as we have a meeting with GM in the next week or two and I want to make sure they have all the necessary information from our side. Thanks, Vicky Vicky Bruce Managing Director I Global COO KCP and CFP Wealth Management 70 Victoria Street. SW1E 6SO London. United Kingdom From: Tanushree Kirti Sent: 11 October 2018 08:43 To: Victoria Bruce Subject: FW: Family Office Initiative - Follow Up (I( (SC) Classification: Silicify Confidential FYI — as background to yesterday's conversation, attached is the list of clients shared with lain Macara and team for the exceptional approval to ensure 'Green' status in downstream trading systems. I have chased KCP US regarding their action. Nina Tona said she will provide Xavier Avila's approval from KCP US cases that are Red in GM but can be turned Green globally in CIB with WM ACO approval. Best, Tanu Tanu Kirti Director WM Mercury Implementation Programme Manager From: Tanushree Kirti Sent: 17 September 2018 15:15 To: lain Macara ; Clifford Fourie CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052100 CONFIDENTIAL SDNY_GM_00198284 EFTA01362606