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sd-10-EFTA01365179Dept. of JusticeOther

EFTA Document EFTA01365179

From: Christopher Whyton Sent: 2/1/2017 8:38:14 AK/ To: Vahe Stepania CC: Isabel-A Gonzalez Subject: RE: Remediation 2015.2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients wi

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sd-10-EFTA01365179
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From: Christopher Whyton Sent: 2/1/2017 8:38:14 AK/ To: Vahe Stepania CC: Isabel-A Gonzalez Subject: RE: Remediation 2015.2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients wi

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From: Christopher Whyton Sent: 2/1/2017 8:38:14 AK/ To: Vahe Stepania CC: Isabel-A Gonzalez Subject: RE: Remediation 2015.2016_ ACO queries.xlsx Hi Vahe Hope you're well. I'm working on the ACO workstream in GM and have been made aware of the below client (in yellow) that is due for KYC remediation but doesn't have an ACO assigned. Are you able to propose an ACO? Isabel (cc'd) needs to feed the ACO name back to COB/outreach fairly urgently as the stance taken is that any clients without an ACO should be moved to the red list for offboarding. Thanks Chris From: Isabel-A Gonzalez Sent: 01 February 2017 11:51 To: Christopher Whyton Subject: RE: Remediation 2015-2016_ ACO queries.xlsx Hi Chris, I have done a bit of digging on this. As per below table, two of this names were indeed included in the Phase I of the Trading Outreach. The other 2 may have happen offline via lain. Please see below the details I have been able to extract: Trad rig Outreix Output I i YI I ) William Beaumont 1000040765 Hospital 1004688558 Proven Wealth limited Adrienne Coyle 1007406812 Southern Financial, SC Vahe 5tepanian 1008346243 Tradition SEE, Inc. Olivier Parente TCG My suggestions are: #1 - reach out to Anthony. He is very responsive #2 — reach out to ACO, and Bruce. #3 — reach out to Vahe #4— reach out to Matt. Thanks. Kind regards, Isabel. yes Yes Bruce Harkness, Alex Giannou Adrienne Coyle EM Olivier Pariente Matt Barnett Matt Barnett TCG (TCG) (TCG) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0055847 CONFIDENTIAL SDNY_GM_00202031 EFTA01365179

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