EFTA Document EFTA01384394

I just discussed the next steps with Derek (cc). Would you please be so kind and indicate the date when you would need this KYCs to be completed? (e.g. asap / 1-2 weeks / other). Based on your indication, we will assign the case to adequate analyst to push it through. Also, I have forwarded your mail to Chris Klug. He should be able to provide us with the required information within a short timeframe. Kind regards, Maximilian From: Stewart Oldfield Sent: Thursday, Februa 07, 2019 4:37 PM To: Maximilian Taut < Cc: Emily Craig < >; Corinna-A Reibchen Natalie Barak < Subject: RE: MR / LR remediation - your portfolio (I] Classification: For internal use only Maximilian, I need to open a new account for Echelon Investment Partners in the next few weeks. Echelon and Falcon Trail Capital (both under the SK family office relationship) are due for KYC remediation in July. So, as part of the new onboarding, we will make sure we get whatever info you need to remediate those two accounts. Please have a look and let me know what we need to get so I start the process. Thanks From: Maximilian Taut Sent: Thursday, Janua 24, 2019 12:45 PM To: Stewart Oldfield < Cc: Bradley Gillin < >; Emily Craig Reibchen <corinna-axeibchen2db.com> Subject: RE: MR / LR remediation - your portfolio Dear Stewart, >; Corinna-A My name is Maximilian, I work closely with Corinna Reibchen and Dian Stoianov from passcon. I just wanted to follow up with you quickly regarding the LR/MR remediation project. We've updated your portfolio with the client status and due dates (please see attached). Please note that the clients in green have been approved, while those in yellow have been set to Pending Exclusion due to account closure/client exiting as indicated previously. I'd like to see if we can set up another call to discuss the rest of your clients with particular emphasis on if any more are closing or being exiting and your client outreach preferences. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0084546 CONFIDENTIAL SDNY_GM_00230730 EFTA01384394