EFTA Document EFTA01385621

From: Sent: To: Subject: Attachments: Adrienne Bull ] field 11/29/2017 5:38 Stewart 0ld.1 KYC - List of Customers for 2018 pi Stewart Oldfield.xlsx Classification: For Internal Use only Hi Stewart — As year-end 2017 is approaching, given the performance of KYCs is an on-going / continual process, for reference please see the attached for a list of customers requiring KYC in 2018. It is understood that you may still be working on the completion of KYCs for 2017 (all of your hard work and diligence is appreciated). Included in the attached are due dates (column N) in which the KYC needs to be submitted for approval; these due dates should be used as opposed to what is currently in DBForce until further notice. As part of the KYC Program, WM is in the process of implementing a target operating model to assist in supporting the on-going performance of KYCs for our customers in line with DB KYC Policy. The target operating model will include the use of a workflow tool and due dates will be updated in the system in-line with the data in the attached. Please note that there may be instances where a customer appears on the report that you have identified for closure. This is due to timing differences between when the report was created and when the client and / or account was identified for closure. Kind Regards CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0086922 CONFIDENTIAL SDNY_GM_00233106 EFTA01385621