EFTA Document EFTA01390384

Current Classification: (click here for help) Internal KCP Exceptions [I] Amy Horak Zbynek Kozelsky cc SBOM, Zia Memon Classification: For internal use only 11103/2014 12:41 PM After our review with Zia last week,apse_note-the-exceptions below. I also spoke to Dawn, and if there is any issue that isn't abbe —ad-dressed, New Accounts wircame- k to us to further review. Sou em Financial: BSO Exception granted to accept agreement on file for 025080 to its rror acct n4 -026161 (3/28/13 version signed 7/2/13 - just never sent to new accts) P mary account: N4G-025080 - coded and processed correctly. No issues there. NC opened o econdary account, N4G-026161 - this account is missing client agreement. this client has about $150MM in N4G accounts at this point under various entities) Secondary N4Q026161_Cleint Agreement_W9.pdf J.-Epstein-Virginisland Foundation: -BSO Ereeption granted to accept agreement attached below (3/28/13 version signed 9/13/13, never sent up to new accounts) N4G-024950, account opened 09/24/2013. I t JE Foundation Acct. Agmt. 9.30.14.pdf And we agreed to this (emails complete email is below) "Per our review and conversation earlier today, please note BSO Exceptions granted to accept older account agreements provided that Updated W9s are on file for any accounts opened 7/1/14 or la_ter and Cash Sweep Letter is obtained for any Accounts opened 3/1/14 or later." With that I would like to add three more accounts to that - is that possible? Yadegar, N4G-016626: BSO Exception granted to accept agreement attached below For ACCT AGREEMENT PURPOSES ONLY - not W-9, as that is not required at this time (3/19/14 version signed 7/16/14,) - Account opened: 12/14/2011, CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0094875 SDNY_GM_00241059 CONFIDENTIAL EFTA01390384