EFTA Document EFTA01406079

Subject: Update : Case mans ement on High Risk accounts [I] From: Terri Sohrab Date: Thu, 23 Aug 2018 15:03:16 -0400 To: Thomas Klemm Cc: Daphne Cales Emily Craig Bradley Gillin Richard Iarossi Vinita Advani Bcc: Thomas, Below please find an update on the pending high risk completions. My recommendation to process more quickly through the cases would be to request the following two exceptions from Compliance/KYC: Certificate of Good Standing - COGS should be required every 12-15 m