EFTA Document EFTA01409001

Subject: RE: Missed conversation with Matthew-3 Purcell From: Cynthia Rodriguez ffi > Date: Fri, 16 Mar 2018 16:07:09 -0400 To: Matthew-3 Purcell ffi Yesterday's issue was for Jefferies SBI Fund GP LP I believe. They have so many similarly named accounts. Lina was reviewing the case and might know the complete name. I am currently out of the office. Sent with BlackBerry Work (www.blackberry.com) From: Matthew-J Purcell ffi > Date: Friday, Mar 16, 2018, 4:05 PM To: Cynthia Rodriguez ffi > Subject: RE: Missed conversation with Matthew-J Purcell do you remember the client by any chance? KYC number? I will search for it Matthew Purcell Assistant Vice President I AML Compliance Deutsche Bank 60 Wall Street, 10005-2836 New York, NY, USA Tel. Email From: Cynthia Rodriguez Sent: Friday, March 16, 2018 4:04 PM To: Matthew-3 Purcell Subject: RE: Missed conversation with Matthew-3 Purcell Hi Matthew, EFTA01409001 It should be attached in the recently approved case. Since this case was submitted for review prior to the certificate expiring, would you please accept it or provide an alternative item that will be accepted? Our client will close this account if we go back to request an updated one. We just dealt with this yesterday on one of their other accounts. Yoonsun was very helpful. Sent with BlackBerry Work (www.blackberry.com) From: Matthew-J Purcell < IMI > Date: Friday, Mar 16, 2018, 3:41 PM Purcell Cynthia Rodriguez Subject: Missed conversation with Matthew-J Purcell Matthew-J Purcell 9:01 AM: Hello Cynthia Cynthia Rodriguez 9:01 AM: hello matthew Matthew-J Purcell 9:01 AM: How are you? EFTA01409002 Cynthia Rodriguez 9:01 AM: lol good and you?> Matthew-J Purcell 9:01 AM: I am working on KYC 1850140 good. By any chance do you have the escalation email and clearance to Rep Risk Kimberly Hart Matthew-J Purcell 9:08 AM: I can send it back and you can upload it when they come back if you dont have it Cynthia Rodriguez 9:10 AM: sorry was on a call one sec yesss i have the rep risk approvallll EFTA01409003 ill send it over now they agreed to continue the relationship but make him high risk going forward to monitor him Cynthia Rodriguez 9:19 AM: im hoping it just gets approved causeeeeee my last day at the firm is 3/21 (u) Matthew-J Purcell 9:21 AM: Congrats to you! and sad to hear because you're very good Cynthia Rodriguez 9:22 AM: thank youuuuu\ It's a really good opportunity and in the compliance field so even better EFTA01409004 Matthew-J Purcell 9:22 AM: that's a good field to be in Cynthia Rodriguez 9:24 AM: it certainly is....especially when they've beat me to a pulp with kycs here hahahaha Matthew-J Purcell 9:24 AM: :D:D:D Matthew-J Purcell 10:45 AM: just to confirm the rep risk approval was obtained on 03/07/2018? Cynthia Rodriguez 10:45 AM: yupp Matthew-J Purcell 10:45 AM: thank you Matthew-J Purcell 10:50 AM: approved EFTA01409005 Cynthia Rodriguez 12:22 PM: resubmitted guardian for you let me know if i missed anything Matthew-J Purcell 9:03 AM: hey Cynthia Rodriguez 9:56 AM: heyyy Matthew-J Purcell 1:20 PM: Hey sorry to bother you but the TIN # for The Caterpillar Trust 2017 is an individuals can you provide me with the correct TIN and i will update it right away Cynthia Rodriguez 1:26 PM: 26-6639711 Matthew-J Purcell 3:39 PM: EFTA01409006 hey can you provide me with the certificate of good standing for ING Barings Global Leveraged Equity Plan Ltd. EFTA01409007