EFTA Document EFTA01417077

Subject: RE: Jeffries KYC Items [I] From: Vijay-A Sawant Date: Thu, 04 Oct To: Richard Iaross Cc: Bradley Gillin Vinita Advan Daphne Cales Hello Rich/Brad, Many thanks for arranging all the docs. Upon initial review, following is our assessment - All revised Fincen Forms and AML Questionnaire's provided require signature verification from yourselves. Additionally section b of ALL Fincen form require to contain "Type of Entity". Kindly have this updated on all Fincen forms provided.