Document Mentions (4 shared documents)

EFTA01358471

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Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List Ill >; Davide-A Sferrazza ; Ian Salters Nina, hi. Please add Kaiser and Somerston to the priority list. Thanks. I think I thought I sent it, but clearly these names did not make it to the list. Best regards, --Josh

00227124 No Josh S Nina T Mid April Yes Trz NB NC NB NB N8 17 KCP LATAM Monex Inversiones SA 1001261818 No Billy O Nina T Thank you Nina Tona From: Xavier Avila Sent: Tuesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan >; Davide-A Sferrazza ; Alastair Mackinlay ; Martin

EFTA01362592

2 mentions1 same-page

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regional leads that KYC was completed to the required standard. NCA required if KYC has not been done. ACO 1000039769 GB ADVISORS, LLC Kaiser US GM RED approval AVALON Daniel E KCP Confirmation required from regional leads that KYC was completed to the required 1000039769

From: Tanushree Kirti Sent: 10/30/2018 10:16:37 AM To: Davide-A Sferrazza Nina Tona CC: Max Kleinert ; Ian Salters ; Victoria Bruce Subject: RE: Family Office Initiative - Follow Up [I] [SC] [CI Attachments: WM clients_ICG cov

EFTA01362648

2 mentions1 same-page

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from regional leads that KYC was completed to the required standard. Daniel NCA AVALON E KCP required if 1OOO039769 GB ADVISORS, LLC Kaiser US GM RED KYC has not CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0052149 CONFIDENTIAL SDNY_GM_00198333 EFTA01362648

From: Ian Salters Sent: 10/30/2018 10:29:18 AM To: Davide-A Sferrazza I I; Nina Tona Subject: FW: Family Office Initiative - Follow Up [I] [SC] [C) Attachments: WM clients_ICG coverage 31JuIy2018 - CIB update_KCP US Comments.xlsx;