Epstein Secrets

t needs to be renewed (covered as part of the KYC remediation project); 3. For CIB clients we have an Agency Direction Letter on file so we avoid MIFID reporting requirements (covered as part of the above); 4. For all clients we either have an IWP Adoption Package or a FINRA 2111 letter on file fo

Subject: FW: Single client list [I] From: Ian Salters a> Date: Tue, 16 Jul 2019 09:00:53 -0400 To: Nina Tona Davide-A Sferrazza Liam Osullivan Cc: Ian Salters Classification: For internal use only

tz Investment Company NCA NCA Refresh Extension Client to provide clarification to AFC question With business to obtain from client Tax issue, MIFID opt-out With business to obtain from client With business to obtain from client With business to obtain from client With business to provide re

154-0004 New York, NY, USA # Po sit i ve I m pact From: Nina Tona Sent: Thursday, June 20, 2019 11:29 AM To: Jamaal Bushara Cc: Padam Chainan ; Ian Salters Subject: RE: Cases for this Week - 6/21 (I) Classification: For Internal use only Hi Team, >; Joseph Harlesto Ellenoi larvi Ana Hunter 1>; Oli

again it is clear that JAX inadvertently added the Umbrella accounts by mistake. After running the exercise again, this is where stand: KYC MIFO MIFID - breakdown Division Priority clients CIB Onboarded Remediate Per Se /Opt Up Remy:hate Organizations Individuals ISG 32 5 27 5 27 25

Fro nali s Sent: 3/1/2019 2:26:59 PM To: Oliver Esslin e Olivier Ponc Jeffrey Roth CC: Victoria Bruce I I; Ian Salters Subject: OTC Derivative trading with CIB Attachments: OTC Derivatives Project WM Client list 03.01.19.xlsx; deutsche-bank-ag—london-branch—terms-o

the Umbrella accounts by mistake. After running the exercise again, this is where stand: KYC Division Priority clients CIB Onboarded Remediate MIFID - breakdown Per Se IOPt Up I Remediate Organizations Individuals ISG 32 5 27 5 27 25 2 IWP 20 13 8 10 10 7 3 We had already engag

bank-ag--london-branch—terms-of-business-for- professional-clients-and-eligible-counterparties.pdf Classification: For Internal use only FYI From: Ian Salters Sent: Friday, March 01, 2019 2:27 PM To: Oliver Esslin er < >; Thomas Klemm < >; Kimberl Hart Puzant Merdinian < >• Steven Mattus < Olivier Po

clarification to AFC question Staple Street Global Extension With business to obtain from client Daniel and Suzzan Cohen Remediation Tax issue, MIFID opt-out DA Brazil NCA With business to obtain from client DA Venezuela NCA EFTA01398295 With business to obtain from client Ultralat Capital

u, 20 Jun 2019 13:52:20 -0400 To: Ellenoi Jarvis Jamaal Bushara Joseph Harlest Nina Tona Funda Bozkurt Cc: Padam Chainani Ana Hunter , L. `-- Ian Salters Paolo De-Leon Keith Buckholz Joseph Cothron Jennifer Hudson Classification: For internal use only Ellenoi/all: I amended managed exit tab — se

again it is clear that JAX inadvertently added the Umbrella accounts by mistake. After running the exercise again, this is where stand: KYC MIFD MIFID - breakdown EFTA01399684 Division Priority clients CIB Onboarded Remediate Per Se /Opt Up Remediate Organizations Individuals ISG 32 5

Subject: FW: OTC Derivative tradin with CIB [I] From: Ian Salters Date: Fri, 01 Mar 2019 14:49:37 -0500 To: Davide-A Sferrazza Daniel-E Kaiser Alan Brody Classification: For internal use only FYI From: Ian Sa