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

hey. Can you please sanity check to confirm it is correct and advise of any missing items. Nina — can you help fill in the blanks — KYC / ADL Liam/Davide — can vet the client list and IWP packages. I will arrange a meeting tomorrow to discuss. Ian From: Ian Salters Sent: Thursday, June 20, 2019 10:

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

From: faf -- Salters ] Sent: 3/1/2019 2:49:37 PM To: Davide-A Sferrazza ; Daniel-E Kaiser Alan Brody Subject: FW: OTC Derivative trading with CIB Attachments: OTC Derivatives Project WM Client list 03.01.

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 Salters Sent: Friday, March 01, 2019 2:27 PM To: Ol