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Wealth Management 5022 Gate Parkway. Suite 400 Jacksonville, Florida 32256 USA From: Sylvia Escobar Sent: Tuesday, November 27, 2018 5:38 PM To: Derek St-Hilaire Subject: EEA Client Notation in dbForce Janice Franklin Dear All, I hope you are doing well. Could you please confirm that your teams are follow

ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia CONFIDENTIAL - PURSUANT TO FED. R.

From: To: Derek St-Hilaire Subject: Date: Attachments: Hi Sylvia, Yes, I have facilitated training for ABR. Moreover, we have added this to our broader training framework

ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia *Sylvia Escobar Vice President D

From: To: Cc: Janice Franklin Sylvia Escobar Derek St-Hilaire Subject: Date: Attachments: RE: EEA Client Notation in dbForce Wednesday, November 28, 2018 9:20:43 AM image004.png image003.png Good morning

ll, I hope you are doing well. Could you please confirm that your teams are following the agreed steps to identify EEA clients in dbForce based on the Primary Decision Maker identified by the FO in the KYC? Also, have your KOPs being updated? Thanks for your support. Regards, Sylvia *Sylvia Escobar Vice President D