Epstein Secrets

Due to the suspension of the code delivery for interdivisional KYC attestation process, WM clients will be on boarded onto GM platforms directly. The business is required to outline the issues and remediate the risks attached. Absent of remediation puts the business at risk

NY, USA Tel. il Email Original Appointment From: Victoria Bruce Sent: Wednesday, February 13, 2019 3:16 PM To: Victoria Bruce; Funda Bozkurt; Thomas Klemm; Kimberly Hart; Puzant Merdinian; Steven Mattus; Olivier Poncet; Ian Salters; Andrea DeMar; Bill King; Jeffrey Roth Subject: FW: Client OTC derivat

pt Up process mapped out already (I have sent the information to cover this) 3. Remove the delta process as WM clients are being fully onboarded in GM 4. We will not be creating separate KOP's; 5. Brexit requirements: • Remediate KYC for WM & IWP clients to meet CIB standards • Resend new AD

To: Funda Bozkurt Cc: Thomas Klemm < >; Ian Salters < II> Subject: FW: Client OTC derivatives trading with CIB Classification: For Internal use only As regards the process: 1. Pl

2/27/2019 11:04:41 AM To: lan Salters CC: Kimberly Hart Subject: FW: Combined KYC list and priorities [I] Attachments: WM clients trading with GM - combined list 02.16.19.xlsb; list checks _ KYC.xlsx Classification: For Internal 1188 only Hi Ian, I sent random 18 clients -where it says "Yes"

ist and priorities [l] FYI Sent with BlackBerry Work (ti,ww blackberry cum) Date: Friday. Feb 1 .11 1~ From: Ian Salters To: Olivier Poncet >, Thomas Klemm >, Bill King Oavidc-A Sferrazza MIN 'c: Alastair fvlackinlay - Nina Tona Subject: FW: Combined NI and prionlies Classification: For internal

n Salters 2/15/2019 5:36:42 PM Funda Bozkurt Thomas Klemm Kimberly Hart RE: Client OTC derivatives trading with CIB [II WM clients trading with GM - combined list 02.16.19.xlsb Classification: For internal use only Revised updated file from MAX (which is more promising). When I am back from va

From: Sent: To: CC: Subject: Attachments Ian Salters 2/15/2019 5:36:42 PM Funda Bozkurt Thomas Klemm Kimberly Hart RE: Client OTC derivatives trading with CIB [II WM clients trading with GM - combined list 02.16.19.xlsb Classification: For intern

pt Up process mapped out already (I have sent the information to cover this) 3. Remove the delta process as WM clients are being fully onboarded in GM 4. We will not be creating separate KOP's; 5. Brexit requirements: • Remediate KYC for WM & IWP clients to meet CIB standards • Resend new AD

Office 345 Park Avenue 10154.0004 New York. NY. USA Tel. Emal From: Ian Salters Sent: Friday, Februa 15, 2019 10:21 AM To: Funda Bozkurt < Cc: Thomas Klemm < >; Ian Salters < Subject: FW: Client OTC derivatives trading with CIB Classification: For 'Memel use only As regards the process: 1. Please s

eMar ; Bill King • Jeffrey Roth CC: Ian Salters Subject: RE: Client OTC derivatives trading with CIB Ill Attachments: WM clients trading with GM - WM Update 02,14.19.xlsb Classification: For IMemal use only Dear all Please see attached analysis that JAX did on behalf of IWP & WM clients. Th

From: Ian Salters Sent: 2/14/2019 6:43:48 PM To: Victoria Bruce ; Thomas Klemm ; Kimberly Hart Puzant Merdinian • Steven Mattus Olivier Poncet ; Andrea DeMar ; Bill King • Jeffrey Roth CC: Ian Salters Subject: RE: Cl

6:16:42 PM To: Oavide-A Sferrazza Sill King Joe Agliona Subject: FW: Combined KYC list and priorities [I] Attachments: WM clients trading with GM - combined list 02.16.19.xlsb Olivier Poncet Have we reviewed the lists again to ensure we believe the information is correct also to reassess prio

al use only FYI From: Ian Salters Sent: Friday, February 15, 2019 5:31 PM To: Victoria Bru Cc: Subject: Combined KYC list and priorities Ill ; Thomas Klemm Davidc-A Sferrazza a Classification: For Internal use only I have just received an updated file from MAX and the results are a substantial improve

g the difference between fully on boarded vs Full GM KYC. Let's discuss, Thanks, Funda Bozkurt Deu

rk, NY, USA Tel. Email From: Ian Salters <M > Date: February 21, 2019 at 6:13:45 PM EST To: Oliver Esslinger Cc: Kimberl Hart , Steven Mattus Thomas Klemm , Victoria Bruce , Bill King , Olivier Poncet EFTA01399470 Subject: FW: Combined KYC list and priorities [I] FYI Sent with BlackBerry Work (