Epstein Secrets

eam (cont.) Name Larry Kessler Julia Ashworth Alan Morgan Auditors Advisory Groups Commercial ban

vestors (TCF etc), risk & investment mandate compliance (style drift) and service contracts, regulatory compliance: IFRS7, Solvency II, UCITS III, MIFID, UCITS III & IV Settlement Risks Market & Performance Risks Compliance & Reporting Risks Credit, fixed income, equities, FX, commodities, c

AM To: Davide-A Sferrazza Cc: Ian Salters < ; Alan Brody Subject: Single client list [I] Classific

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

7 PM To: Davide-A Sferrazza ; Daniel-E Kaiser Alan Brody Subject: FW: OTC Derivative trading with

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

7 -0500 To: Davide-A Sferrazza Daniel-E Kaiser Alan Brody Classification: For internal use only FYI

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