Message From: Kshitij Golani [/o=EXCHANGE/ou=Exchange Administrative Group (FYDIBOHF23SPDLT)/cn=Recipients/cn=golaksh02d1 on behalf of Kshitij Golani Sent: 6/28/2017 6:06:54

Cynthia Rodriguez From: Sent: To: Cc: Subject: Attachments: Kshitij Golani Monday, July 10, 2017 4:29 PM Cynthia Rodriguez PWMUS AMLKYC CLEARED: RDC Alert Southern Financial LLC [I] RDC Alert Southern Financial LLC.PDF

dre:: F Gallivan (Signature) Andrew F Caravan 7/25/2017 Regional Office Director: (Signature) MIL Business Risk: (Signature) AML Compliance: Kshitij Golani Ycxxisun Chung (Signature) Kshibj Golan, Yoontun Chung 7/27/2017 7/27/2017 LATAM/INTERNATIONAL APPROVALS Client Facing Professional (CFP). (S

KYC Print Page 42 of 43 M. Case Comments Created By Date Comments Kshitij Golani 9/25/118 10:04 AM iris KYC serves as a high risk update for the below listed clients (together "accounthdders") - 1.- & Karyna Shuliak . Butterfl

To: Kshitij Golani Subject: FW: RDC Alert Southern Financial LLC Ill Classification: For internal use only From: Cynthia Rodriguez Sent: Friday, July 07, 2017 1:00

From: Kshitij Golani Sent: 8/7/2017 12:50:36 PM To: Subject: Your KYC has been rejected Your KYC has been rejected. Case it: 01790655 Relationship: EPSTEIN, JEFFR

From: Vijay-A Sawant Sent: 7/25/2018 6:15:23 AM To: Kshitij Golani CC: Bradley Gillin ; Stewart Oldfield Subject: FW: Your KYC has been rejected - Case #: 01946825 Attachments: Constitutional docs, COI & IRS Le

From: Mayur Rathod Sent: 9/19/2018 3:08:08 AM To: Kshitij Golani Subject: RE: Your KYC has been rejected [I] classification: For internal use only Hi Kshitij, Below rejection points are resolved. Please refer

From: Kshitij Golani Sent: 7/25/2017 2:58:15 PM To: Cynthia Rodriguez Subject: RE: Case * 01790724: has been assigned to you. [II Classification: For internal use

From: Kshitij Golani Sent: To: Subject: Your KYC has been rejected 9/7/2018 2:45:56 PM Your KYC has been rejected. Case #: 01977698 Relationship: SOUTHERN RELAT

From: Sent: To: Subject: Attachments Mayur Rathod 10/16/2018 10:19:48 AM Kshitij Golani RE: Your KYC has been rejected fij Address Verification [I] (10.8 KB).msg Classification: For internal use only Hi K.G, Please refer my comments

From: Sent: To: Subject: Attachments Rob Wang 10/19/2018 11:52:34 AM Kshitij Golani FW: New Client Risk rating for WM clients [I] New Client RR Methodology Analysis as of 10.19.2018.xlsx Classification: For Internal Use only FYI

le < >; Ronny Fung Subject: New Client Risk rating for WM clients [I] Classification: For internal use only Hi Trey, I was given your contact by Kshitij Golani in regards to getting documentation on the new client risk rating methodology (CRRE) that went live on October 1." for WM clients. I am part of FCA&

From: Kshitij Golani Sent: 9/25/2018 10:04:58 AM To: Subject: Your KYC has been approved! The KYC you had submitted has been approved. To view the KYC click here h

From: Kshitij Golani [[email protected] Sent: 10/4/2018 3:47:59 PM To: [email protected] Subject: Case tt 01977695: has been assigned to you. O44 NEW CASE ASSI

From: Kshitij Golani Sent: 9/28/2018 11 08 49 AM To: Subject: Case 14 as been assigned to you. *** NEW CASE ASSIGNMENT NOTIFICATION *** The following case has bee

From: Vijay-A Sawant Sent: 9/7/2018 10:10:02 AM To: Kshitij Golani CC: Bradley Gillin Stewart Oldfield Subject: Your KYC has been rejected - Case tf Importance: High Hello Kshitij, I have worked on the below

From: Kshitij Golani Sent: 7/25/2017 10:40:12 AM To: Subject: Case 4 01790724: has been assigned to you. O44 NEW CASE ASSIGNMENT NOTIFICATION " 4 The following case

From: Carl Timcke on behalf of PWMUS AMLKYC Sent: 7/5/2017 11:27:23 AM To: Kshitij Golani Subject: FW: RDC Alert Richard Kahn II) Attachments: Richard Kahn (RDC Alert).pdf; Richard Kahn (search).pdf; Richard Kahn Clearance.pdf Classifi

9Di&e... M. Case Comments Created By Date Comments Mayur RathOd 9/26/118 1:20 AM No material changes confirmation *emat attached in the case. Kshitij Golani 10/17/118 12:02 AM This KYC serves as a high risk update for the below listed dials (together •accountholders') - l. Jeffrey Epstein 2. Southern T