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From: Vaishali-P Mehta Sent: 1.2/1/2016 9:35:44 AM To: Andrew Gallivan Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For 'Memel use only Hello Andrew, Could I please get one more approval? This is for last months

From: Vaishali-P Mehta Sent: 12/1/2016 9:55:43 AM To: Andrew Gallivan Subject: RE: MD Approval for ACUs for High Risk Clients [I) Classification: For internal use only no problem Andrew Thank you so much! Vaishali Mehta Head of Anti-Money

internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their report

Sent: Wednesday, November 09, 2016 3:42 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew Could you please approve the below ACUs completed for High R

Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their report

Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their report

not having addressed this last month. Approved From: Vaishali-P Mehta Sent: Thursday, December 01, 2016 9:36 AM To: Andrew Gallivan Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew, Could I please get one more approval? This is for last mont

Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner I RM. Which means if the RM is an MD, the approval must come from another MD who is in their report

internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their report

Subject: RE: MD Approval for ACUs for High Risk Clients [I] From: Andrew Gallivan < Date: Thu, 01 Dec 2016j illa To: Vaishali-P Mehta < Classification: For internal use on