271 3445 dcuisctxucaiUi coin #Positive Impact Client to rucwirle clarification to AFC question With business to obtain from client ' Tax issue, MIFID opt-out With business to obtain from client With business to obtain from client With business to obtain from client With business to provide requ

tz Investment Company NCA NCA Refresh Extension Client to provide clarification to AFC question With business to obtain from client Tax issue, MIFID opt-out With business to obtain from client With business to obtain from client With business to obtain from client With business to provide re

Joe 6/21/2019 Joe 6/14/2019 Jamaal 6/21/2019 Client to provide clarification to AR: question With business to obtain from client Tax issue, MIFID opt-out With business to obtain from client With business to obtain from client With business to obtain from client With business to provide req

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

For new / amended controls pomade related: CokerogetOPs EEAOstonemdoo Excerpt from coverage KOPs (Page 40 — MIFID II8 EEA section. pages 148-150 Cross border EEA section). Excerpt from KYC KOPs (EEA Customer Identification) 61 Ctelcerersdoct 1. Policy r KO

again it is clear that JAX inadvertently added the Umbrella accounts by mistake. After running the exercise again, this is where stand: KYC MIFO MIFID - breakdown Division Priority clients CIB Onboarded Remediate Per Se /Opt Up Remy:hate Organizations Individuals ISG 32 5 27 5 27 25

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

clarification to AFC question Staple Street Global Extension With business to obtain from client Daniel and Suzzan Cohen Remediation Tax issue, MIFID opt-out DA Brazil NCA With business to obtain from client DA Venezuela NCA EFTA01398295 With business to obtain from client Ultralat Capital

LatAm and USO Bankers are NOT permitted to open any new accounts for new German domiciled clients. For bankers with existing relationships with non MIFID accounts (loans, deposit), if a DPM or Custody account is opened for a German client, client may need to transfer to GAT banker. For bankers with

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

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

pients of this mail only. The KCP London desk does not provide investment advice. All intended recipients are Professional investors (as defined by MIFID), who understand the strategy, characteristics and risks associated with any ideas proposed herein and will be able to evaluate it independently. A

pients of this mail only. The KCP London desk does not provide investment advice. All intended recipients are Professional investors (as defined by MIFID), who understand the strategy, characteristics and risks associated with any ideas proposed herein and will be able to evaluate it independently. A