na Laczn >; Hiren Mathur < ; Enid Ellis < Subject: RE: New Derivatives account. [I) ; Collateral Admin-NY >; Sendhil-kumar K >; Debra Jasper < Middle Office >; PWM Derivatives >; Collateral-Assets Newyork < Classification: For Internal Use only Hi Keith, Collateral Team has asked for this informatio

Wednesday, November 15, 2017 1:43 AM To: Keith Buckholz < >; Collateral Admin-NY < Cc: Srikanta Gouda • >; Nitin-X Singh >; CUSTOMERBUILD BLO < Middle Office < Scott < >; Halina Laczn >; Hiren Mathur < ; Enid Ellis < Subject: RE: New Derivatives account. [I) ; Collateral Admin-NY >; Sendhil-kumar K

To: Keith Buckholz Srikanta Gouda a; Collateral Admin-NY Cc: Nitin-X Singh Collateral Admin-NY < 1; CUSTOMERBUILD BLO Sendhil-kumar K < .)( Middle Office e ra Jasper Roxanne Scott Halina laczny FX Middle Offic Hi ren Mathur CRM-PWM Derivativeanid Ellis •r M Collateral-Assets Newyor Subject: R

ad owners: s. Norotargd approval owner: Biome'. Stana..a b. Account opening owners: DBOI BR fax I rust. Custody. DPM & Deperob). ABR ending) and Middle Office (Brokerage). c. Transaction owner: B5O d. Domicile changes into the ELI. owner: Business Manager & DEICH • Status: Complete • Attachment: LEA

& UK) — Evidence Document • Finding ID: Evidence # 1: Daily Middle Office Exception Report • Description: Daily automated report distributed to Middle Office to ensure that EEA brokerage accounts are only serviced on a reverse solicitation basis. The report contains 4 worksheets described below: o Shee

iginal articles of incorporation. Additionally, JE was listed as the source of funds in the initial KYC done by Paul's team. When An reached out to Middle Office, they looked at the KYC and flagged the request as "high risk" and asked us to get AML approval. As you recall, we already went to AML (Wayne Salit)

ginal articles of incorporation. Additionally, JE was listed as the source of funds in the initial KYC done by Paul's team. When Ari reached out to Middle Office, they looked at the KYC and flagged the request as "high risk" and asked us to get AML approval. As you recall, we already went to AML (Wayne Salit)

ginal articles of incorporation. Additionally, JE was listed as the source of funds in the initial KYC done by Paul's team. When Ari reached out to Middle Office, they looked at the KYC and flagged the request as "high risk" and asked us to get AML approval. As you recall, we already went to AML (Wayne Salit)

Morgan Chase 302.634.5590 2/19 Magliocco, Gina X From: Dubov, Anastasia X Sent: Friday, September 20, 2013 1:15 PM To: PS4eryloe1318 Cc: G1O Middle Office; Barrett Team Subject: RE moving securitle* In Southern Financial, Trust & Hale Trust Janet & Team - is the below request clears Do you neec to di

CIO JEANNE BRENNAN From: BaleY, Drew X Sent Monday. April LS, 2013 8:39 AM To: JPMS Credit; Katz, Ira L Sylvester, Michael; Hughes, Wart Cc: GO Middle Office Subject: TEF - Skirt Sale Journal vs. cash - Finanatl Trust CO. to Southern %axial 11C Jon / Bin a 610 dent is transferring as assets from their cu

• (347) 643-1824 I I J*Morgan.coni I From: Young, Janet E Sent Wednesday, A0fil 17, 2013 9:03 AM To: Bogey, Drew X; Sylvester, Michael Cc (10 Middle Office, PB-Service1318 Subject: Tecs Case submitted TEF - Sbaet Sale Journal vs. cash - Financial T-ast CO. to Southern Rnanciad LLC - lecs Case * 3202000

Statement Relationship Officer Tax Adrnrustrator Senes 8 Officer Middle Office Senn Team Portfoeo Accountant SenvoriFiduc.iwy Officer Alternate Administrator Asset Account : Authorities - Contacts WATERS USA E Contact Name

to our team email to ensure om service Alternate contact: Janet E. Young l From: Barrett, Paul S Sent Wednesday, August 22, 2012 4:30 PM To: GO Middle Office Cc: Ens, Amanda; Ouffrda, David ); Magliocco, Gina X Subject: C/C for Financial Trust - please help with Phase 11I ID 036208224232806 DATE 00/22/2

ave completed signature verification BSO Approval if Necessary (Select One and Attach E-mail Approval) Asset movement > $10 million (BSO or heed of Middle Office or delegated officers) iD Any exception to HRM Policy p change of Country of Owkik) (for address or phone number change/ *The term 'diger ram to t

ing ID: GFMS 90-017/2019 #43 (dbTrack2407699) Evidence # 1: Daily Middle Office Exception Report Description: Daily automated report distributed to Middle Office to ensure that EEA brokerage accounts are only serviced on a reverse solicitation basis. The report contains 4 worksheets described below: Sheet