From: Daphne Cales Sent: 1/8/2018 3:49:42 PM To: Robert Dicerbo CC: Cynthia Rodrigue Subject: EPSTEIN URGENT III Classification: For Internal use only Hey Rob, Do you have a minute to talk? Regarding the below. Kind regards, Da

Tel: tvlobile: From: Daphne Cales Sent: Monday, lanua 08 2018 3:50 PM To: Robert Dicerb Cc: Cynthia Rodrigue Subject: EPSTEIN UR Classification: For internal use only Hey Rob, Do ou have a minute to talk? Resardin. the below. Kind regards, Daphne Cales

To: Cynthia Rodrigue ; Daphne Cales • Patrick Harris Vaishali-P Mehta Subject: KYC Remediation - Southern Financia Re ations Classification: For internal use only H

5 Park Avenue, 24th Fl 10154-0004 New York, NY, USA From: Anna-Sofiya Lupolover Sent: Monday, December 18, 2017 10:53 AM To: Stewart Oldfield Cc: Cynthia Rodrigue ; Bradley Gillin Subject: PRIIPs Client Notification Ill Classification: For Internal use only Hello, Below is list of clients identified by the

From: Stewart Oldfield Sent: 10/23/2017 10:37:15 AM To: Amlcompliance In • uirie CC: Cynthia Rodrigue Andrew Gallivan BCC: Subject: RE: Inquiry Regar' ing Accoun Client: SOUTHERN TRUST COMPANY, INC.; Case No. 144434 - DUE October 30 [I] Purpose o

From: Sent: To: Subject: Attachments Paul Morris 6/2/2016 1:33:30 PM Cynthia Rodrigue FW: Signature Card for Account SigCard.pdf; image001.gif; image002.gif From: Melinda Roy Sent: Thursday, March 31, 2016 10:48 AM To: bellaklein