r Avila Sent: Tuesday, February 20, 2018 7:00 PM To: Nina Tona ; Davide-A Sferrazza a; Alastair Mackinlay Cc: Martin Zeman ; Joshua Shoshan ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I ill Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, February 20, 20

avier Avila Sent: Tuesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan Davide-A Sferrazza ; Alastair Mackinlay ; Martin Zeman < ..; Billy Obregon Ian Salters Subject: Re: GM KCP Bible - Action Plan Update I KYC Priority List [I] Both GBK and GKFF have trades in the books. On Mar 13, 2018,

vier Avila Sent: Tuesday, February 20, 2018 7:00 PM To: Nina Tona ; Davide-A Sferrazza Cc: Martin Zeman Alastair Mackinlay ; Joshua Shoshan O; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update ID) Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, February 20, 2018

Nina Tona From: Xavier Avila Sent: Tuesday, February 20, 2018 7:00 PM Davide-A Sferrazza Cc: Martin Zeman ; Alastair Mackinlay Joshua Shosha ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, Februa Xavier

To: Nina Tona < >; Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman < Joshua Shoshan a; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [II let's target end of March/Mid April? I also need to give you W of Argentina, but I am in Bu

Shoshan Subject: Fintech [Cl Attachments: Nina Tona - 12 March 2018 - Fintech.xlsx Classification: Confidential Hi Xavi, ; Alastair Mackinlay Billy Obregon As per our conversation yesterday, there were multiple clients that started with Fintech. i did a little more digging and the below two have some r

vier Avila Sent: Tuesday, February 20, 2018 7:00 PM To: Nina Tona • Davide-A Sferrazza • ; Alastair Mackinlay Cc: Martin Zeman Joshua Shoshan • Billy Obregon u ject: : e - Action Plan - Update ID] Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, February 20, 2018 5:50 PM To

et's review later this week.... From: Nina Tona Sent: Tuesday, Februar 20 2018 5:50 PM To: Davide-A Sferrazz ; Xavier Avil ; Alastair Mackinlay Billy Obregon Alastair Mackinlay Joshua Shoshan illy Obregon Su ject: RE: GM KCP Bi e - Action Plan - Update I DI CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P.

Good work, let's review later this week.... From: Nina Tona Sent: Tuesday, February 20, 2018 5:50 PM To: Davide-A Sferrazza Alastair Mackinlay ; Billy Obregon Xavier Avila Alastair Mackinlay Cc: Martin Zeman Joshua Shoshan Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [I] Np. Sounds

From: Nina Tona Sent: Tuesday, March 13, 2018 1:16 PM To: Xavier Avila Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman oshua Shoshan • Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List III CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046201 CONFIDE

om: Xavier Avila Sent: Tuesday, February 20, 2018 7:00 PM To: Nina Ton Davide-A Sferrazza Alastair Mackinlay Cc: Martin Zeman Joshua Shosha ; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update 1[11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046207 CONFIDENTIAL SDNY_GM_00 1

KCP Bible - Action Plan - Update I KYC Priority List Ill >; Davide-A Sferrazza Classification: For Internal use only Please see updated list. >; Billy Obregon >; Alastair Mackinlay >; Ian Priority Rank Team KCP LATAM WM Client / Account Name 03 Capital Global Fund dbcar ID Responsible New KYC

na Tona Sent: Friday, February 23, 2018 3:34 PM To: Xavier Avila Davide-A Sferrazza ‹ ; Alastair Mackinlay Cc: Martin Zeman : Joshua Shoshan a; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update II [I] Classification: For Miami use only Hi All, Happy Friday! Just wanted to provide an updat

ina Tona From: Xavier Avila Sent: Monday, March 12, 2018 6:55 PM To: Nina Tona • Davide-A Sferrazza Mackinlay Cc: Martin Zeman Joshua Shoshan Billy Obregon Alastair Subject: RE: GM KCP Bible - Action Plan - Update I DJ Nina, pls consolidate a priority list of KYC Remediation/NCA/Extensions From all the

ters azia Smith Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List [I] avide-A Sferrazza Classification. For Internal use only Billy Obregon Alastair Mackinlay Ian Trot- rir KYC Responsible Responsible Priority Team WM Client/ New KYC Review dbcar ID - For - For Case Targe

vier Avila Sent: Tuesday, March 13, 2018 2:32 PM To: Nina Tona Cc: Joshua Shoshan >; Davide-A Sferrazza ; Alastair Mackinlay ; Martin Zeman a; Billy Obregon ; Ian Salters Subject: Re: GM KCP Bible - Action Plan - Update I KYC Priority List [I] Both GBK and GKFF have trades in the books. On Mar 13, 20

a Tona Sent: Friday, March 02, 2018 12:16 PM To: Xavier Avila >; Davide-A Sferrazza Cc: Martin Zeman < Alastair Mackinlay >; Joshua Shoshan >; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update i ill Team — Please lel me know which clients are of priority so we can start the NCA process. T

Martin Zeman >; Joshua Shoshan < >; Ian Salters < Subject: RE: GM KCP Bible - Action Plan - Update I KYC Priority List llj Alastair Mackinlay >; Billy Obregon This is good, below my changes... Let's make sure we collate everyone's priorities....someone reach out to Tazia and co too to see if anything we a

To: Xavier Avila < Cc: Martin Zeman < >; Davide-A Sferrazza <>; Alastair Mackinlay >; Joshua Shoshan < >; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update I [Ij Classification: For Internal use only Fli Team - just wanted to send an update or the progr

Day idc-A Sferrazza Date: Tuesday. Feb 20 2018 5:44 PM To: Nina Tona Xavier Avila inlay , Joshua Shoshan Billy Obregon Alastair Mackinlay >; Billy Obregon >; Alastair Mackinlay >; Billy Obregon Subject: RE: GM KCP Bible - Action Plan - Update 1111 Thanks for your work on this, Nina — let me come bac