From: Stewart Oldfield
Sent: 11/29/2017 6:37:12 PM
To: Cynthia Rodriguez
Subject: FW: KYC - List of Customers for 2018 [I]
Attachments Stewart Oldfield.xlsx
Classification: For Internal use only
Doesn't look horrible. I'm seeing Eran for lunch Monday, so let me know what we will need to get from Adam.
Thanks
From: Adrienne Bull
Sent: Wednesday, November 29 2017 5:39 PM
To: Stewart Oldfield
Subject: KYC - List of Customers for 2018 [II
Classification: For Internal use only
Hi Stewart -
As year-end 2017 is approaching, given the performance of KYCs is an on-going / continual process, for reference please
see the attached for a list of customers requiring KYC in 2018.
It is understood that you may still be working on the completion of KYCs for 2017 (all of your hard work and diligence is
appreciated).
Included in the attached are due dates (column N) in which the KYC needs to be submitted for approval; these due dates
should be used as opposed to what is currently in DBForce until further notice.
As part of the KYC Program, WM is in the process of implementing a target operating model to assist in supporting the
on-going performance of KYCs for our customers in line with DB KYC Policy. The target operating model will include the
use of a workflow tool and due dates will be updated in the system in-line with the data in the attached.
Please note that there may be instances where a customer appears on the report that you have identified for
closure. This is due to timing differences between when the report was created and when the client and / or account
was identified for closure.
Kind Regards
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0066569
CONFIDENTIAL SDNY_GM_00212753
EFTA01372727