KYC Print Page 16 of 17
M. Case Comments
Created By Date Comments
See KYC 1082293 for Senior Business Management's approval to go forward with client adoption
Janice Franklin 9/5(2013 11:56 AM
process.
ONSHORE APPROVALS
Client Facing Professional (CFP): Paul Morris ,'1Signature) 9/4/2013
Paul Morris
Office Director/Business Head: Brian M. Biggar ;Signature) 9/4/2013
Brian M. Biggar
Regional Office Director: ;Signature)
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
Janice Franklin Janice Franklin 9/5/2013
Jacqueline Lightbody Jacqueline Lightbody 9/5/2013
LATAM/INTERNATIONAL APPROVALS
Client Facing Professional (CFP): (Signature)
Account Manager: (Signature)
Global Market Team Head (Signature)
(GMTH)/Sub-Market Team Head
(SMTH):
AML Business Risk:
(Signature)
AML Compliance:
(Signature)
https://nail.salesforce.corn/servlet/servlet.Integration?'id=01N30000000D9Di&eid=500600... 9/19/2013
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0084028
CONFIDENTIAL SDNY_GM_00230212
EFTA01384047