Bruce A. Green

From: Tanushree Kirti Sent: 11 October 2018 08:43 To: Victoria Bruce Subject: FW: Family Office Initiative - Follow Up (I] (SC] Classification: Strictly Confidential FYI - as background to yesterday's conversation, attached is the list of clients shared with lain Macara and team for the exceptional approval to ensure 'Green' status in downstream trading systems. I have chased KCP US regarding their action. Nina Tona said she will provide Xavier Avila's approval from KCP US cases that a

I met Paul Maley last week and he suggested that if we send the name of our ACO, the status of our KYC And the CRDS LE reference to Aziz Anwar, he would be able to change the red to green in GM systems. I'm not sure if it is this simple but we really need the changes to be made asap. Max will reach out to you as we have a meeting with GM in the next week or two and I want to make sure they have all the necessary information from our side. Thanks, Vicky Vicky Bruce Managing Director I Glob

Vicky Bruce Managing Director I Global COO KCP and CEP Wealth Management 70 Victoria Street. SW1E 6SO London. United Kingdom Tel. 44 207 54-18113 Mob. Email From: Tanushree Kirti Sent: 11 October 2018 08:43 To: Victoria Bruce < Subject: FW: Family Office Initiative - Follow Up [I] [SC] Classification: Strictly Confidential FYI - as background to yesterday's conversation, attached is the list of clients shared with lain Macara and team for the exceptional approval to ensure 'Green' s

Best, Tanu Tanu Kirti Director WM Mercury Implementation Programme Manager From: lain Macara Sent: 17 September 2018 14:12 To: Tanushree Kirti Clifford Fourie Cc: Oliver Bettin < Christopher Whyton Katherine Stead Max Kleinert Victoria Bruce Subject: RE: Family Office Initiative - Follow Up [IJ Hi all, Just to add there was the additional step of Stefan/Louise approval we discussed for clients that WM wanted ICG to provide support for. These clients won't be green in IC

team. We have been working with the CIB central client selection team to turn those cases to green as they require different set of approvals. In the meantime, we have a new KCP COO in WM - Victoria Bruce (ced), who will address the longer term solution of getting direct access for KCP clients. Best, Tanu Tanu Kirti Director WM Mercury Implementation Programme Manager Tel. +44 20 754-76766 Mobil e."11~ Email Mercury an myDEr From: Clifford Fourie Sent: 17 September 2018 13:49 To:

The WM list of clients that require KG coverage was discussed with lain Macara and team and it was agreed that WM will review the red and amber clients to ensure they were centrally in CIB turned to green before acceptance by lain's team. We have been working with the CIB central client selection team to turn those cases to green as they require different set of approvals. In the meantime, we have a new KCP COO in WM - Victoria Bruce (cc'd), who will address the longer term solution of gett