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Dataset10 066
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METADATA_FILENAME: EFTA01410755.pdf
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WM and GM
Onboarding Division
KYC Type
Client Name
dbCAR ID/-
Account Product/Account Type
Priority
Priority Reasoning
Date Started
Target Due Date Age
COB Contact/Rel Cor
COB
Status Pending With
IWP Contact
Banker Issues/Comments
Outstanding
Item Type
Path
Global Markets
NCA
Inversiones Alabama Limitada
1016136898
N/-
A
High
Aged - Needs to be finalized
1/12/2017
3/5/2019
778
Tiele Aldridge
In Progress
AFC
Martin
Zeman
Reynaldo Figueredo
PRIORITY HIGH: Onboarding has pending in
progress of over a year, we need to finalize and conduct business.
1. Awaiting updated W8 from client, as of 2.21.19, client should be sending
by 3.02.2019
2. Provided name clarification to AFC, pending final approval from AFC.Nina
followed up with COB 2.21.2019, COB followed with AFC UK/US
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Global Markets
Remediation
Sheffield Asset Management
1000077095
N/A
Low
12/24/2018
4/30/2019
Andrea Sandven
On Hold Client Joshua Shoshan
Gregory J Kiesel
On hold until further conversation with client
Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Global Markets
Remediation
Cantillon Capital Management LLC
1000024165
N/A
Low
12/24/2018
4/30/2019
Jamaal Bushara
On Hold Banker Joshua Shoshan
Gregory J Kiesel
On hold until further conversation with client
Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Global Markets
Remediation
Deprince, Race & Zollo
1000050019
N/-
A
Low
12/24/2018
4/30/2019
Jamaal Bushara
On Hold Client Martin Zeman
Gregory J Kiesel
Pending with G.K
as of 1.16.19 client has not responded
Item
site4922/Lists/IWP
Americas CM Desk KYC Tracking
Global Markets
Remediation
Seminole Capital Partners, L.P
1000078557
N/A
Low
12/24/2018
4/30/2019
Andrea Sandven
On Hold Client Joshua Shoshan
Gregory J Kiesel
Pending with G.K as of 1.16.19 client has not responded
Item
site4922/-
Lists/IWP Americas CM Desk KYC Tracking
Global Markets
NCA
Bass Brothers Taylor & Company
N/A
N/A
Low
12/24/2018
4/30/2019
Yasmeen Alim
On Hold
IWP
Joshua Shoshan
Gregory J Kiesel
Pending wit business to
provide BSF from
Item
site4922/Lists/IWP Americas CM Desk KYC
Tracking
Global Markets
12/24/2018
Joshua Shoshan
with client
Global Markets
Income High
3/15/2019
NCA
Salient Partners
N/A
N/A
Low
4/30/2019
Yasmeen Alim
On Hold COB
Gregory J Kiesel
On hold until further conversation
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
NCA
Black Maple Capital Partners
N/A
Fixed
Client interested in trading
2/8/2019
Jamaal Bushara
In Progress
Client Alan
Brody
Gregory J Kiesel
2.21.19 still awaiting client response as
they are finalizing docs.
List of NCA requirements have been sent to client 2.8.2019.
Item
EFTA01410755
--- PAGE 2 ---
site4922/Lists/IWP Americas CM Desk KYC Tracking
Global Markets
NCA
Jeffrey D. Murray Tst
N/A
GED
High
Client interested in trading
1/11/2019
3/31/2019
Erik Lutkus
In Progress
Client;#COB
Joshua Shoshan
Johnathan
Hirsh
2.22.19 Davide sent additional confirmation needed from client
Client provided docs however some were incomplete. IWP to sent back to
client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the
info.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Global Markets
NCA
Laura A. Murray Tst
N/A
GED
High
Client interested in trading
1/11/2019
3/31/2019
Erik Lutkus
In Progress
Client;#IWP
Joshua Shoshan
Johnathan
Hirsh
2.22.19 Davide sent additional confirmation needed from client
Client provided docs however some were incomplete. IWP to sent back to
client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the
info.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Global Markets
NCA
Katelyn J. Murray Tst
N/A
GED
High
Client interested in trading
1/11/2019
3/31/2019
Erik Lutkus
In Progress
Client;#IWP
Joshua Shoshan
Johnathan
Hirsh
2.22.19 Davide sent additional confirmation needed from client
Client provided docs however some were incomplete. IWP to sent back to
client for completion 2.14.19. . Meanwhile COB is reviewing the rest of the
info.
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Global Markets
Refresh;#Extension
Equity Investments LP
1009171312
OTC Rates
Medium 1/16/2019
3/15/2019
Andrea Sandven
In Progress
Client Alan Brody
Sean
Jules
Pending with client. Nina - IWP to follow up with Banker
2.22.2019
Item
site4922/Lists/IWP Americas CM Desk KYC Tracking
Wealth Management
NCA
Fairview Capital
N/A
Brokerage
Account Low
6/1/2018
6/1/2019
272
Dana Zook
In Progress
Client;#Banker
Joshua Shoshan
Gregory J Kiesel
2.28.2019 Janet said: waiting on the client to sign the LLC Authorization
stating the signers of the entity. Liam O'Sullivan requested this on