EFTA01299668.pdf

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCI BANE INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
U4D-004237 1 5,821,185.08 EUR IBD 14.13.21 14.13.21 CMG0X000007B
USDE : 86,568,043.12
TRADE DATE: 02/02/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
HANK BARCGB22 BARCLAYS MANX PLC LONDON UNITED KINODO
SECOND
FFC
ULT BENS NATIONAL COMMERCIAL BANK JAMAICA LTD
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09924 -ANL/EXCEEDS TURNOVER RATIO: NIN/FOR ACCT-561% OVER STANDARD TINEPRAKE
09938 -ACCOUNT ON WATCH LIST - HIGH RISK ACCUNT PER ARM US ETC POLICY
09982 -ND.-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR MIN INVESTME
REASON : PER LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 14.13.21 SUBM
SDNY_GM_00065742
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028567
EFTA 00176242
EFTA01299668

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca PANIC INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4D-008378 1 20,000.00 CHF IBD 10.26.39 11.38.14 CWGOX000003Y
USDE : $21,748.58
TRADE DATE: 02/02/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK BAERCHZZ BANK JULIUS BAER AND CO.LTD., ZURICH SWITZERLAND
SECOND
FFC MERRILL LYNCH UNITED STATES
ULT BELIE VASILEIOS PAPADOPOULOS ARGYRO PAPADOPOULOS ELENI PAPADOPOULOS
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
09938 -ACCOUNT ON WATCH LIST - HIGH RISK ACCUNT PER MM US KYC POLICY
09951 -AML-VELOCITY JOURNAL TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISHE
REASON : AS PER LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CW00X0000032
Req E Eligible : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 11.38.14 PPR
02/02/15 11.38.10 ULK
02/02/15 11.38.10 APP FDS AVA VD 2-3/149/L0A/RECD/CORP/REs/DBAB
02/02/15 11.36.48 LCK
02/02/15 11.19.01 ULK
02/02/15 11.19.01 APP
02/02/15 11.18.04 LCK
SDNY_GM_00065743
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028568
EFTA 00176243
EFTA01299669

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: HBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
02/02/15 10.26.39 SUBN
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4D-013469 1 9,862.77 EUR IBD 09.44.57 03.30.57 CRGOU0000030
USDE : $11,181.42
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2015
PEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK EFOBGRAA EUVOINUM ERGASIAS S.A. ATHENS GREECE
SECOND
FFC
ULT BENZ ODYSSEFS DINITRIOS ILIOU
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-01-30
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG B ELIGIBLE WIRE
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : AS PER LOA
STANDING INSTRUCTION : Y
CURRENCY WIRES REF NUMBER : IMD1CWOOU0000030
Reg E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 03.30.57 MIT The Currency wire got settled.
01/30/15 11.29.07 PPR
01/30/15 11.29.06 ULK
SDNY_GM_00065744
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028569
EFTA 00176241
EFTA01299670

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 4
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
01/30/15 11.29.06 APP
01/30/15 11.28.19 LCX
01/30/15 10.14.58 PAPP
01/50/15 09.44.57 MEN Awaiting Mandatory Hold Period
01/30/15 09.44.57 SUBM Disclosure provided at initiation
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
H4D-078041 1 9,440.00 EUR IBD 11.45.52 14.27.17 CHOW:0000050
USDE : $10,651.15
TRADE DATE: 01/30/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK CMCIFRPP CM - CIC BANQUES PARIS FRANCE
SECOND
FTC
ULT BENZ SNOW CONNECTION
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-111% OVER STANDARD TIMEFRAME
REASON : PLEASE PROCESS, CURRENCY AVAILABLE, LOA ON FILE FROM 01/30/2015
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CW00X0000050
Req E Eligible : No
SDNY_GM_00065745
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c OS-SDNY-0028570
EFTA 00176245
EFTA01299671

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 5
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 62M
USER ID DATE TIME STATUS COMMENTS
02/02/15 14.27.17 PPR
02/02/15 14.27.17 ULK
02/02/15 14.27.17 APP LOA RECD-CORP ON FILE-SUFF EUR AV
02/02/25 14.26.28 LCK
02/02/15 11.46.59 APP
02/02/15 11.46.59 ULK
02/02/15 11.46.59 APP FUNDS NOW AVAILABLE
02/02/15 11.46.20 LCK
02/02/15 11.45.52 SUBN
ACCOUNT TYPE AMOUNT OCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
NOD-078041 1 9,440.00 EUR IBD 15.30.06 11.42.36 CWGOU000007J
USDE : $10,702.12
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK CMCIFRPP CM - CIC BARQUES PARIS FRANCE
SECOND
FFC
ULT BENZ SNOW CONNECTION
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-01-30
RELEASE COMMENTS
RULE MASER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
09921 -AML/EXCEEDS TURNOVER RATIO: REG/FOR ACCT-108% OVER STANDARD TIM:CERAM
09999 -ND./AGGREGATION ALERT- 6 RULES TRIGGERED IN 6 REQUESTS
SDNY_GM_00065746
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028571
EFTA_00 176246
EFTA01299672

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 6
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : EXE
REASON FX EXECUTED. LOA ON FILE.
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : No
USER ID DATE TIME STATUS COANENTS
02/02/15 11.42.36 CANC TO ENTER NEW REQUEST
02/02/15 09.51.13 ULK
02/02/15 09.50.58 LCX
02/02/15 06.48.47 ULK
02/02/15 08.44.37 LCX
01/30/15 17.58.46 ULK
01/30/15 17.58.46 RLD PENDING ADDITIONAL ACTIVITY. INSUFF EUR
01/30/15 17.57.05 LCX
01/30/15 16.08.54 ULK
01/30/15 16.08.54 APP
01/30/15 16.07.45 LCK
01/30/15 15.43.56 ULK
01/30/15 15.37.06 LCX
01/30/15 15.30.06 SWIM
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N40-081062 1 3,055.00 GBP IBD 14.09.29 08.55.59 CWGOU000006V
USDE : $4,605.10
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK COUTGB22 COUTTS AND CO. LONDON UNITED KINGDO
SECOND
FFC
ULT BENZ BRATHEW LTD
ADDITIONAL INSTRUCTIONS : 79A PORTOBELLO NARDULLI
RELEASE DATE : 2015-01-30
SDNY_GM_00065747
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028572
EFTA_00 176247
EFTA01299673

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 7
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
RELEASE COMMENTS
RULE NUMBER MESSAGE
02790 -THIRD PARTY REQUESTS REQUIRE PERSHING REVIEW.
03100 -REG E ELIGIBLE WIRE
03151 -DELIVERING ACCOUNT HAS AN ACCOUNT HOLD INDICATOR.-COMBINED MARGIN ACCT
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
REASON : AMOUNT IS AVAILABLE, FX TRADE DONE YESTERDAY, 01.29.2015. STANDING INSTRUCTIONS
STANDING INSTRUCTION : Y
CURRENCY WIRES REF NUMBER : IMD1CMGOU000006V
Reg E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 09.55.59 SNT
02/02/15 08.55.58 ULK
02/02/15 08.55.58 APP SI COMBINED MARGIN EXCESS
02/02/15 08.55.22 LCK
02/02/15 08.27.19 ULK
02/02/15 08.27.19 APP SUP? OSP IN COMBINED, STI
02/02/15 08.21.18 LCK
01/30/15 18.09.44 ULK
01/30/15 18.09.44 HID PENDING ADDITIONAL ACTIVITY. USD DEBIT NEED TO BE COVERED
01/30/15 18.07.29 LO(
01/30/15 15.22.37 ULK
01/30/15 15.22.37 APP
01/30/15 15.21.06 LCK
01/30/15 14.39.30 PAPP
01/30/15 14.09.29 AMMH Awaiting Mandatory Hold Period
01/30/15 14.09.29 SUBM Disclosure provided at initiation
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4D-082274 1 200,000.00 EUR IBD 14.17.47 14.17.47 CWGOX000007E
USDE : $225,660.00
TRADE DATE: 02/02/2015
VALVE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
SDNY_GM_00065748
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028573
EFTA_00 176248
EFTA01299674

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 8
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK SCBLDEFXXXX 50011103 STANDARD CHARTERED BANK GERMAN FRANKFURT AM MAIN GERMANY
SECOND
FFC
ULT BENS suposmico BANK LIMITED
ADDITIONAL INSTRUCTIONS : CAVES PROFESSIONAL CENTRE STE 12 WEST BAY ST BLAKE ROAD NASSAU BAHAMAS
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03600 -WA REQUIRED. PLEASE FAX TO PERSHING
09938 -ACCOUNT ON WATCH LIST - PIC ACCOUNT
09952 -AML-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISH
REASON : OK
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 14.17.47 SUBM
SDNY_GM_00065749
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028574
EFTA_00 176249
EFTA01299675

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: HBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATE INITIATED UPDATED REQUEST
BY AT AT ID
NE-024950 1 885.09 GBP IBD 14.30.55 08.40.01 CMOU0000062
EDE $1,334.19
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2013
PEE DESCRIPTION MOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $7.30 OPIPICE ti/A
BANK-INFO SHIFT ID LOciT BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INTL
BANK BARC01822 BARCLAYS BANK PLC LONDON UNITED KINGDO
SECOND
PEC
ULT BEE THE OXFORD GROUP
ADDITIONAL INSTRUCTIONS : 150 BOOKS THE SEARCH FOR PEACE IN THE ARAB ISRAELI CONFLICT BY ROB LARSEN SHIPPING COST
RELEASE DATE 2013-01-30
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : 2124540099
STANDING INSTRUCTION : N
CURRENCY WIRES REP NUMBER : IMD1CNGOU000006E
Reg E Eligible No
USER ID DATE TIME STATUS COMMENTS
02/02/15 08.40.01 ANT
02/02/15 08.40.01 ULK
02/02/15 08.40.01 APP LOA RED, W9.
02/02/15 08.37.42 LCK
01/30/15 17.36.39 ULK
01/30/15 17.56.59 SID PENDING ADDITIONAL ACTIVITY. SUFF GBP V/D 2/2/LOA RECD/CORP RES IMAGED/DRAB
01/30/15 17.53.06 LCK
01/30/15 13.32.24 APP
01/30/15 15.52.23 ULK
SDNY_GM_00065750
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6( DB-SDNY-0028575
EFTA_00 176250
EFTA01299676

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
01/30/15 15.52.23 APP
01/30/15 15.49.17 LCK
01/30/15 14.30.55 SEISM
SDNY_GM_00065751
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(c DB-SDNY-0028576
EFTA_00176251
EFTA01299677

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 624Z
ACCOUNT TYPE AMOUNT Ca RANH INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
N4H-031244 1 2,374,813.22 AUD IBD 08.29.30 10.02.26 CWGOU000002C
USDE : $1,849,029.57
TRADE DATE: 01/29/2015
VALUE DATE: 02/02/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 IP N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK NATAAU3303M NATIONAL AUSTRALIA BANK LIMITS MELBOURNE AUSTRALIA
SECOND
FFC
ULT BENZ PETER THOMAS MAGEE
ADDITIONAL INSTRUCTIONS : BSB NUMBER 083 028
RELEASE DATE : 2015-01-30
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03419 -AMOUNT REQUESTED IS GREATER THAN FUNDS AVAILABLE
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
REASON : PLEASE APPROVE TRAM YOUJ
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER :
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request NO
USER ID DATE TIME STATUS COMNENTS
02/02/15 10.02.26 PAPP
02/02/15 09.32.25 AMMH Awaiting Mandatory Hold Period
02/02/15 09.32.25 MCAT Disclosure provided
01/30/15 08.29.31 AWCF Awaiting Client disclosure
01/30/15 08.29.31 SUBM
SDNY_GM_00065752
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028577
EFTA_00 176252
EFTA01299678

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2025
IBD NO : 62a
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XG-005567 1 500.00 GBP IBD 10.20.27 08.37.27 CMGOU000003J
USDE : $753.70
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK DEUTGB2L DEUTSCHE BANK AG LONDON UNITED KINODO
SECOND NOCOJESH DEUTSCHE BANK INTERNATIONAL LI ST. HELIER JERSEY
FFC
ULT BENZ DEUTSCHE BANK INTERNATIONAL LTD GUERNSEY
ADDITIONAL INSTRUCTIONS : 01GED 985051 FC FSD ANNUAL RETURNSREFERENCE EASY LIMITED 710224
RELEASE DATE : 2015-01-30
RELEASE COMMENTS
RULE NUMBER MESSAGE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : LOA
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CMGOU000003J
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 08.37.27 SIT
02/02/15 08.37.26 ULK
02/02/25 08.37.26 APP LOA RECD, W8-12
02/02/15 08.31.59 LCK
01/30/15 17.53.02 ULK
01/30/15 17.53.02 HID PENDING ADDITIONAL ACTIVITY. SURF GBP V/D 2/2/LOA RECD/CORP RES IMAGED./DBAS
01/30/15 17.50.41 LOC
01/30/15 17.02.41 APP
01/30/15 17.02.40 ULK
SDNY_GM_00065753
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028578
EFTA_00 176253
EFTA01299679

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
01/30/15 17.02.40 APP
01/30/15 17.02.36 LCK
01/30/15 10.20.27 SUER
SIDNY_GM_00065754
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028579
EFTA_00 176254
EFTA01299680

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : EXE
ACCOUNT TYPE AMOUNT Ca BANN INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XH-024013 1 5,000.00 GBP IBD Mil 14.32.08 08.18.30 CMGOU0000071
USDE : $7,537.00
TRADE DATE: 01/30/2015
VALUE DATE: 02/02/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 OFFICE N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK MIDLGB22 HSBC BANK ➢LC LONDON UNITED KINODO
SECOND
FFC
ULT BENE CHARLOTTE E BOCLY
ADDITIONAL INSTRUCTIONS : ACCOUNT NUMBER SORT CODE 400619
RELEASE DATE : 2015-01-30
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03501 -MULTIPLE MARGIN REQUEST REQUIRES REVIEW AND APPROVAL.
03504 -MULTIPLE REQUEST
REASON : SLOA ON FILE
STANDING INSTRUCTION : Y
CURRENCY WIRES REF NUMBER : IMD1CW0000000071
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS ONOCENTS
02/02/15 08.18.31 MIT
02/02/15 08.18.30 ULK
02/02/15 08.18.30 APP W9, SUFF GBP, STI
02/02/15 08.16.45 LOC
01/30/15 18.12.40 ULK
01/30/15 18.12.40 HID PENDING ADDITIONAL ACTIVITY. SUFF GBA-I V/D 2/2/STI
01/30/15 18.11.22 LCK
SDNY_GM_00065755
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c OS-SDNY-0028580
EFTA_00 176255
EFTA01299681

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
USER ID DATE TIME STATUS COMMENTS
01/30/15 16.16.45 ULX
01/30/15 16.16.45 APP
01/30/15 16.15.24 LOZ
01/30/15 15.02.09 PAPP
01/30/15 14.32.08 ARRA Awaiting Mandatory Hold Period
01/30/15 14.32.08 SUBH Disclosure provided at initiation
SONY_GM_00065756
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DB-SDNY-0028581
EFTA 00176256
EFTA01299682

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT CCY BARK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
5XN-182251 1 19,271.81 EUR IBD 13.18.51 14.36.57 CWGOX000006I
USDE : $21,744.38
TRADE DATE: 02/02/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IRAN NAME CITY COUNTRY INVL
BANK RBOSIRDX ROYAL BANK OF SCOTLAND INTERNA DOUGLAS ISLE OF MAN
SECOND
FFC
ULT BENZ KREOS CAPITAL III LIMITED
ADDITIONAL INSTRUCTIONS :
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03301 -ALL CURRENCY WIRES TO APPROVAL.
03504 -MULTIPLE REQUEST
REASON : DOCS TO BE UPLOADED
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IMD1CNOOX000006I
Reg E Eligible : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 14.36.57 PPR
02/02/15 14.36.56 ULK
02/02/15 14.36.56 APP
02/02/15 14.36.51 LCK
02/02/15 13.18.51 SUBM
SDNY_GM_00065757
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028582
EFTA_00 176257
EFTA01299683

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 1
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6XE
ACCOUNT TYPE AMOUNT Ca BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
6UP-010035 1 335,408.36 BED IBD 09.03.30 10.10.47 CWGOX0000033
USDE : $43,260.97
TRADE DATE: 02/02/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
BANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY comm INVL
BANK HASEHKHH NANG SENG BANK LIMITED HONG KONG HONG KONG
SECOND
FFC
ULT BENZ TSE SHUK YEE CONNIE
ADDITIONAL INSTRUCTIONS : ACCT NUMBER BIM
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
02790 -THIRD PARTY REQUESTS REQUIRE PERSHING REVIEW.
03100 -REG E ELIGIBLE WIRE
03301 -ALL CURRENCY WIRES TO APPROVAL.
REASON : STANDING LOA ON FILE
STANDING INSTRUCTION : Y
CURRENCY WIRES REF NUMBER : IMD1CMG0X0000033
Req E Eligible : Yes
Was a foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TIME STATUS COMMENTS
02/02/15 10.10.47 PPR
02/02/15 10.10.47 ULK
02/02/15 10.10.47 APP
02/02/15 10.05.50 LCK
02/02/15 09.33.32 PAPP
02/02/15 09.03.30 AMIN Awaiting Mandatory Hold Period
02/02/15 09.03.30 SUBM Disclosure provided at initiation
SONY_GM_00065758
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(P DB-SDNY-0028583
EFTA_00 I 76258
EFTA01299684

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 2
REPORT ID: MBSOSOCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : EXE
ACCOUNT TYPE AMOUNT CCY BANK INIT DEPT DEPT INITIATED INITIATED UPDATED REQUEST
BY AT AT ID
6UP-012387 1 150,000.00 GBP IBD 11.41.15 15.09.59 CWGOX000004W
USDE : $225,255.00
TRADE DATE: 02/02/2015
VALUE DATE: 02/03/2015
FEE DESCRIPTION AMOUNT CHARGE TO WAIVE FEE REASON
WIRE FEE $30.00 CUSTOMER N/A
HANK-INFO SWIFT ID LOCAL BRANCH CODE/ACCT NO/IBAN NAME CITY COUNTRY INVL
BANK BARCOB22 BARCLAYS BANK PLC LONDON UNITED KINODO
SECOND
FFC
ULT ERNE THE WOOLWICH
ADDITIONAL INSTRUCTIONS : MORTGAGE ACCOUNT SHERMAN
RELEASE DATE : 2015-02-02
RELEASE COMMENTS
RULE NUMBER MESSAGE
03100 -REG E ELIGIBLE WIRE
03300 -THIRD PARTY REQUEST REQUIRES PERSHING REVIEW
03301 -ALL CURRENCY WIRES TO APPROVAL.
03600 -LOA REQUIRED. PLEASE FAX TO PERSHING
09952 -AML-VELOCITY FED FUND TRANSACTION THRESHOLD EXCEEDED FOR AN ESTABLISH
09999 -AIL/AGGREGATION ALERT- 2 RULES TRIGGERED IN 1 REQUESTS
REASON : LOA ON FILE
STANDING INSTRUCTION : N
CURRENCY WIRES REF NUMBER : IND1CMG0X000004W
Req E Eligible : Yes
Was a Foreign exchange transaction completed in connection with this wire request : No
USER ID DATE TINE STATUS COMMENTS
02/02/15 15.09.59 PPR
02/02/15 15.09.59 ULK
02/02/15 15.09.59 APP APPVD PER L2 APPVR CONMENTS/SUFF GBP IS AVAILABLE
02/02/15 15.09.10 LCK
02/02/15 14.55.01 ULK
SDNY_GM_00065759
ONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028584
EFTA 00176259
EFTA01299685

RUN DATE : 02/03/2015 - 00.06.52 ASSET MOVEMENT ACTIVITY - CURRENCY WIRES REPORT PAGE: 3
REPORT ID: MBSO5OCA-02 ACTIVITY REPORT FOR THE DATE : 02/02/2015
IBD NO : 6EE
USER ID DATE TIME STATUS COMMENTS
02/02/15 14.55.01 APP LOA / SUFF GBP / V/D 2-3
02/02/15 14.53.36 LOX
02/02/15 14.19.42 APP
02/02/25 14.19.42 ULK
02/02/15 14.19.42 APP
02/02/15 14.19.33 LCK
02/02/15 12.11.16 PAPP
02/02/15 11.41.16 ARNE Awaiting Mandatory Hold Period
02/02/15 11.41.15 SUBM Disclosure provided at initiation
SDNY_GM_00065760
ON FIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(c DS-SDNY-0028585
EFTA_00 176260
EFTA01299686