ID Task Name Duration Start Finish Resource

04 FebNames
'18
T W
1 KPMG to: 8 days Wed 14/02/18Fri 23/02/18
2 Perform substantive testing for 2017 7 days Thu 15/02/18 Fri 23/02/18
3 Conduct testing for reports in production this week 1 day Thu 15/02/18 Thu 15/02/18 E. Constantino
4 CPI 4 days Thu 15/02/18 Tue 20/02/18 Karolina
5 Bookkeeping 2 days Thu 15/02/18 Fri 16/02/18 Prateesh
6 Implement reports in production 4 days Tue 20/02/18 Fri 23/02/18
7 eSales 1 day Fri 16/02/18 Fri 16/02/18 Kanan
8 IMS 1 day Fri 16/02/18 Fri 16/02/18 Luba
9 Document Systems 1 day Fri 16/02/18 Fri 16/02/18 Amrool
10 Statement Systems 1 day Fri 16/02/18 Fri 16/02/18 Matt
11 GPDW / Broadridge Reports 1 day Fri 16/02/18 Fri 16/02/18 Ganesh
12 CMOD 1 day Fri 16/02/18 Fri 16/02/18 Victor
13 Conduct testing on remaining reports next week of Feb 19 4 days Tue 20/02/18 Fri 23/02/18 E. Constantino
14 eSales 3 days Tue 20/02/18 Thu 22/02/18 Kanan
15 IMS 1 day Tue 20/02/18 Tue 20/02/18 Luba
16 Document Systems 1 day Tue 20/02/18 Tue 20/02/18 Amrool,Matt
17 CMOD 1 day Tue 20/02/18 Tue 20/02/18 Victor
18 OLS 1 day Tue 20/02/18 Tue 20/02/18 Igor
19 Statement Systems 1 day Wed 21/02/18 Wed 21/02/18 Matt
20 GPDW / Broadridge Reports 1 day Wed 21/02/18 Wed 21/02/18 Ganesh
21 Provide summary of actions necessary for Citi to demonstrate material compliance 2 days Wed 14/02/18 Thu 15/02/18 M. Ovorio
22
23 Citi to: 11 days? Mon 12/02/18Mon 26/02/18
24 Affirm all queries are going into production Feb 16 th (meeting later today) 1 day Tue 13/02/18 Tue 13/02/18 John
25 Document evidence of corroborating production reports 2 days Tue 13/02/18 Wed 14/02/18 John
26 Solution and provide evidence of positive affirmation of No activity 10 days Tue 13/02/18 Mon 26/02/18Mario
27 Tactical: Use Production reports to demonstrate Non Activity (vLookup) 2 days Thu 22/02/18 Fri 23/02/18 Mario,Vanessa,Joe
28 Strategic: Develop BRD for Positive Affirmation of No Activity 3 days Thu 22/02/18 Mon 26/02/18 Mario,Nicole,Joe,Matt
29 Complete memo addressing material control weakness 3 days Wed 14/02/18Fri 16/02/18 Mark,Sal
30 Obtain estimate of total suppressed accounts and total suppressed statements in 2017 3 days Wed 14/02/18 Fri 16/02/18 Mario,Sal
31 January Reconciliation 9 days Mon 12/02/18Thu 22/02/18
32 Non-Production files 7 days Mon 12/02/18 Tue 20/02/18 Vanessa,Mario
33 Production files 3 days Tue 20/02/18 Thu 22/02/18 Vanessa,Mario
34 Affirm ability to bridge/validate Citi monthly statement delivery checkout to Broadridge 5 days Fri 16/02/18 Thu 22/02/18 John,Mario
physical delivery
35 274 Platform 3 days Tue 20/02/18 Thu 22/02/18 Joe,Nicole,John

Page 1
ID Task Name Duration Start Finish Resource
04 FebNames
'18
T W
36 418 Platform 2 days Tue 20/02/18 Wed 21/02/18 Mina,Nicole John
37 Follow up with Lou Pistecchia to action abandoned property accounts with positions and 2 days Wed Thu 15/02/18 Sal
balances (i.e. payout or escheat) 14/02/18
38
39 Closing Documents 16 days? Thu 08/02/18 Thu 01/03/18
40 Compliance Report 3 days Wed 14/02/18 Fri 16/02/18 Mark,Sal
41 Memo to Senior Management 3 days Wed 14/02/18 Fri 16/02/18 Mark,Sal
42
43 Broadridge 16 days Thu 08/02/18 Thu 01/03/18
44 ERF (RQST4073724) – account level monthly activity, balance and position 12 days Wed 14/02/18Thu 01/03/18 Nicole
45 SOW/Live in Production Wed 14/02/18 TBD Nicole,Mario
46 SER-98769 – affirmation of physical delivery 15 days Thu 08/02/18 Wed 28/02/18Nicole
47 Tactical File - 505 Platform 5 days Thu 08/02/18 Wed 14/02/18 Nicole,Mario
48 Tactical File - 274 Platform 11 days Fri 09/02/18 Fri 23/02/18 Nicole,Mario
49 Tactical File - 418 Platform 11 days Fri 09/02/18 Fri 23/02/18 Nicole,Mario
50 SOW/ Live in Production Thu 08/02/18 TBD Nicole,Mario
51
52 Procedures 12 days? Wed 14/02/18Thu 01/03/18
53 Technology to create procedures for the productionized files (PRF Template) 5 days Fri 23/02/18 Thu 01/03/18
54 CPI 5 days Fri 23/02/18 Thu 01/03/18 Karolina
55 Bookkeeping 5 days Fri 23/02/18 Thu 01/03/18 Prateesh
56 eSales 5 days Fri 23/02/18 Thu 01/03/18 Kanan
57 IMS 5 days Fri 23/02/18 Thu 01/03/18 Luba
58 Document Systems 5 days Fri 23/02/18 Thu 01/03/18 Amrool
59 Statement Systems 5 days Fri 23/02/18 Thu 01/03/18 Matt
60 GPDW / Broadridge Reports 5 days Fri 23/02/18 Thu 01/03/18 Ganesh
61 CMOD 5 days Fri 23/02/18 Thu 01/03/18 Victor
62 ISG to update procedures to include end-to-end reconciliation 8 days Wed 14/02/18 Fri 23/02/18 Mario
63
64 Automation of End-to-End Reconciliation 1 day? Wed 14/02/18Wed 14/02/18
65 Determine Reconciliation Platform 1 day? Wed 14/02/18 Wed 14/02/18 Greg,Mario

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 11 Feb '18 18 Feb '18 25 Feb '18
T F S S M T W T F S S M T W T F S S M T W T F S

Karolina
Prateesh

Kanan
Luba
Amrool
Matt
Ganesh
Victor

Kanan
Luba
Amrool,Matt
Victor
Igor
Matt
Ganesh
M. Ovorio

John
John

Mario,Vanessa,Joe
Mario,Nicole,Joe,Matt

Mario,Sal

Vanessa,Mario
Vanessa,Mario

Joe,Nicole,John

Page 3
 11 Feb '18 18 Feb '18 25 Feb '18
T F S S M T W T F S S M T W T F S S M T W T F S
Mina,Nicole John
Sal

Mark,Sal
Mark,Sal

Nicole,Mario

Nicole,Mario
Nicole,Mario
Nicole,Mario
Nicole,Mario

Karolina
Prateesh
Kanan
Luba
Amrool
Matt
Ganesh
Victor
Mario

Greg,Mario

Page 4