From: Melisa Venegaspagougam.
Sent: 5/4/2016 3:26:05 PM
To: Armen Brash Andrew Galliva Michael S Jacoby
Lee Rutter Mark LaRoe
CC: Vaishali-P Meht.
Subject: May 2016 AML/KYC Escalation Reports III
Attachments: US_Onshore.xlsx
Classification: For Noma' We only
All,
Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address
accordingly. Thank you.
ACUs w/Mat Changes"
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 1 7 8
Moderate 2 s 22 29
Low 1 1 10 12
28 are pending AML Compliance's review
Overdue Temporary Exceptions
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 1 18
Moderate 1 3
Low 1
Overdue High Risk in Person Meetings 32
Office 0-30 31-60 61-90 >90 Total
Los Angeles 1 1 4 6
High 1 1
Moderate
Low 1 1 2
New York 20 26
High 6 6
Moderate 10 15
Low 1 4 5
San Francisco 15 17
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042087
CONFIDENTIAL SDNY_GM_00188271
EFTA01356293