From: Melisa Venegas
Sent • 11/3/2016 12:22:00 PM
To: Armen Brash i Andrew Gallivan Michael 5Jacoby
tter Mark LaRoe
CC: Vais a e ta
Subject: Oct 2016 AML/KYC Escalation Reports III
Attachments: US_Onshore.xlsx
Classification. For internal use 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 « File: US_Onshore.xlsx »
High 1 8 9
Moderate 3 1 1 8 13
Low 4 4 8
'some are pending AML Compliance's review
Overdue Temporary Exceptions
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 7 3 5
Moderate 2 3
Low 3 4
Overdue High Risk in Person Meetings 7
City Coming due 0-30 31-60 61-90 +90
Los Angeles 1
High 1
Miami 3
Mod 1
Low 2
New York 4 2 1 1 15
High 1 1 6
Mod 1 2 1 6
Low 2 3
San Francisco 1 1 2 4
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042046
CONFIDENTIAL SDNY_GM_00188230
EFTA01356267