From: Andrew Gallivan [
Sent: 4/6/2016 12:26:39 PM
To: Armen Brash
Subject: FW: Apr 2016 AML/KYC Escalation Reports III
Attachments US Onshore.xlsx
Classification: For Infernal use only
Can you get an idea of when our high risk will clear?
From: Melisa Venegas
Sent: Wednesday, April 06, 2016 12:22 PM
To: Armen Brash; Andrew Gallivan; Michael S Jacoby; Lee Hater; Mark LaRoe
Cc: Vaishali-P Mehta
Subject: Apr 2016 AML/KYC Escalation Reports [I]
Classification: For Internal use only
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
High 7 7
Moderate 2 5 7 15 29
Low 1 2 10 13
Overdue Temporary Exceptions
Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total
High 15 1 16
Moderate 1 1 2
Low 2 2
Overdue High Risk in Person Meetings 25
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042280
CONFIDENTIAL SDNY_GM_00188464
EFTA01356427