EFTA01356369.pdf

From: Melisa Venegas 1 Sent: 12/2/2016 12:5 : To: Armen Brash I Andrew Gallivan .by Mark laRo CC: Vaishali-P Mehta Subject: Nov 2016 AML/KYC Esca ation Reports 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 cc File: US_Onshore.xlsx » High 2 9 11 Moderate 1 2 1 8 12 Low 2 8 10 some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 1 Moderate 1 1 Low 1 1 2 Overdue High Risk in Person Meetings 7 City / Risk coming due 0-30 31-60 61-90 +90 Grand Total Los Angeles 3 3 6 high 2 2 moderate 2 2 low 1 1 2 Miami 1 3 4 high 1 1 moderate 1 1 low 2 2 New York 1 3 1 1 12 18 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042213 CONFIDENTIAL SDNY_GM_00188397 EFTA01356369