EFTA01430912.pdf

Subject: FW: Weekly Status Update - Week ending 10/12/2018 [I] From: Bradley Gillin < Date: Mon, 15 Oct 2018 09:39:28 -0400 To: Stewart Oldfield Cc: Richard Iarossi Classification: For internal use only Stew, Push below cases to the next KYC queue. Thanks. KYC Case01977703 - Southern Financial LLC & LSJE, LLC (For Stewart) KYC Case01977699 - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, LLC (For Stewart) Regards, Brad From: Vijay-A Sawant Sent: Monday, October 15, 2018 9:11 AM To: Bradley Gillin <a; Richard Iarossi Cc: ayur at o < ; Vinita Advani Subject: Weekly Status Update - Week ending 10/12/201 Importance: High Hello Brad, Apologies, I was meant to send this on Friday, but here it is, belatedly. The counts are provided for each risk rating indicated by H for High risk, M for Moderate & L for Low. Let me know if you have any queries, thanks. EFTA01430912 2018 HR Update: Status Count Notes Client not started H — 0; M — 39 & L - 52 Client Outreach H — 21; M — 6 & L - 0 Exclusion Completed H — 12; M — 0 & L - 0 All Sillerman accts are being handled by ABR on account of bankruptcy filing by the SOW — Jeffrey Epstein Fully Approved H — 19; M — 1 & L - 0 Initial Due Diligence H— 4; M— 1& L - 0 Pending Approval H — 20; M — 0 & L - 0 Accounts with PO are listed below for reference. These need to be pushed to EFTA01430913 the next stages. Pending Exclusion H— 2; M— 0& L - 0 Profile Completion H— 1; M— 0& L - 0 Expected to be submitted as soon as docs received for GoldenTree Quality Rejection H — 11; M — 10 & L - 1 Grand Total 200 KYC Case01977703 - Southern Financial LLC & LSJE, LLC (For Stewart) KYC Case01977699 - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, LLC (For Stewart) KYC Case01981931 - Goldentree High Grade Floating Rate Fund GP LLC (For Brad) KYC Case01984308 - Goldentree Loan Management GP, LLC (For Brad) Let me know if any queries, thanks. EFTA01430914 Kind Regards, {cid:1 [email protected]} Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Gore aon East, Mumbai - 400063 , India [email protected] EFTA01430915