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0 1812396 1. FinCen form address do not match the Limited Liability
Company Agreement for TWAP LLC 1. FinCen form address do not match
the Limited Liability Company Agreement for TWAP LLC Periodic Review
10/2/2018 4. Ready for AML & Bus. Risk Approval Vandarion Evans
Michael Lantz 0 1
IF(K168<>",IF(T168=1,"High",IF(U168=1,"Moderate","Low")),"")=Moderate
IF(K168<>",COUNTIF(K:K,K168),"")=2
IF(K168<>",SUM(B168:3168),"")=1
IF(K168<>",SUM(X168,A168),"")=1 WEEKNUM(0168,14)=40
WEEKNUM([@[Edit Date]],2)=40 IF(K168<>",LEN(M168),"")=88
(LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AC$1),"")))/LEN(AC$1)=1
(LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AD$1),"")))/LEN(AD$1)=0
(LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AE$1),"")))/LEN(AE$1)=0
(LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AF$1),"")))/LEN(AF$1)=0
0 1 0 0 0 2 0 0 0
0 1983253 1. In addition to the provided source of wealth
information, please provide info and narrative as to the source of funds
that will be deposited into the account. (SoF)
2. Please provide a percentage verification as to the different sources of
wealth. Specifically, which sources are responsible for more than 25% of the
UBOs wealth? (SoW)
3. Under section 3A of the Global print section covering UBO Jeffrey E.
Epstein, there is a box checked reflecting that Mr. Epstein has not resided
outside of the US for 5 years or more. This contradicts other media covering
Mr. Epstein suggesting he has resided in the US Virgin Islands for longer
than 5 years. Please confirm. (ID) High Risk Pilot Check
1. In addition to the provided source of wealth information, please
provide info and narrative as to the source of funds that will be deposited
into the account.
2. Please provide a percentage verification as to the different
sources of wealth. Specifically, which sources are responsible for more than
25% of the UBOs wealth?
3. Under section 3A of the Global print section covering UBO Jeffrey
E. Epstein, there is a box checked reflecting that Mr. Epstein has not
resided outside of the US for 5 years or more. This contradicts other media
covering Mr. Epstein suggesting he has resided in the US Virgin Islands for
longer than 5 years. Please confirm. Periodic Review 10/2/2018
4. Ready for AML & Bus. Risk Approval Parker Hastings Mayur Rathod
1 0
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please uncheck box in the KYC related parties section.
4. Parties related to the account: please mark Sandra as Signatory/-
Full POA acting in the capacity as Trustee.
5. Please indicate employment history how long has she been retired.
Please run research for Calpers, as Sandraa€'"s SOW, as applicable.
a. Section is blank: Estimated amount of investable assets($):
b. Section is blank: Amount of assets planned to invest with PWM($):
6. Legal Entity Details: Sandra C Coyle Trust a€" Missing EIN or TIN.
a. Section is blank: Nature of the Individuals€'"s Business:
7. Please attach account agreement for account# 655750, the attached
is for custody agreement 650480 & 650481. Existing Client - New
Account 10/30/2018 4. Ready for AML & Bus. Risk Approval Jo-Anne
Santos Teresa Sapp 0 0
IF(K406<>"",IF(T406=1,"High",IF(U406=1,"Moderate","Low")),"")=Low
IF(K406<>"",COUNTIF(K:K,K406),"")=1
IF(K406<>"",SUM(B406:3406),"")=0
IF(K406<>"",SUM(X406,A406),"")=0 WEEKNUM(0406,14)=44
WEEKNUM([@[Edit Date]],2)=44 IF(K406<>"",LEN(M406),"")=1420
(LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AC$1),"")))/LEN(AC$1)=0
(LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AD$1),"")))/LEN(AD$1)=0
(LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AE$1),"")))/LEN(AE$1)=2
(LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AF$1),"")))/LEN(AF$1)=1
0 0 0 0 0 0 0 0 0
0 1960714 "10/29/2018 New Rejection Points due to provided
information:
1. The updated ownership indicates Steven Tananbaum as 39.1% owner of
the LP, which has 100% membership interests of the account holder. Please
indicate how he holds 40.68% of the account holder through the LP. 4
2. GlobalTree Asset Management Transportation LLC a€" Organizational
structure does not match with the provided updated ownership structure.
Please review the descriptions pursuant the updated ownership. 4
3. Steve Tananbaum is the only one who owns more than 10% of the
account holder. Please update the account roles for Leon M. Wagner and Mr.
Tananbaum (a€reSignificant Shareholders€° and a€aeOthera€g). 5
4. Section D a€" Please check Steven Tananbaums negative results
referred to Google search. There are several articles about a law suit.
Please also disposition the Panama hit for GoldenTree Asset Management LP. 8
5. Updated SoW verification for UBOs and account holder are not
attached. Please provide us with those. 6
6. Please provide us with a new FinCen form, since it is an EDR. 7
10/29/2018 New Rejection Points due to provided information:
1. The updated ownership indicates Steven Tananbaum as 39.1% owner of
the LP, which has 100% membership interests of the account holder. Please
indicate how he holds 40.68% of the account holder through the LP.
2. GlobalTree Asset Management Transportation LLC a€" Organizational
structure does not match with the provided updated ownership structure.
Please review the descriptions pursuant the updated ownership.
3. Steve Tananbaum is the only one who owns more than 10% of the
account holder. Please update the account roles for Leon M. Wagner and Mr.
Tananbaum (a€aeSignificant Shareholders€! and a€aeOthera€U).
4. Section D a€" Please check Steven Tananbaums negative results
EFTA01408495
referred to Google search. There are several articles about a law suit.
Please also disposition the Panama hit for GoldenTree Asset Management LP.
5. Updated SoW verification for UBOs and account holder are not
attached. Please provide us with those.
6. Please provide us with a new FinCen form, since it is an EDR.
Below rejection points are as a result of a preliminary review by a Passcon
staff. AFC has not yet reviewed the case.
1. Please populate the missing CRSLU Account No, if it is available
RESOLVED
2. Please attach Google and ICIJ Research for the account holder and
UBOs. RESOLVED
3. The Incorporation Date of GoldenTree Asset Management LP does not
match with regard to the COGS. Please change the date. RESOLVED
4. Please populate the Country of Incorp. and countries where business
is transacted for Goldentree Asset Management LP. RESOLVED
5. As Barry Ritholza€'"s Profession is General Counsel, please attach
the Martindale research. RESOLVED
6. Section Wealth Profile: the SoW of the Primary Country and Primary
Industry is blank for UBOs and account holder. Please populate these fields.
RESOLVED
7. Please give a reference for the individualsa€'" IDs. IDs are neither
attached to the current nor in the previous KYCs. (#01777384 and #01818319).
RESOLVED
8. Please summarize and disposition any negative result (RDC, ICIJ
etc.) in Section D, more specifically for each Party even if no negative
result was found.
9. The product of account 42927314 in DBforce is Deposit Transaction.
Please review the purpose for the account as it is described as Money Market
Business Account. RESOLVED
10. Please confirm whether Mr. Tananbaum received 25% of his SoW of his
prior employer MacKay or not. He worked there from 1989-1999 as an
investment specialist. If yes, please run research for MacKay. RESOLVED
11. GoldenTree Asset Management LLC a€" please correct ownership
narrative regarding its relationship to the LP. RESOLVED
12. Please provide us with a certified ownership structure or with the
Goldentree Asset Management LP Partnership Agreement. The initial capital
contribution percentages are attached, but there is a contradiction, as the
LP has a 100% membership interest in the account holder, which is not
indicated. Leon Wagner is also no longer a limited partner of the LP
according to the description of the organizational structure for the LP, so
we need to know if he still has a significant ownership stake in the account
holder or not. RESOLVED
13. Updated SoW verification for UBOs and account holder are not
attached. Please provide us with those. Update to KYC 10/30/2018
5. Ready for Compliance Approval Chris Klug Vijay-A Sawant
1 0
IF(K407<>",IF(T407=1,"High",IF(U407=1,"Moderate","Low")),"")=High
IF(K407<>",COUNTIF(K:K,K407),"")=2
IF(K407<>",SUM(B407:3407),"")=0
IF(K407<>",SUM(X407,A407),"")=0 WEEKNUM(0407,14)=44
EFTA01408496
WEEKNUM([@[Edit Date]],2)=44 IF(K407<>"",LEN(M407),"")=3326
(LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AC$1),"")))/LEN(AC$1)=1
(LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AD$1),"")))/LEN(AD$1)=1
(LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AE$1),"")))/LEN(AE$1)=1
(LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AF$1),"")))/LEN(AF$1)=4
0 0 0 0 0 0 0 0 0
0 1968676 High risk 10 Point Pilot Program Periodic Review
10/31/2018 4. Ready for AML & Bus. Risk Approval Morgan Trichel
Rebecca Lang N/A 1 0
IF(K408<>"",IF(T408=1,"High",IF(U408=1,"Moderate","Low")),"")=High
IF(K408<>"",COUNTIF(K:K,K408),"")=1
IF(K408<>"",SUM(B408:3408),"")=0
IF(K408<>"",SUM(X408,A408),"")=0 WEEKNUM(0408,14)=44
WEEKNUM([@[Edit Date]],2)=44 IF(K408<>"",LEN(M408),"")=32
(LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AC$1),"")))/LEN(AC$1)=0
(LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AD$1),"")))/LEN(AD$1)=0
(LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AE$1),"")))/LEN(AE$1)=0
(LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AF$1),"")))/LEN(AF$1)=0
0 0 0 0 0 0 0 0 0
0 1965768 "AFC has not yet reviewed the case. Below is a list of
preliminary rejection points:
1. Please rerun Research for Claire Judith COOKE and Martin CALATRAVA, as
their last names were misspelled in the attached research. Also, please run
research for all SoW entities (Argentine Bank + Argentine Insurance Company
is missing). 8
2. Please address every party that was researched in section D (summary of
negative media/court cases) even if no negative media/court cases have been
found. Also, please address the negative media for Anthony Patrick Haigh in
section D. 8
3. Please describe the chain from the direct owner of the account holder
(Michelia Inc.) to the ultimate beneficial owner in more detail and name all
beneficiaries of the trust. 4
4. Please add google and ICIJ searches with the Spanish names of the related
parties just like it has been done for research (e.g. Andrew Mark Haigh -->
Andres Marcos Haigh)."8 AFC has not yet reviewed the case. Below is a list
of preliminary rejection points:
1. Please rerun Research for Claire Judith COOKE and Martin CALATRAVA, as
their last names were misspelled in the attached research. Also, please run
research for all SoW entities (Argentine Bank + Argentine Insurance Company
is missing).
2. Please address every party that was researched in section D (summary of
negative media/court cases) even if no negative media/court cases have been
found. Also, please address the negative media for Anthony Patrick Haigh in
section D.
3. Please describe the chain from the direct owner of the account holder
(Michelia Inc.) to the ultimate beneficial owner in more detail and name all
beneficiaries of the trust.
4. Please add google and ICIJ searches with the Spanish names of the related
parties just like it has been done for research (e.g. Andrew Mark Haigh -->
Andres Marcos Haigh). Periodic Review 10/31/2018 5. Ready for
EFTA01408497
Compliance Approval Jannik Grantz Karina Bustamante 1
0
IF(K409<>"",IF(T409=1,"High",IF(U409=1,"Moderate","Low")),"")=High
IF(K409<>"",COUNTIF(K:K,K409),"")=1
IF(K409<>"",SUM(8409:3409),"")=0
IF(K409<>"",SUM(X409,A409),"")=0 WEEKNUM(0409,14)=44
WEEKNUM([@[Edit Date]],2)=44 IF(K409<>"",LEN(M409),"")=918
(LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AC$1),"")))/LEN(AC$1)=0
(LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AD$1),"")))/LEN(AD$1)=0
(LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AE$1),"")))/LEN(AE$1)=1
(LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AF$1),"")))/LEN(AF$1)=1
0 0 0 0 0 0 0
1989477 .1. Pease make Tamar and Esther the account holders-RESOLVED
2. Please removed Joshua as a related party role -RESOLVED
3. Joshua is SOW of wealth can be listed as other. -RESOLVED
4. Both account holders are minors, therefore, we can obtain birth
certificates -RESOLVED
5. Please indicate from where the assets are expected to arrive from both
account. -RESOLVED
6. Please provide CRRM risk cal and Global Print -RESOLVED
7. Please provide risk rating comments-RESOLVED
8. Please run searches for Samual Shoshan
9. Please run searches for National Can, Continental Can, and
Container and Packaging System International
10. Please run searches for Texam International Update to KYC
10/31/2018 4. Ready for AML & Bus. Risk Approval Vandarion Evans
Michele-M Quattrocchi 0 0
IF(K410<>"",IF(T410=1,"High",IF(U410=1,"Moderate","Low")),"")=Low
IF(K410<>"",COUNTIF(K:K,K410),"")=3
IF(K410<>"",SUM(8410:3410),"")=0
IF(K410<>"",SUM(X410,A410),"")=0 WEEKNUM(0410,14)=44
WEEKNUM([@[Edit Date]],2)=44 IF(K410<>"",LEN(M410),"")=667
(LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AC$1),"")))/LEN(AC$1)=0
(LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AD$1),"")))/LEN(AD$1)=0
(LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AE$1),"")))/LEN(AE$1)=0
(LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AF$1),"")))/LEN(AF$1)=0
&"arial unicode ms,Regular"For internal use only
EFTA01408498
ℹ️ Document Details
SHA-256
845b97b24770656a24e2137cc25671a8f895355574e056386de12eeae9508aa5
Bates Number
EFTA01408073
Dataset
DataSet-10
Document Type
document
Pages
426
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