EFTA01356342.pdf

Classification: For Internal use only Dear Andrew , All the below ACUs were completed for High Risk clients for this month. As you know the new Policy now requires an MD Approval over and above the approval of the account owner / RM. Which means if the RM is an MD, the approval must come from another MD who is in their reporting line. In that regard, could you please approve the below ACUs? Annual Annual GCIS Client A15. Client Client Customer Customer Customer Name MD Update: A14. Status Update A16. A17. Update: Owner Number Created Description ID Date Commitments to the fund are raised from a number of sources including personal pension The entity is a funds, Private Equity financial Investments firm. institutions, Commitments to foundations, endowments, the fund are raised and wealthy from a number of individuals. Yr sources including Net Profit CJA Private personal pension $10MM, Equity funds, financial Investable Financial institutions, Assets Restructuring foundations, $100MM No Master Fund I, Andrew endowments, and changes so Mark L.P. Gallivan 3/8/2017 wealthy individuals. far this year. No Gonzalez The entity is a Private Equity Investments firm. Commitments to Yr Net Profit the fund are raised $10MM, from a number of Investable sources including Assets personal pension $100MM CJA Public funds, financial There have Private Multi institutions, been no Manager foundations, changes for Master Fund, Andrew endowments, and this entity this Mark L.P. Gallivan 3/8/2017 wealthy individuals. year. No No Gonzalez There have Private Equity been no Investments- significant Gapstow Income is derived changes to Capital Andrew from investment this client's Mark Partners LP Gallivan 3/8/2017 management fees. activity. No No Gonzalez CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042164 CONFIDENTIAL SDNY_GM_00188348 EFTA01356342