EFTA01429738.pdf

Tabellel Shared KYC Tracker General Information KYC Processing REM Scope Case Preparation Timestamps Final Approv al Additional Information Reason for KYC GCIS Customer Number KYC ID Full Legal Name Case Manager RAG Status Next Step by Exclusion Reason 4 Days in Outreach Due Date Customer Risk Score PEP? 4 Outreaches to RM Missing Documents (if any) Comment Case Source § Eye - ABR Date Added Case Started Latest RM Contact Latest Client Contact RM Outreach Escalati on Research Received Profile Completed KYC Escalation Started KYC Approved Team ACO Case Manager Location Type Entity Type RR 409100 1882073 Black, Leon D. Vijay Sawant Future review Pending Approval with ABR 9/27/18 High Initial Scope 7/24/18 1/8/18 8/22/18 USO NY Stewart Oldfield Mumb ai Individual N/A - Individual Remediation 550868 1946825 Prytanee, LLC Vijay Sawant Due soon Quality Rejection 8/31/18 High Initial Scope 7/24/18 5/30/18 USO NY Stewart Oldfield Mumbai Organization Company RR 489505 1977698 Vijay / Mayur Overdue Client Outreach with RM 24 7/27/18 High No 1 Initial email sent on 7/31/18 . Info on no material changes receive d on 8/16/18 Initial Scope 7/24/18 8/17/18 7/31/18 8/18/18 USO NY Stewart Oldfield Mumb ai Individual N/A - Individual RR 483289 1977695 Epstein, Jeffrey E. Vijay / Mayur Overdue Client Outreach with RM 2 8/8/18 High No 2 Initial email sent on 7/30/18 . Info on no material changes receive d on 8/16/18 Initial Scope 7/24/18 8/17/18 8/22/18 8/21/18 USO NY Stewart Oldfield Mumb ai Individual N/A - Individual RR 483882 1977703 Southern Financial LLC Vijay / Mayur Overdue Client Outreach with RM 0 8/8/18 High No 1 Since Initial email on 8/14/18 awaiting SOS from the banker. Partial info on no material changes received on 8/16/18. Email sent for SOS & Jean Anne name confirmation Initial Scope 7/24/18 8/17/18 8/24/18 8/21/18 USO NY Stewart Oldfield Mumbai Organization Company RR 483883 1977695 Southern Trust Company, Inc. Vijay / Mayur Overdue Client Outreach with RM 2 8/8/18 High No 2 Initial email sent on 7/30/18 . Info on no material changes received on 8/16/18 Initial Scope 7/24/18 8/17/18 8/22/18 8/21/18 USO NY Stewart Oldf ield Mumbai Organization Company RR 486427 1977699 J. Epstein Virgin Islands Foundation, Inc Vijay / Mayur Overdue Clie nt Outreach with RM 24 8/8/18 High No 1 Since Initial email on 7/30/18 await ing SOS & IRS Exepmtion confirmation from the banker. Partial info on no material changes received on 8/16/18. Initial Scope 7/24/18 8/17/18 7/31/18 8/21/18 USO NY Stewart Oldfield Mumb ai Organization Foundation/Association RR 499760 1977700 Gratitude America Ltd Vijay / Mayur Overdue Client Outreach with RM 1 8/16/18 High No 2 Since Initial email on 8/1/18 awaiting SOS from the banker. Partial info on no material changes received on 8/16/18. RP confirmation mail sent on 8/23/18 Initial Scop e 7/24/18 8/17/18 8/23/18 8/21/18 USO NY Stewart Oldfield Mumbai Organization Foun dation/Association RR 487264 1977698 Neptune, LLC Vijay / Mayur Overdue Client Outreach with RM 24 8/16 /18 High No 1 Initial email sent on 7/31/18 . Info on no material changes receive d on 8/16/18 Initial Scope 7/24/18 8/17/18 7/31/18 8/21/18 USO NY Stewart Oldfield Mumb ai Organization Company RR 487265 1977694 NES, LLC Vijay / Alka Overdue Client Outreach with RM 0 8/16 /18 High Received banker confirmation on material changes and FINCEN form. Awaiting clarifica tion on the addition of signatory due to discrepany in Corporate Resolution. Initial Scope 7/24 /18 8/17/18 8/24/18 USO NY Stewart Oldfield Mumbai Organization Company RR 499733 1977703 LSJE, LLC Vijay / Mayur Overdue Client Outreach with RM 0 8/18 /18 High No 1 Since Initial email on 8/14/18 awaiting SOS from the banker. Partial info on no material changes received on 8/16/18. Emails sent for SOS Initial Scope 7/24/18 8/17 /18 8/24/18 8/21/18 USO NY Stewart Oldfield Mumbai Organization Company RR 487225 1977699 Hyperion Air, LLC Vijay / Mayur Overdue Client Outreach with RM 24 8/18/18 High No 1 Since Initial email on 7/30/18 awaiting SOS from the banker. Partial info on no material changes received on 8/16/18. Initial Scope 7/24/18 8/17/18 7/31/18 8/21 /18 USO NY Stewart Oldfield Mumbai Organization Company RR 487244 1977705 JEGE, Inc Vijay / Alka Overdue Client Outreach with RM 1 8/18 /18 High Received banker confirmation on material changes and FINCEN form. Awaiting confirmat ion on the status of the account basis the comment on the customer page regarding the closure of the account. Initial Scope 7/24/18 8/17/18 8/23/18 USO NY Stewart Oldfield Mumbai Orga nization Company RR 487216 1977705 JEGE, LLC Vijay / Alka Overdue Client Outreach with RM 1 8/18 /18 High Received banker confirmation on material changes and FINCEN form. Awaiting clarifica tion on the addition of signatory due to discrepany in Corporate Resolution and SOS and COGS Init ial Scope 7/24/18 8/17/18 8/23/18 USO NY Stewart Oldfield Mumbai Organization Comp any RR 487219 1977694 Plan D, LLC Vijay / Alka Overdue Client Outreach with RM 0 8/18 /18 High Received banker confirmation on material changes and FINCEN form. Awaiting clarifica tion on the addition of signatory due to discrepany in Corporate Resolution. Initial Scope 7/24 /18 8/17/18 8/24/18 USO NY Stewart Oldfield Mumbai Organization Company RR 486423 1977705 Jeepers, Inc Vijay / Alka Overdue Client Outreach with RM 1 8/18 /18 High Received banker confirmation on material changes and FINCEN form. Awaiting clarifica tion on the addition of signatory due to discrepany in Corporate Resolution and SOS and COGS Init ial Scope 7/24/18 8/17/18 8/23/18 USO NY Stewart Oldfield Mumbai Organization Comp any RR 487266 1977700 Mort, Inc Vijay / Mayur Overdue Client Outreach with RM 1 8/18 EFTA01429738 /18 High No 2 Since Initial email on 8/1/18 awaiting SOS & COI from the banker. Pa rtial info on no material changes received on 8/16/18. RP confirmation mail sent on 8/23/18 Init ial Scope 7/24/18 8/17/18 8/23/18 8/21/18 USO NY Stewart Oldfield Mumbai Organization Company RR 550331 1977695 Zorro Management, LLC Vijay / Mayur Overdue Client Outreach with RM 2 8/18/18 High No 2 Since Initial email on 7/30/18 awaiting SOS from the banker. Partial info on no material changes received on 8/16/18. Initial Scope 7/24/18 8/17/18 8/22/18 8/21 /18 USO NY Stewart Oldfield Mumbai Organization Company RR 486426 1977698 Butterfly Trust Vijay / Mayur Due soon Client Outreach with RM 24 9/6/18 High No 1 Initial email sent on 7/31/18 . Info on no material changes receive d on 8/16/18 Initial Scope 7/24/18 8/17/18 7/31/18 8/18/18 USO NY Stewart Oldfield Mumb ai Organization Trust RR 487199 1977694 The 2007 Jeffrey E. Epstein Insurance Trust #3 Vijay / Alka Due soon Client Outreach with RM 0 9/6/18 High Received banker confirmation on material changes, aw aiting confirmation if this is personal trust so to have FinCen CDD form. Awaiting documents verifyi ng address and DOB of UBO Initial Scope 7/24/18 8/17/18 8/24/18 USO NY Stewart Oldfield Mumbai Organization Trust RR 486428 1977694 The Haze Trust Vijay / Alka Due soon Client Outreach with RM 0 9/6/18 High Received banker confirmation on material changes, awaiting confirmation if this is p ersonal trust so to have FinCen CDD form Initial Scope 7/24/18 8/17/18 8/24/18 USO NY Stew art Oldfield Mumbai Organization Trust RR 524664 The Jockey Club PAC Vijay Sawant Due soon Client not started 9/12 /18 High Initial Scope 7/24/18 USO NY Stewart Oldfield Mumbai Organization Foun dation/Association Date, when the KYC record has been added to this list. Eugen Gorschenin EFTA01429739