EFTA01417106.pdf

Subject: RE: Weekly Status Update - Week endin 10/12/2018 [I] From: Stewart Oldfield Date: Mon, 15 Oct 2018 09:49:32 -0400 To: Bradley Gillin Cc: Richard Iarossi Done. Thanks From: Bradley Gillin Sent: Monday, October 15, 2018 9:39 AM To: Stewart Oldfield Cc: Richard Iarossi Subject: FW: Weekly Status Update - Week ending 10/12/2018 [I] Importance: High Classification: For internal use only Stew, Push below cases to the next KYC queue. Thanks. KYC - Southern Financial LLC & LSJE, LLC (For Stewart) KYC - 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 Richard Iarossi Cc: Mayur Rathod Vinita Advanil Subject: Weekly Status Update - Week ending 10/12/2018 EFTA01417106 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. 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 EFTA01417107 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 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 EFTA01417108 KYC - Southern Financial LLC & LSJE, LLC (For Stewart) KYC - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, LLC (For Stewart) KYC Goldentree High Grade Floating Rate Fund GP LLC (For Brad) KYC Goldentree Loan Management GP, LLC (For Brad) Let me know if any queries, thanks. Kind Regards, fcid: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 Goregaon East, Mumbai - 400063 , India Tel. Mobil EFTA01417109