EFTA Document EFTA01356419

From: Melisa Venegas Sent: 7/6/2016 4:40:49 PM To: Armen Brash Andrew Gallivan ; Lee Rutter CC: Vaishali-P Mehta Subject: June 2016 AML/KYC Escalation Reports II) Attachments: US_Onshore.xlsx; US_Onshore.xlsx Classification: For Internal Use only All, ; Mark LaRoe Michael 5Jacoby Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes" Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 1 4 7* Moderate 1 1 19 21' Low 4 1 8 13* * some are pending AML Compliance's review Overdue Temporary Exceptions Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 2 4 Moderate 3 1 1 5 Low 4 4 Overdue High Risk in Person Meetings 26 OFFICE 0-30 31-60 61-90 +90 Grand Total Jacksonville 1 1 low 1 1 Los Angeles 1 3 4 High 1 1 Moderate 1 1 low 2 2 New York 10 1 1 19 31 High 1 4 5 Moderate 1 1 12 14 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042269 CONFIDENTIAL SDNY_GM_00188453 EFTA01356419