EFTA Document EFTA01373258

Minal-Raju Lambat • Nikansha Shivnani ; Shivansh Kothiwal I-l; Shabaz-Ahmed Niyaz-Ahmed-Sajjan Reporting ; Prakash Chotrani From: Rajesh Kumar Sent: 5/16/2019 1:24:47 PM To: Patrick Davis CC: Homer Frizzell ; Frank Lewe ; AM Amlcompliance ); Raakhee Jayakrishnan , Melony Jackson ; Keely Prince I ); Magdalena Matthews I MI; Andrea Favarelli [0IMI=IIMIIIM]; Natalia-A Lebedeva ; Nikhat Khan I-]; Wayne Salit J; Sweta Gupta Sagar-8 Sharma ; Madhuri-Ramakant-A Dhoble ; Chitrank Waygaonkar ; Rajesh Kumar ; Tim Semelbauer 1; Subject: AM KYC 2018 & 2019 MI Details [I] Attachments: DeAM-MIS-05-15-2019.xls Classification: For Internal use only Hi Patrick, Enclosed is the AM KYC (PR,NCA & EDR) MI for 2018 and 2019 as of May 151h 2019. For detailed overview, we have added the following Ml: 1. NCA 2018 & 2019 snapshot. 2. Status based on NRD (Next Review Date) for Periodic Reviews. 3. Aging of cases (Jan 1" — May 15th) basis last action date. 4. Aging of Event Driven Review cases (Jan 1" — May 15th) basis submission date. Movement from May 13th to May 15th 1. COB to AFC - 2 2. COB to Business - 18 3. Complete /Cancelled 25 Total client moved - 45 Highlights:- 1. In addition to the regular review: o Team has also worked on 3 OFAC searches. Response received from May 13th to May 15th 1. Business to COB —10 2. AFC to COB - 5 New Client Adoption — 2018 - 2019 COD CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067346 CONFIDENTIAL SDNY_GM_00213530 EFTA01373258