EFTA Document EFTA01408073

PROT0 PROT1 PROT2 PROT3 PROT4 PROT5 PROT6 PROT7 PROT8 PROT9 PROT10 PROT11 PROT12 PROT13 PROT14 PROT15 PROT16 PROT17 PROT18 PROT19 PROT20 PROT21 PROT22 PROT23 PROT24 PROT25 PROT26 PROT27 PROT28 PROT29 PROT30 PROT31 PROT32 PROT33 PROT34 PROT35 PROT36 PROT37 PROT38 PROT39 PROT40 PROT41 PROT42 PROT43 PROT44 PROT45 PROT46 PROT47 PROT48 PROT49 PROT50 PROT51 PROT52 PROT53 PROT54 PROT55 PROT56 PROT57 PROT58 PROT59 PROT60 PROT61 PROT62 PROT63 PROT64 PROT65 PROT66 PROT67 PROT68 PROT69 PROT70 PROT71 PROT72 PROT73 PROT74 PROT75 PROT76 PROT77 PROT78 PROT79 PROT80 PROT81 PROT82 PROT83 PROT84 PROT85 PROT86 PROT87 PROT88 PROT89 PROT90 PROT91 PROT92 PROT93 PROT94 PROT95 PROT96 PROT97 PROT98 PROT99 PROT100 PROT101 PROT102 PROT103 PROT104 PROT105 PROT106 PROT107 PROT108 PROT109 PROT110 PROT111 PROT112 PROT113 PROT114 PROT115 PROT116 PROT117 PROT118 PROT119 PROT120 PROT121 PROT122 PROT123 PROT124 PROT125 PROT126 PROT127 PROT128 PROT129 PROT130 PROT131 PROT132 PROT133 PROT134 PROT135 PROT136 PROT137 PROT138 PROT139 PROT140 PROT141 PROT142 PROT143 PROT144 PROT145 PROT146 PROT147 PROT148 PROT149 PROT150 PROT151 PROT152 PROT153 PROT154 PROT155 PROT156 PROT157 PROT158 PROT159 PROT160 PROT161 PROT162 PROT163 PROT164 PROT165 PROT166 PROT167 PROT168 0 1812396 1. FinCen form address do not match the Limited Liability Company Agreement for TWAP LLC 1. FinCen form address do not match the Limited Liability Company Agreement for TWAP LLC Periodic Review 10/2/2018 4. Ready for AML & Bus. Risk Approval Vandarion Evans Michael Lantz 0 1 IF(K168<>",IF(T168=1,"High",IF(U168=1,"Moderate","Low")),"")=Moderate IF(K168<>",COUNTIF(K:K,K168),"")=2 IF(K168<>",SUM(B168:3168),"")=1 IF(K168<>",SUM(X168,A168),"")=1 WEEKNUM(0168,14)@ WEEKNUM([@[Edit Date]],2)@ IF(K168<>",LEN(M168),"")ˆ (LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AC$1),"")))/LEN(AC$1)=1 (LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AD$1),"")))/LEN(AD$1)=0 (LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AE$1),"")))/LEN(AE$1)=0 (LEN($L168)-LEN(SUBSTITUTE(UPPER($L168),UPPER(AF$1),"")))/LEN(AF$1)=0 0 1 0 [repeated 3 times] 2 0 [repeated 4 times] 1983253 1. In addition to the provided source of wealth information, please provide info and narrative as to the source of funds that will be deposited into the account. (SoF) 2. Please provide a percentage verification as to the different sources of wealth. Specifically, which sources are responsible for more than 25% of the UBOs wealth? (SoW) 3. Under section 3A of the Global print section covering UBO Jeffrey E. Epstein, there is a box checked reflecting that Mr. Epstein has not resided outside of the US for 5 years or more. This contradicts other media covering Mr. Epstein suggesting he has resided in the US Virgin Islands for longer than 5 years. Please confirm. (ID) High Risk Pilot Check 1. In addition to the provided source of wealth information, please provide info and narrative as to the source of funds that will be deposited into the account. 2. Please provide a percentage verification as to the different sources of wealth. Specifically, which sources are responsible for more than 25% of the UBOs wealth? 3. Under section 3A of the Global print section covering UBO Jeffrey E. Epstein, there is a box checked reflecting that Mr. Epstein has not resided outside of the US for 5 years or more. This contradicts other media covering Mr. Epstein suggesting he has resided in the US Virgin Islands for longer than 5 years. Please confirm. Periodic Review 10/2/2018 Parker Hastings Mayur Rathod 1 0 PROT169 PROT170 PROT171 PROT172 PROT173 PROT174 PROT175 PROT176 PROT177 PROT178 PROT179 PROT180 PROT181 PROT182 PROT183 PROT184 PROT185 PROT186 PROT187 PROT188 PROT189 PROT190 PROT191 PROT192 PROT193 PROT194 PROT195 PROT196 PROT197 PROT198 PROT199 PROT200 PROT201 PROT202 PROT203 PROT204 PROT205 PROT206 PROT207 PROT208 PROT209 PROT210 PROT211 PROT212 PROT213 PROT214 PROT215 PROT216 PROT217 PROT218 PROT219 PROT220 PROT221 PROT222 PROT223 PROT224 PROT225 PROT226 PROT227 PROT228 PROT229 PROT230 PROT231 PROT232 PROT233 PROT234 PROT235 PROT236 PROT237 PROT238 PROT239 PROT240 PROT241 PROT242 PROT243 PROT244 PROT245 PROT246 PROT247 PROT248 PROT249 PROT250 PROT251 PROT252 PROT253 PROT254 PROT255 PROT256 PROT257 PROT258 PROT259 PROT260 PROT261 PROT262 PROT263 PROT264 PROT265 PROT266 PROT267 PROT268 PROT269 PROT270 PROT271 PROT272 PROT273 PROT274 PROT275 PROT276 PROT277 PROT278 PROT279 PROT280 PROT281 PROT282 PROT283 PROT284 PROT285 PROT286 PROT287 PROT288 PROT289 PROT290 PROT291 PROT292 PROT293 PROT294 PROT295 PROT296 PROT297 PROT298 PROT299 PROT300 PROT301 PROT302 PROT303 PROT304 PROT305 PROT306 PROT307 PROT308 PROT309 PROT310 PROT311 PROT312 PROT313 PROT314 PROT315 PROT316 PROT317 PROT318 PROT319 PROT320 PROT321 PROT322 PROT323 PROT324 PROT325 PROT326 PROT327 PROT328 PROT329 PROT330 PROT331 PROT332 PROT333 PROT334 PROT335 PROT336 PROT337 PROT338 PROT339 PROT340 PROT341 PROT342 PROT343 PROT344 PROT345 PROT346 PROT347 PROT348 PROT349 PROT350 PROT351 PROT352 PROT353 PROT354 PROT355 PROT356 PROT357 PROT358 PROT359 PROT360 PROT361 PROT362 PROT363 PROT364 PROT365 PROT366 PROT367 PROT368 PROT369 PROT370 PROT371 PROT372 PROT373 PROT374 PROT375 PROT376 PROT377 PROT378 PROT379 PROT380 PROT381 PROT382 PROT383 PROT384 PROT385 PROT386 PROT387 PROT388 PROT389 PROT390 PROT391 PROT392 PROT393 PROT394 PROT395 PROT396 PROT397 PROT398 PROT399 PROT400 PROT401 PROT402 PROT403 PROT404 PROT405 PROT406 PROT407 PROT408 PROT409 PROT410 PROT411 PROT412 PROT413 PROT414 PROT415 PROT416 PROT417 PROT418 PROT419 PROT420 PROT421 please uncheck box in the KYC related parties section. 4. Parties related to the account: please mark Sandra as Signatory/- Full POA acting in the capacity as Trustee. 5. Please indicate employment history how long has she been retired. Please run research for Calpers, as Sandraa€'"s SOW, as applicable. a. Section is blank: Estimated amount of investable assets($): b. Section is blank: Amount of assets planned to invest with PWM($): 6. Legal Entity Details: Sandra C Coyle Trust a€" Missing EIN or TIN. a. Section is blank: Nature of the Individuals€'"s Business: 7. Please attach account agreement for account# 655750, the attached is for custody agreement 650480 & 650481. Existing Client - New Account 10/30/2018 Jo-Anne Santos Teresa Sapp 0 0 IF(K406<>"",IF(T406=1,"High",IF(U406=1,"Moderate","Low")),"")=Low IF(K406<>"",COUNTIF(K:K,K406),"")=1 IF(K406<>"",SUM(B406:3406),"")=0 IF(K406<>"",SUM(X406,A406),"")=0 WEEKNUM(0406,14)D WEEKNUM([@[Edit Date]],2)D IF(K406<>"",LEN(M406),"")20 (LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AC$1),"")))/LEN(AC$1)=0 (LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AD$1),"")))/LEN(AD$1)=0 (LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AE$1),"")))/LEN(AE$1)=2 (LEN($L406)-LEN(SUBSTITUTE(UPPER($L406),UPPER(AF$1),"")))/LEN(AF$1)=1 0 [repeated 10 times] 1960714 "10/29/2018 New Rejection Points due to provided information: 1. The updated ownership indicates Steven Tananbaum as 39.1% owner of the LP, which has 100% membership interests of the account holder. Please indicate how he holds 40.68% of the account holder through the LP. 4 2. GlobalTree Asset Management Transportation LLC a€" Organizational structure does not match with the provided updated ownership structure. Please review the descriptions pursuant the updated ownership. 4 3. Steve Tananbaum is the only one who owns more than 10% of the account holder. Please update the account roles for Leon M. Wagner and Mr. Tananbaum (a€reSignificant Shareholders€° and a€aeOthera€g). 5 4. Section D a€" Please check Steven Tananbaums negative results referred to Google search. There are several articles about a law suit. Please also disposition the Panama hit for GoldenTree Asset Management LP. 8 5. Updated SoW verification for UBOs and account holder are not attached. Please provide us with those. 6 6. Please provide us with a new FinCen form, since it is an EDR. 7 10/29/2018 New Rejection Points due to provided information: 1. The updated ownership indicates Steven Tananbaum as 39.1% owner of the LP, which has 100% membership interests of the account holder. Please indicate how he holds 40.68% of the account holder through the LP. 2. GlobalTree Asset Management Transportation LLC a€" Organizational structure does not match with the provided updated ownership structure. Please review the descriptions pursuant the updated ownership. 3. Steve Tananbaum is the only one who owns more than 10% of the account holder. Please update the account roles for Leon M. Wagner and Mr. Tananbaum (a€aeSignificant Shareholders€! and a€aeOthera€U). 4. Section D a€" Please check Steven Tananbaums negative results PROT422 referred to Google search. There are several articles about a law suit. Please also disposition the Panama hit for GoldenTree Asset Management LP. 5. Updated SoW verification for UBOs and account holder are not attached. Please provide us with those. 6. Please provide us with a new FinCen form, since it is an EDR. Below rejection points are as a result of a preliminary review by a Passcon staff. AFC has not yet reviewed the case. 1. Please populate the missing CRSLU Account No, if it is available RESOLVED 2. Please attach Google and ICIJ Research for the account holder and UBOs. RESOLVED 3. The Incorporation Date of GoldenTree Asset Management LP does not match with regard to the COGS. Please change the date. RESOLVED 4. Please populate the Country of Incorp. and countries where business is transacted for Goldentree Asset Management LP. RESOLVED 5. As Barry Ritholza€'"s Profession is General Counsel, please attach the Martindale research. RESOLVED 6. Section Wealth Profile: the SoW of the Primary Country and Primary Industry is blank for UBOs and account holder. Please populate these fields. RESOLVED 7. Please give a reference for the individualsa€'" IDs. IDs are neither attached to the current nor in the previous KYCs. (#01777384 and #01818319). RESOLVED 8. Please summarize and disposition any negative result (RDC, ICIJ etc.) in Section D, more specifically for each Party even if no negative result was found. 9. The product of account 42927314 in DBforce is Deposit Transaction. Please review the purpose for the account as it is described as Money Market Business Account. RESOLVED 10. Please confirm whether Mr. Tananbaum received 25% of his SoW of his prior employer MacKay or not. He worked there from 1989-1999 as an investment specialist. If yes, please run research for MacKay. RESOLVED 11. GoldenTree Asset Management LLC a€" please correct ownership narrative regarding its relationship to the LP. RESOLVED 12. Please provide us with a certified ownership structure or with the Goldentree Asset Management LP Partnership Agreement. The initial capital contribution percentages are attached, but there is a contradiction, as the LP has a 100% membership interest in the account holder, which is not indicated. Leon Wagner is also no longer a limited partner of the LP according to the description of the organizational structure for the LP, so we need to know if he still has a significant ownership stake in the account holder or not. RESOLVED 13. Updated SoW verification for UBOs and account holder are not attached. Please provide us with those. Update to KYC 10/30/2018 5. Ready for Compliance Approval Chris Klug Vijay-A Sawant 1 0 IF(K407<>",IF(T407=1,"High",IF(U407=1,"Moderate","Low")),"")=High IF(K407<>",COUNTIF(K:K,K407),"")=2 IF(K407<>",SUM(B407:3407),"")=0 IF(K407<>",SUM(X407,A407),"")=0 WEEKNUM(0407,14)D PROT423 IF(K407<>"",LEN(M407),"")326 (LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AC$1),"")))/LEN(AC$1)=1 (LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AD$1),"")))/LEN(AD$1)=1 (LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AE$1),"")))/LEN(AE$1)=1 (LEN($L407)-LEN(SUBSTITUTE(UPPER($L407),UPPER(AF$1),"")))/LEN(AF$1)=4 0 [repeated 10 times] 1968676 High risk 10 Point Pilot Program Periodic Review 10/31/2018 Morgan Trichel Rebecca Lang N/A 1 0 IF(K408<>"",IF(T408=1,"High",IF(U408=1,"Moderate","Low")),"")=High IF(K408<>"",COUNTIF(K:K,K408),"")=1 IF(K408<>"",SUM(B408:3408),"")=0 IF(K408<>"",SUM(X408,A408),"")=0 WEEKNUM(0408,14)D IF(K408<>"",LEN(M408),"")2 (LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AC$1),"")))/LEN(AC$1)=0 (LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AD$1),"")))/LEN(AD$1)=0 (LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AE$1),"")))/LEN(AE$1)=0 (LEN($L408)-LEN(SUBSTITUTE(UPPER($L408),UPPER(AF$1),"")))/LEN(AF$1)=0 0 [repeated 10 times] 1965768 "AFC has not yet reviewed the case. Below is a list of preliminary rejection points: 1. Please rerun Research for Claire Judith COOKE and Martin CALATRAVA, as their last names were misspelled in the attached research. Also, please run research for all SoW entities (Argentine Bank + Argentine Insurance Company is missing). 8 2. Please address every party that was researched in section D (summary of negative media/court cases) even if no negative media/court cases have been found. Also, please address the negative media for Anthony Patrick Haigh in section D. 8 3. Please describe the chain from the direct owner of the account holder (Michelia Inc.) to the ultimate beneficial owner in more detail and name all beneficiaries of the trust. 4 4. Please add google and ICIJ searches with the Spanish names of the related parties just like it has been done for research (e.g. Andrew Mark Haigh --> Andres Marcos Haigh)."8 AFC has not yet reviewed the case. Below is a list of preliminary rejection points: 1. Please rerun Research for Claire Judith COOKE and Martin CALATRAVA, as their last names were misspelled in the attached research. Also, please run research for all SoW entities (Argentine Bank + Argentine Insurance Company is missing). 2. Please address every party that was researched in section D (summary of negative media/court cases) even if no negative media/court cases have been found. Also, please address the negative media for Anthony Patrick Haigh in section D. 3. Please describe the chain from the direct owner of the account holder (Michelia Inc.) to the ultimate beneficial owner in more detail and name all beneficiaries of the trust. 4. Please add google and ICIJ searches with the Spanish names of the related parties just like it has been done for research (e.g. Andrew Mark Haigh --> Andres Marcos Haigh). Periodic Review 10/31/2018 5. Ready for PROT424 Compliance Approval Jannik Grantz Karina Bustamante 1 0 IF(K409<>"",IF(T409=1,"High",IF(U409=1,"Moderate","Low")),"")=High IF(K409<>"",COUNTIF(K:K,K409),"")=1 IF(K409<>"",SUM(8409:3409),"")=0 IF(K409<>"",SUM(X409,A409),"")=0 WEEKNUM(0409,14)D IF(K409<>"",LEN(M409),"")‘8 (LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AC$1),"")))/LEN(AC$1)=0 (LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AD$1),"")))/LEN(AD$1)=0 (LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AE$1),"")))/LEN(AE$1)=1 (LEN($L409)-LEN(SUBSTITUTE(UPPER($L409),UPPER(AF$1),"")))/LEN(AF$1)=1 0 [repeated 7 times] 1989477 .1. Pease make Tamar and Esther the account holders-RESOLVED 2. Please removed Joshua as a related party role -RESOLVED 3. Joshua is SOW of wealth can be listed as other. -RESOLVED 4. Both account holders are minors, therefore, we can obtain birth certificates -RESOLVED 5. Please indicate from where the assets are expected to arrive from both account. -RESOLVED 6. Please provide CRRM risk cal and Global Print -RESOLVED 7. Please provide risk rating comments-RESOLVED 8. Please run searches for Samual Shoshan 9. Please run searches for National Can, Continental Can, and Container and Packaging System International 10. Please run searches for Texam International Update to KYC 10/31/2018 Vandarion Evans Michele-M Quattrocchi 0 0 IF(K410<>"",IF(T410=1,"High",IF(U410=1,"Moderate","Low")),"")=Low IF(K410<>"",COUNTIF(K:K,K410),"")=3 IF(K410<>"",SUM(8410:3410),"")=0 IF(K410<>"",SUM(X410,A410),"")=0 WEEKNUM(0410,14)D IF(K410<>"",LEN(M410),"")f7 (LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AC$1),"")))/LEN(AC$1)=0 (LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AD$1),"")))/LEN(AD$1)=0 (LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AE$1),"")))/LEN(AE$1)=0 (LEN($L410)-LEN(SUBSTITUTE(UPPER($L410),UPPER(AF$1),"")))/LEN(AF$1)=0 &"arial unicode ms,Regular"For internal use only PROT425