EFTA Document EFTA01356285
00000520113 Douglas Robertson Andrew Gallivan Millstein Atlantix LLC 10/12/201.6 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No 00000496285 Mark Gonzalez Andrew Gallivan 435 E 76 3D LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No 00000496286 Mark Gonzalez Andrew Gallivan 555 W 23 N4R LLC 1
Summary
00000520113 Douglas Robertson Andrew Gallivan Millstein Atlantix LLC 10/12/201.6 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No 00000496285 Mark Gonzalez Andrew Gallivan 435 E 76 3D LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No 00000496286 Mark Gonzalez Andrew Gallivan 555 W 23 N4R LLC 1
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78143 Douglas Robertson Andrew Gallivan Millstein Atlantix LLC 10/12/2016 I spoke to Jane about coming changes to the accounts to be reflected by KYC updates not yet ready. No changes yet. No No 77877 Mark Gonzalez Andrew Gallivan 435 E 76 3D LLC 10/4/2016 Mr. Prabhakar resides in Dubai and is in the duty free business. Nothing has materially changed for this client. Yes No 77876 Mark Gonzalez Andrew Gallivan 555 W 23 N4R LLC 10/4/2016 Mr. Prabh
EFTA Document EFTA01421555
Subject: FW: MD Approval for ACUs for Hi h Risk Clients [I] From: Stewart Oldfield Date: Wed, 26 Oct 2016 13:49:48 -0400 To: Cynthia Rodriguez Classification: For internal use only From: Vaishali-P Mehta Sent: Wednesday, October 26, 2016 1:48 PM To: Andrew Gallivan Cc: Douglas Robertson; Stewart Oldfield; Thomas-B Mayer; Mark Gonzalez Subject: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Dear Andrew, As you know, our procedures require MDs to a
EFTA Document EFTA01421146
Subject: MD approvals for Hi h Risk ACUs com leted [I] From: Vaishali-P Mehta Date: Mon, 27 Jun 2016 13:27:47 -0400 To: Andrew Gallivan Cc: Douglas Robertson Stewart Oldfield Leo Bresnahan Paul Morris Classification: For internal use only Dear Andrew, All the below ACUs were completed for High Risk clients showing no material changes to the client's circumstances. Please review the ACU comments, and reply back with your approval. Annual Client Update: ID Customer Owner SILO MD G
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US-Onshore_HRIPM_PastDue Customer Name Customer Number Primary Officer High Risk InPerson Meeting Due Year Past-Due Exp lanation Bank Auto Exempt Reason Client Since Date Offshore Account Open Date MSR Silo The 1990 Vernon E. Jordan, Jr. Irrevocable Life Insurance Trust 00000480029 Terrence Tangney 2015 1 1/7/2013 Armen Brash, Andrew Galivan, Michael J. Davis, Michael Jacoby US-0 nshore THE HICKEY FAMILY FOUNDATION DEFINED BENEFIT PENSION PLAN 00000480230 Susan Burnett 2010
EFTA Document EFTA01424151
Subject: MD approval for ACUs completed for Hi h Risk Clients [I] From: Vaishali-P Mehta Date: Thu, 01 Dec 2016 09:21:40 -0500 To: Andrew Gallivan Cc: Douglas Robertson Mark Gonzalez Stewart Oldfield Classification: For internal use only Dear Andrew, Below are the ACUs which were completed for your High Risk customers this month. All the below ACUs were completed showing no material changes to the client's circumstances. Annual Client Update: ID GCIS Customer Number Customer Owner
EFTA Document EFTA01398899
Subject: RE: MD Approval for ACUs for High Risk Clients [I] From: Andrew Gallivan < Date: Thu, 01 Dec 2016j illa To: Vaishali-P Mehta < Classification: For internal use only Well aren't I the negligent one. Sorry for not having addressed this last month. Approved From: Vaishali-P Mehta Sent: Thursday, December 01, 2016 9:36 AM To: Andrew Gallivan Subject: RE: MD Approval for ACUs for High Risk Clients [I] Classification: For internal use only Hello Andrew, Could I please get one more
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