EFTA Document EFTA01383911

From: Sent: 10/15/2018 9:39:28 AM To: Stewart Oldtield CC: Richard larossi Subject: FW: Weekly Status Update - Week ending 10/12/2018 II) Importance: High Classification: For Internal use only Stew. Push below cases to the next KYC queue. Thanks. KYC Case01977703 - Southern Financial LLC & LSJE, LLC (For Stewart) KYC Case01977699 - 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 larossi < Cc: Mayur Rathod <[email protected]>; Vinita Advani <[email protected]> Subject: Weekly Status Update - Week ending 10/12/2018 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 11- 0; M - 39 &I. - 52 Client Outreach 11 -21; M -6&l. -0 Exclusion Completed 14— 12; M —0 & L - 0 All Alterman accts are being handled by MR on account of bankruptcy filing by the SOW - Jeffrey Epstein Fully Approved H - 19; M - 1 &I. - 0 Initial Due Diligence 1i - 4; M - 1 & 1 - 0 Pending Approval H —20; M -0 &I. - 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 & 1- 0 Expected to be submitted as soon as does received for GotdenTree Quality Rejection H- 11; M -10 8,1 - 1 Grand Total 200 KYC Case01977703 KYC Case01977699 KYC Case01981931 KYC Case01984308 - Southern Financial LLC & LSJE, LLC (For Stewart) - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, LLC (For Stewart) - Goldentree High Grade Floating Rate Fund GP LLC (For Brad) - Goldentree Loan Management GP, LLC (For Brad) CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0083825 SDNY_GM_00230009 EFTA01383911