EFTA Document EFTA01417106

Subject: RE: Weekly Status Update - Week endin 10/12/2018 [I] From: Stewart Oldfield Date: Mon, 15 Oct 2018 09:49:32 -0400 To: Bradley Gillin Cc: Richard Iarossi Done. Thanks From: Bradley Gillin Sent: Monday, October 15, 2018 9:39 AM To: Stewart Oldfield Cc: Richard Iarossi Subject: FW: Weekly Status Update - Week ending 10/12/2018 [I] Importance: High Classification: For internal use only Stew, Push below cases to the next KYC queue. Thanks. KYC KYC LLC (For Stewart) Regards, Brad - Southern Financial LLC & LSJE, LLC (For Stewart) - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, From: Vijay-A Sawant Sent: Monday, October 15 2018 9:11 AM To: Bradley Gillin Richard Iarossi Cc: Mayur Rathod Vinita Advanil Subject: Weekly Status Update - Week ending 10/12/2018 EFTA01417106 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 H — 0; M — 39 & L - 52 Client Outreach H — 21; M — 6 & L - 0 Exclusion Completed H — 12; M — 0 & L - 0 All Sillerman accts are being handled by ABR on account of bankruptcy filing by the SOW — Jeffrey Epstein Fully Approved H — 19; M — 1 & L - 0 EFTA01417107 Initial Due Diligence H— 4; M— 1& L - 0 Pending Approval H — 20; M — 0 & L - 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& L - 0 Expected to be submitted as soon as docs received for GoldenTree Quality Rejection H — 11; M — 10 & L - 1 Grand Total 200 EFTA01417108 KYC KYC LLC (For Stewart) KYC KYC - Southern Financial LLC & LSJE, LLC (For Stewart) - J. Epstein Virgin Islands Foundation, Inc; Hyperion Air, Goldentree High Grade Floating Rate Fund GP LLC (For Brad) Goldentree Loan Management GP, LLC (For Brad) Let me know if any queries, thanks. Kind Regards, fcid:1 [email protected] Vijay Sawant KYC Case Representative Deutsche CIB Centre Private Limited Deutsche Bank Group Wealth Management Bl, DB Centre Mumbai, Nirlon Knowledge Park, Western Express Highway Goregaon East, Mumbai - 400063 , India Tel. Mobil EFTA01417109