EFTA Document EFTA01356353

From: Melisa Sent: 8/3/2016 4:25:01 PM To: Armen Brash Andrew Gallivan ; Michael S Jacoby ; Mark laRoe CC: Vaishali-P Mehta Subject: July 2016 AML/KYC Escalation Reports III Attachments: US_Onshore.xlsx Classification: For Internal use only All, Included below is the monthly AML/KYC escalation report for overdue and coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes" Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 2 2 4 Moderate 1 1 17 19 Low 8 1 8 17 * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 1 2 Moderate 1 1 Low 1 1 Overdue High Risk in Person Meetings 12 OFFICE 0-30 31-60 61-90 +90 Grand Total Jacksonville 1 1 Low 1 1 Los Angeles 2 2 Low 2 2 New York 8 1 1 16 26 High 1 2 3 Moderate 1 1 11 13 Low 6 1 3 10 San Francisco 2 9 11 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042181 CONFIDENTIAL SDNY_GM_00188365 EFTA01356353