EFTA Document EFTA01356427

From: Sent: To: Subject: Attachments Andrew Gallivan [ 4/6/2016 12:26:39 PM Armen Brash FW: Apr 2016 AML/KYC Escalation Reports III US Onshore.xlsx Classification: For Infernal use only Can you get an idea of when our high risk will clear? From: Melisa Venegas Sent: Wednesday, April 06, 2016 12:22 PM To: Armen Brash; Andrew Gallivan; Michael S Jacoby; Lee Hater; Mark LaRoe Cc: Vaishali-P Mehta Subject: Apr 2016 AML/KYC Escalation Reports [I] Classification: For Internal use only 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 High 7 7 Moderate 2 5 7 15 29 Low 1 2 10 13 Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 15 1 16 Moderate 1 1 2 Low 2 2 Overdue High Risk in Person Meetings 25 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042280 SDNY_GM_00188464 EFTA01356427