From: Melisa Venegas 1
Sent: 12/2/2016 12:5 :
To: Armen Brash I Andrew Gallivan .by
Mark laRo
CC: Vaishali-P Mehta
Subject: Nov 2016 AML/KYC Esca ation Reports
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 cc File: US_Onshore.xlsx »
High 2 9 11
Moderate 1 2 1 8 12
Low 2 8 10
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
Moderate 1 1
Low 1 1 2
Overdue High Risk in Person Meetings 7
City / Risk coming due 0-30 31-60 61-90 +90 Grand Total
Los Angeles 3 3 6
high 2 2
moderate 2 2
low 1 1 2
Miami 1 3 4
high 1 1
moderate 1 1
low 2 2
New York 1 3 1 1 12 18
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042213
CONFIDENTIAL SDNY_GM_00188397
EFTA01356369
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From: Melisa Venegas 1
Sent: 12/2/2016 12:5 :
To: Armen Brash I Andrew Gallivan .by
Mark laRo
CC: Vaishali-P Mehta
Subject: Nov 2016 AML/KYC Esca ation Reports
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 cc File: US_Onshore.xlsx »
High 2 9 11
Moderate 1 2 1 8 12
Low 2 8 10
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
Moderate 1 1
Low 1 1 2
Overdue High Risk in Person Meetings 7
City / Risk coming due 0-30 31-60 61-90 +90 Grand Total
Los Angeles 3 3 6
high 2 2
moderate 2 2
low 1 1 2
Miami 1 3 4
high 1 1
moderate 1 1
low 2 2
New York 1 3 1 1 12 18
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042213
CONFIDENTIAL SDNY_GM_00188397
EFTA01356369