Epstein Secrets

From: Melisa Venegas Sent • 11/3/2016 12:22:00 PM To: Armen Brash i Andrew Gallivan Michael 5Jacoby tter CC: Vais a e ta Subject: Oct 2016 AML/KYC Escalation Reports III Attachments: US_Onshore.xlsx Classification. For inter

ys Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 'some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 7 3 5 Moderate 2 3 Low 3 4 Overdue Hi

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 Classific

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 Hi

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

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 High Moderate Low 1-30 31-60 1 61-90 >90 1 1 1 Grand Total 1 1 2 Overdue Hi

From: Melisa Venegas Sent: 7/6/2016 4:40:49 PM To: Armen Brash Andrew Gallivan ; Lee Rutter CC: Vaishali-P Mehta Subject: June 2016 AML/KYC Escalation Reports II) Attachments: US_Onshore.xlsx; US_Onshore.xlsx Classificati

Changes" Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 1 4 7* Moderate 1 1 19 21' Low 4 1 8 13* * some are pending AML Compliance's review Overdue Temporary Exceptions Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 2 4 Moderate 3 1 1 5 Low 4 4 Overdu

From: Melisa Venegas Sent: 6/3/2016 10:15:00 AM To: Armen Brash Andrew Gallivan • Michael 5 Jacoby ; Mark LaRoe CC: Vaishali-P Mehta Subject: RE: June 2016 AM L/KYC Escalation Reports ll] Attachments: US_Onshore.xlsx Clas

at Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29s Low 1 11 12s • some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4

Subject: Oct 2016 AML/KYC Escalation Reports [I] From: Melisa Venegas Date: Thu, 03 Nov 2016 12:22:00 -0400 To: Armen Brash Andrew Gallivan Michael S Jacob Lee Flutter Mark LaRoe < Cc: Vaishali-P Mehta Classification: For internal use only All, Included below is the monthly AML/KYC

s* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 3 5 Moderate 2 1 3 Low 3 1 4 Overdue High Ris

Subject: May 2016 AML/KYC Escalation Reports [I] From: Melisa Venegas Date: Wed, 04 May 2016 15:26:05 -0400 To: Armen Brash <M I>, Andrew Gallivan a>, Michael S Jacoby >, Lee Flutter Mark LaRoe Cc: Vaishali-P Mehta a> Classification: For internal use only All, Included below is the month

ank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12 * 28 are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1 Overdue High