From: Melisa Venegas pagougam. Sent: 5/4/2016 3:26:05 PM To: Armen Brash Andrew Galliva Michael S Jacoby Lee Rutter Mark LaRoe CC: Vaishali-P Meht. Subject: May 2016 AML/KYC Escalation Reports III Attachments: US_Onshore.xlsx Classification: For Noma' We 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 High Moderate Low 28 are pending AML Compliance's review 1-30 31-60 61-90 >90 1 7 2 s 22 1 1 10 Grand Total 8 29 12 Overdue Temporary Exceptions Risk I Days Overdue High Moderate Low 1-30 31-60 61-90 >90 1 1 Grand Total 18 3 1 Overdue High Risk in Person Meetings Office Los Angeles High Moderate Low New York High Moderate Low San Francisco 0-30 1 1 1 31-60 61-90 1 1 >90 4 Total 6 1 32 1 2 20 26 6 6 10 15 4 5 15 17 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042087 SDNY_GM_00 188271 EFTA01356293