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 internal use only All, Mark LaRoe 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 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 High Risk in Person Meetings 7 City Coming due 0-30 31-60 61-90 +90 Los Angeles 1 High 1 Miami 3 Mod 1 Low 2 New York 4 2 1 1 15 High 1 1 6 Mod 1 2 1 6 Low 2 3 San Francisco 1 1 2 4 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042046 CONFIDENTIAL SDNY_GM_00188230 EFTA01356267