From: Melisa Venegas Sent: 9/2/2016 10:55:37 AM To: Armen Brash Andrew Galliva ; Lee Flutter III CC: Vaishali-P Mehta posompassi Subject: Aug 2016 AML/KYC Escalation Reports II) Attachments: US_Onshore.xlsx Classification: For Internal use only All, Mark LaRoe Michael S Jacoby 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 1 2 2 6 Moderate 18 18 Low 2 2 2 8 14 • some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 4 4 Moderate 2 2 Low 1 1 Overdue High Risk in Person Meetings 11 Office 0-30 31-60 61-90 +90 Jacksonville 1 Low 1 Los Angeles 1 1 2 High 1 Low 1 2 New York 2 2 17 High 1 2 Moderate 12 Low 2 1 3 San Francisco 2 1 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042142 CONFIDENTIAL SDNY_GM_00188326 EFTA01356325