at is past due •ACUs due within the next 30 days 'The tables below are a breakdown of the Overdue ACU's. Charlie Burrows Diana Canter Janice I; Mary C Keaveney Michael 5Jacoby ; Sarita Mikal Ison Ng ; Andrew Bolende US PB If of active clients 1-30 31- 60 61-90 90+ Grand Total Previous Month

From: Melisa Venegas Sent: 8/1/2014 6:21:09 PM To: Kimberly Hart Zia Memon Erin O-Rourke 1; Una M Arias • Andrew Gallivan I I; Mary C Keaveney ; Charles Hoffarth [ Michael-1 Davis [- -J; Michael S Jacoby I I; Charlie Burrows CC: Daphne Cales [ J; Santa Me ma ; Irina Yablochni Armen

sa Venegas Sent: 9/5/2014 12:48:42 PM To: Kimberly Hart Lina M Arias CC: I; Zia Memon ; Andrew Gallivan • Charles Hoffarth Erin O-Rourke ; Mary C Keaveney ; Michael-J Davis Michael S Jacoby [email protected] Charlie Burrows Daphne Gales I Josh Rosen Salta Medina Irina Yablochnik Ankur Sha

i Sent: 11/5/2014 4:40:18 PM To: Andrew Gallivan Daphne Cales ; Charles Hoffarth ; Irina Yablochnik ; Kimberly Hart [email protected]; Mary C Keaveney Michael S Jacoby ; Ankur Shah ; Diana Canter ; Sarita Medina ; Armen Brash ; Charlie Burrows ; Erin O-Rourke ; Janice Franklin ; Lina M Aria

Forbes < Prashant Mahendru < >; Olivier Poncet < >; Barry H Morris < >; Janice Franklin < Yoonsun Chung • ; Thomas Klemm < >; Anil Tewani >; Mary C Keaveney < Derek St-Hilaire Subject: RE: Important Update: FinCen CDD Rule Procedures (lj >; Irwin Nack < >; Kshiti Golani < Classification: For Infernal

To: '[email protected]' Cc: Dawn Forbes < Prashant Mahendru Yoonsun Chung < IMIa; Mary C Keaveney Subject: Important Update: FinCen CDD Rule Procedures (I] Importance: High >; Irwin Nack < Barry H Morris %; Kshitij Golan Oliver Esslin er Ol

Golani Canter < >; Olivier Poncet < >; Barry H Morris < >; Wayne Salit Yoonsun Chung <a>.; Prashant Mahendru zia Memon <Elle>; Anil Tewani Mary C Keaveney e; Derek St- Hilaire <II IMIS=> Subject: Important Update New Regulation: FinCen CDD Rule Procedures (I) Classification: For Internal use only He

a Canter ; Oliver Esslinger ; Olivier Poncet ; Barry H Morris ; Wayne Salit Yoonsun Chung • ; Prashant Mahendru • ; zia Memon • Anil Tewani Mary C Keaveney ; Derek St- Hilaire Subject: RE: Important Update New Regulation: FinCen CDD Rule Procedures Ill Dawn Forbes ; Kshitij Golani Classification: Fo

Proko ; Aracely Sanche I; Stephan Wessel ; Andrea Nicoletti ; Douglas Robertson ; S lvia • Rebecca Velanis ; Daphne Cales ; Edward Golden ; Mary C Keaveney ;'Cynthia Rodriguez' IINICEAEX- Bradley Gillin Therese F Elizab ; Stewai 0=EXCHANGE OU=EXCHANGE+20ADMINISTRATWE+20GROUP+20+28FYDIBOHF23SPDLT+29 CN=

t A McGrath ; Joanne Jensen ; John ;Joseph Sabbagh a Frank ; Joshua Katherine O-Connor Edward Lee Hutter Lindsy Sanders • Mark Gonzalez >; Mary C Keaveney Michael King ; Oti Roberts Rachel Ma: licit Michael S Jacoby • Michelle Pecorino ; Paul Bartilucci ; Robert >; ; Ron Colonna Russell Daulto

-; Debra Jasper Gabel Janet Morales Smith I; Jordan Mentry ; Michael Lantz NIMIIMIIIM1; team-exe l; Oti Roberts Iii meljimml; Roy Kasakove ; Mary C Keaveney Janet Morales Anh H Pa Susan Rodriguez ; David We Sean Jules ; Israel Velasquez Reynaldo Figueredo r ; Mark ml; Mark R Westhoff ; Janet A M M

>; Janet Morales < >; Susan Rodri uez >; 'Chi. >; PWMOPS REPORTING < Kathryn.' Stanfield < >; Alan J Gabel < >; Stephen-M >; Leanna Rivera >; Mary C Keaveney >; Brandi Goldenberg >; Anh H Parisi <- >; Reynaldo Fi ueredo >; Michael S Jacob < >; Rachel >; Malcolm Kimble >; Gina >; Sean Jules >; Leann

[email protected]' CC: Dawn Forbes Prashant Mahendru Subject: Kshitij Golani ; Olivier Poncet I I; Janice Franklin Yoonsun ; Anil Tewani ; Mary C Keaveney I I; Derek St-Hilaire RE: Important Update: FinCen COO Rule Procedures III Classification: For Internal use only All... An addition/clarificatio

oncet <MM >; Barry H Morris Yoonsun Chung ; Prashant Mahendru Hilaire Subject: Important Update New Regulation: FinCen CDD Rule Procedures [I] ; Mary C Keaveney < :.; Derek St- Classification: For Internal use only Hello Everyone, Apologies in advance for the very long email, and the even shorter turnaround

Melisa Venegas Date: Fri, 05 Sep 2014 12:48:42 -0400 To: Kimberly Hart Zia Memon 4MMEMMEMMEMMEMEW, Erin O-Rourke Lina M Arias Andrew Gallivan Mary C Keaveney Charles Hoffarth Michael-J Davis Michael S Jacoby Charlie Burrows Cc: Daphne Cales >, Josh Rosen < >, Sarita Medina Irina Yablochnik Ankur