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RE: KYC Remediation update [lj
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V
Vijay-A Sawant Aug 23, 2018 11:52 AM
To
Bradley Gitlin
Cc
Richard larossAlka BabiMMayur Ratho
Hi Brad,
Following are the ongoing high risked accounts which are overdue for remediation in ascending order, their statuses below —
- AMAAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached i s email)
- HA1TAN HOLDINGS LLC — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1" email)
- MARSA HOLDINGS 11C — DueDate 06/29/2018 — Pending SoS for SAMRA Holdings Ltd (refer attached 1st email)
- JCP IV QP, LLC — DueDate 06/30/2018 — Docs received yesterday, pending review. Will advise as soon as that is done.
- DueDate 07/27/2018 — Docs required as per attached 2nd email
- Cerberus Executive, LLC — DueDate 07/31/2018 — Awaiting docs as per attached 3'd email. I am aware that you have followed up with client on this, so thanks for that.
- Aircraft Acquisition Corporation — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
- Sillerman Investment Company III, LLC — DueDate 08/03/2018 — Awaiting docs as per 4th email attached.
- Tomorrow Foundation — DueDate 08/03/2018 — Pending CDD form as per attached Sth email attached.
- Elderberry X, LLC – DueDate 08/03/2018 – Pending CDD form as per attached 5th email attached.
- Sillerman Investment Corporation – DueDate 08/03/2018 – Awaiting docs as per 4th email attached.
- Epstein, Jeffrey E. – DueDate 08/08/2018 – Awaiting docs as per attached 5th email attached.
- Southern Financial LLC - DueDate 08/08/2018 — Awaiting docs as per attached 8th email attached.
- Southern Trust Company, Inc. - DueDate 08/08/2018 — Awaiting docs as per attached S'h email attached.
- J. Epstein Virgin Islands Foundation, Inc - DueDate 08/08/2018 — Docs & confirmation required as per attached 10th email
- GoldenTree Asset Management UK LLP- DueDate 08/09/2018 — Docs & confirmation required as per attached 11th email
- Gratitude America Ltd — DueDate 08/16/2018— Awaiting docs as per attached 6th email attached.
- Neptune, LLC — DueDate 08/16/2018 — Docs required as per attached 2nd email
- NES, LLC — DueDate 08/16/2018 — Docs & confirmation required as per attached 9th email.
- LSJE, LLC — DueDate 08/18/2018 — Awaiting does as per attached 8th email attached.
- Hyperion Air, LLC — DueDate 08/18/2018 — Docs & confirmation required as per attached 10th email
- JEGE, Inc — DueDate 08/18/2018 — Awaiting confirmation & docs as per attached 7th email
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
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