Customer Owner:
Customer Owner:
2019 1 Remediation Clients Due Overview
Stewart Oldfield
10
12
14
16
18
20
0
2
4
6
8 Jan 2019
Jan 2019
Moderate
Low
Total
0
0
0
2019 1 Remediation Clients Due: Stewart Oldfield
19
16
4
3
2
1
Feb 2019
Feb 2019
3
0
3
Mar 2019
Mar 2019
16
0
16
Apr 2019
Apr 2019
0
4
4
May 2019
May 2019
4
15
19
Jun 2019
Jun 2019
0 0
0
Jul 2019
Jul 2019
0
2
2
Aug 2019
Aug 2019
0
3
EFTA01429752
3
Sep 2019
Sep 2019
0
3
3
Oct 2019
Oct 2019
0
0
0
Nov 2019
Nov 2019
0
0
0
Dec 2019
Dec 2019
0
1
1
3
3
Clients Detailed Overview
GCIS
Client Name
The Jockey Club
Foundation
AXCIS
INFORMATION
NETWORK, INC.
THE
CHARLESMEAD
TODD R. WANEK
2016 GRAT
SHARI WAGNER
2016 GRAT
KATI WANEKFORSYTHE
2016
GRAT
KATI WANEKFORSYTHE
2015
GRAT
Kati Forsythe 2014
GRAT
Shari Wagner 2014
GRAT
CRW 2007 LLC
CRW 2009 LLC
GEW 2009 LLC
GEW 2007 LLC
Wanek, Todd R.
KWF 2007 LLC
SSW 2007 LLC
EFTA01429753
WANEK TRUST OF
2000
Relationship Name
JOCKEY CLUB RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
Equibase Company JOCKEY CLUB RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
THIRD LAKE CAPITAL RELATIONSHIP
Boies, Christopher BOIES FAMILY RELATIONSHIP
TJC Holdings, Inc
Blood -Horse LLC
Coalition for Horse
Racing Integrity, Inc.
IIIIIII he Jockey Club
Adikeshavar
Holdings LLC
Crestline Specialty
Lending LP
2016 MaysonDeering
Family Trust
GREEN EAGLES
PARTNERS LLC
45 SOUTH
BATTERY
JOCKEY CLUB RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
ADIKESHAVAR RELATIONSHIP
CRESTLINE SPECIALTY LENDING
RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
SUPURLATIV LLC DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
293 RUMSTICK LLC DEERING/CROSBY RELATIONSHIP
2011 ANTHONY W
DEERING TRUST
UAD 11/21/11
KATHYRN DEERING
TTEE
DEERING/CROSBY RELATIONSHIP
EFTA01429754
Last KYC
Date
Paper KYC Client Risk Status on Tracker Due Date
Only Paper Moderate Client not started
Only Paper Moderate Client not started
Only Paper Moderate Client not started
10/14/2016 Digital KYC Moderate In Progress
3/14/2017 Digital KYC Moderate Client not started
3/14/2017 Digital KYC Moderate Client not started
3/14/2017 Digital KYC Moderate Client not started
3/14/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
12/8/2015 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
12/8/2015 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate Client not started
3/29/2017 Digital KYC Moderate In Progress
5/30/2014 Digital KYC Moderate Client not started
6/30/2016 Digital KYC Moderate Client not started
12/16/2015 Digital KYC Moderate Client not started
7/7/2015 Digital KYC Moderate Client not started
3/2/2012 Digital KYC Moderate Client not started
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
IDD Month Products (Oct-18)
2/28/2019 Dec 2018
2/28/2019 Dec 2018
2/28/2019 Dec 2018
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
3/31/2019 Jan 2019
5/31/2019 Mar 2019
EFTA01429755
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
Brokerage, Global Deposits
Global Deposits
U.S. Liq Funds, U.S. Invtmt
Funds, Global Deposits
RCM, Brokerage
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Global Deposits
Alternative Investments,
Global Deposits, U.S.
Invtmt Adv
Global Deposits
Global Deposits
Global Deposits
Brokerage, U.S. Lig Funds,
U.S. Invtmt Funds, Global
Deposits
Brokerage
Alternative Investments
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Rev (Sep-18)
$2,555
$4,053
$8,508
CBV (Sep-18)
$6,091,829
$288,607
$3,609,815
$7,000 $14,087,571
$11,615
$9, 541
$7,288
$0
$43,725
$53,726
$5,825
EFTA01429756
$20,962
$20,957
$5, 827
$150,248
$44,686
$33,059
$142,828
$6, 878
$116
$5,723
$39
$22,672
$1,444
$0
$300
SO
SO
SO
SO
SO
$0
SO
SO
$7,810,417
$7,908,514
$1,012,658
$4,284,691
$4,284,237
$1, 012, 905
$30,872,264
$7,811,953
$5,348,884
$30,671,198
$1,597,906
$7,801
$83,833
$190
$34,131,248
$3,806,550
SO
$230,854
$1,232,617
$4,463
$454,540
$6, 988
SO $11,015,649
For internal use only
1 of 2
EFTA01429757
GCIS
Client Name
2004 DEERING
FAMILY TRUST UAD
08/12/04 HEATHER
CROSBY &
AUGUSTUS D
WARREN TTEES
SANDRA E
DEERING GIFT
TRUST UAD
12/09/11 SANDRA E
DEERING FAMILY
LTD PARTNERSHIP
ACE LIMITED
PARTNERSHIP
MATHEYS LANE
GREEN WIZARD
INVESTORS LLC
THE ROUSE
COMPANY
FOUNDATION
Madison Park
Capital, LLC
Echelon Investment
Partners Master LP.
Falcon Trail Capital,
LLC
508 West 25th
Street, LLC
Coal Creek Farm, LC,
a Florida Limited
Liability Company
INCOMPASS
SOLUTIONS, INC.
Grayson -Jockey
Club Research
Foundation, Inc.
Deering, Sandra
DEERING,
SPENCER
DEERING, MARON
JSC Interiors LLC
Ellin, Howard
TJC Media Ventures,
EFTA01429758
Inc.
Diamond B Capital,
Inc.
Relationship Name
Last KYC
Date
DEERING/CROSBY RELATIONSHIP
Paper KYC Client Risk Status on Tracker Due Date
IDD Month Products (Oct-18)
Rev (Sep-18)
Only Paper Low
Client not started
5/31/2019 Mar 2019
Brokerage
$0
CBV (Sep-18)
$24
DEERING/CROSBY RELATIONSHIP
Only Paper Low
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
GENERAL ATLANTIC FAMILY OFFICE
RELATIONSHIP
SK FAMILY OFFICE RELATIONSHIP
SK FAMILY OFFICE RELATIONSHIP
LINDEMANN FAMILY RELATIONSHIP
LINDEMANN FAMILY RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
DEERING/CROSBY RELATIONSHIP
SOUTHERN FINANCIAL RELATIONSHIP
BOIES FAMILY RELATIONSHIP
ELLIN, HOWARD RELATIONSHIP
JOCKEY CLUB RELATIONSHIP
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
Only Paper Low
12/2/2014 Digital KYC Low
5/30/2014 Digital KYC Low
1/8/2015 Digital KYC Low
3/2/2012 Digital KYC Low
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
EFTA01429759
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
Client not started
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
5/31/2019 Mar 2019
4/30/2019 Feb 2019
4/30/2019 Feb 2019
4/30/2019 Feb 2019
4/30/2019 Feb 2019
7/31/2019 May 2019
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Brokerage
Residential Mortgage
Residential Mortgage
Global Deposits
7/31/2019 May 2019 Brokerage
8/31/2019 Jun 2019
8/31/2019 Jun 2019
8/31/2019 Jun 2019
9/30/2019 Jul 2019
9/30/2019 Jun 2019
9/30/2019 Jun 2019
12/31/2019 Sep 2019
Brokerage
Brokerage
Brokerage
Global Deposits
Alternative Investments,
U.S. Invtmt Adv
Alternative Investments,
U.S. Invtmt Adv
Global Deposits
$0
$0
$0
$0
$0
$0
$0
$0
$0
$0
$1,008
$1,880,574
EFTA01429760
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ZOP'665
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£S8'96S
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L90'6L9'ES
TLP'E95
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O5
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SOT'665
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O5
O5
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6GT'EE9'95
EFTA01429761
📷 Images in this document (10 detected; 6 largest described)
AI-generated factual descriptions of embedded images (llava:13b). These are searchable across the corpus.
[Image 1] The image shows a text document with a list of items or categories, each followed by a series of words or phrases. The document appears to be a list of topics or subjects, possibly related to a survey or questionnaire, given the format. The text is too small to read the specific words or phrases, but the layout suggests a structured format with headings and subheadings. There are no visible names,
[Image 2] The image appears to be a screenshot of a text document, possibly a list or a report. The text is too small to read clearly, but it seems to contain a series of items or entries, each with a date and a description. The document is structured with headings and subheadings, suggesting it might be a record of events, tasks, or items with dates and descriptions. The specific content of the document is
[Image 3] The image appears to be a screenshot of a computer document, specifically a list or table with various names and associated information. The names are listed in a column, and there are checkboxes next to each name, suggesting some form of selection or categorization process. The document includes headers such as "Name," "Title," "Date," "Location," and "Comments," indicating a structured format fo
[Image 4] The image shows a text-based document, likely a financial or banking statement, with a list of transactions. The list includes dates, descriptions of the transactions, and the corresponding amounts in numerical format. The transactions appear to be deposits and withdrawals, with some transactions being credits and others debits. The document is structured in a tabular format with columns for date,
[Image 5] The image shows a text document with a list of dates and corresponding entries. The document appears to be a log or record of some sort, possibly related to a schedule or events. The dates range from January to April, and the entries include names, which are likely individuals or entities involved in the events or activities listed. The text is too small to read the specific details, but it seems
[Image 6] The image appears to be a screenshot of a computer document, possibly a spreadsheet or a database table. It contains a list of names, dates, and locations, which could be related to travel or event schedules. The names are partially obscured, and the document is marked with a "Confidential" watermark, indicating that the information is sensitive and not meant to be shared publicly. The visible tex