Sheet1 Reason for KYC GCIS Customer Number KYC ID Full Legal Name Case Manager RAG Status Next Step by Exclusion Reason # Days in Outreach Due Date Customer Risk Score PEP? DC Status RR 1883718 Techview Investments Ltd. Vijay Sawant Due soon Quality Rejection with Client 5 10/18/18 High RR 1981932 Sillerman, Robert F.X. Adrian Lopez Overdue Initial Due Diliver 8/28/18 High ABR SME working on Remediation Nativos Investment LTD Chantelle Williams Overdue Pending Approval with ABR 2/28/18 High EXCLUSION COMPLETED Remediation BPP F.1 Cayman LP Pradeep Vaje Due soon Client Outreach with Client 12 10/31/18 High RR Due soon Client RR Due soon Client RR Due soon Client RR soon Client Outreach Remediation Due soon Quality 10/31/18 High BPP F.1 Outreach BPP F.1 Outreach BPP F.1 Outreach BPP F.1 DE 3800 Alameda L.P. with Client 12 DE Central Park L.P. with Client 12 DE Media Studios L.P. with Client 12 DE Pointe L.P. Pradeep with Client 12 11/3/18 BPP F.1 DE Viking LP Rejection with Client Remediation BPP F.1 Due soon Quality Rejection 10/31/18 Remediation iiiill BPP F.1 Due soon Quality Rejection Remediation Hi BPP F.1 10/31/18 Due soon Quality Rejection Remediation iiill BPP F.2 10/31/18 Due soon Quality Rejection Remediation Hi BPP F.2 10/31/18 Due soon Quality Rejection Remediation Hi BPP F.2 10/31/18 Due soon Quality Rejection RR 10/31/18 — High Pradeep Vaje RR 10/17/18 — High NQ L.P. Pradeep Vaje 12 10/17/18 RR DE Viking 2 LP with Client DE Viking 3 LP with Client DE Viking 4 LP with Client DE Viking 2 LP with Client DE Viking 3 LP with Client DE Viking LP with Client Pradeep Vaje 11/3/18 High Pradeep Vaje 11/3/18 High Pradeep Vaje 11/3/18 High Vaje Due High Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Pradeep Vaje 12 Blackstone Tactical Opportunities Fund Du