# EXHIBIT 3
# Document Produced in Native Format
| Item a | Client | Reason | Date | Outcome | Additional Comments |
| -------- | ----------------- | --------------------------------------- | ------------------- | --------- | --------------------------------------------- |
| 2 | Jeffrey Epstein | Several newspaper articles were found |  |  |  |
|  |  |  | 10/17/2006 Retain |  | After internal discussions with Jes Staley, |
|  |  |  |  |  | and Mary , it was decided that we will |

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| Item # | Client | Reason | Date | Outcome | Additional Comments |
| -------- | -------- | -------- | ------ | --------- | --------------------- |













| Item # | Client | Reason | Date | Outcome | Additional Comments |
| -------- | -------- | -------- | ------ | --------- | --------------------- |







| 21 | Jeffrey Epstein | Follow up meeting after news that Epstein was sentenced to 12 months in jail for solicitation of a prostitute and six months for procuring a person under the age of 18 for prostitution followed by 12 months of house arrest. | 7/15/2008 | Catherine will go back to JES to tell him we are uncomfortable with Epstein and do not want to go to Cutler for approval. |  |
| ---- | ----------------- | --------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- | ----------- | --------------------------------------------------------------------------------------------------------------------------- | -- |



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| <span> </span> | <span> </span> 39 <span> </span> | <span> </span> | <span> </span> | <span> </span> | <span> </span> |
| ---------------- | ---------------------------------- | ---------------- | ---------------- | ---------------- | ---------------- |
| <span> </span> | <span> </span> | <span> </span> | <span> </span> | <span> </span> | <span> </span> |

| Item # | Client/Prospect | Reason | Date | Outcome | Additional Comments | Follow up Y/N | Follow up Complete Y/N | F/U Action, due date |
| -------- | ----------------- | -------- | ------ | --------- | --------------------- | --------------- | ------------------------ | ---------------------- |
|  |  |  |  |  |  |  |  |  |







| Item # | Client/Prospect | Client/Prospect Category | Reason | Date | Outcome | Additional Comments | Follow up Y/N | Follow up Complete Y/N | F/U Action, due date |
| -------- | ----------------- | -------------------------- | -------- | ------ | --------- | --------------------- | --------------- | ------------------------ | ---------------------- |

















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| Item | Cher*Prospect | ClienuProspect Category | Reason | Date | Outcome | Additional Comments | Follow up |
| ------ | ----------------- | ------------------------- | ------------------------- | ---------- | ----------------------------- | --------------------- | ----------- |
| 2 | Jeffrey Epstein | Existing Client | The Firm's AML Director |  |  |  |  |
|  |  |  |  | 1/7/2011 | Discussions to be held with |  |  |







| 22 | Jeffrey Epstein | Existing Client - 4th follow-up | Review with John Duffy. | 8/4/2011 | Duffy to reach out to Jes Staley and advise that we exit while things are a bit settled. |  |  |  |  |
| ---- | ----------------- | --------------------------------- | ------------------------- | ---------- | ------------------------------------------------------------------------------------------ | -- | -- | -- | -- |





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| Item 0 I | Client)Prospect | I | Client Prospect |  |  |  |  |  |  |  |  |
| ---------- | ----------------- | --- | ----------------- | ----- | -------- | ----- | --------- | --- | --------------------- | ------------------------------- | ------------------- |
|  |  |  |  | ECI | Reason | 1 ' | Outcome | i | Additional Comments | Follow Follow up | Reputallonal Risk |
|  |  |  |  |  |  |  |  |  |  | up YIN I Complete Pt) Action, | Ctte. Minute |
|  |  |  |  |  |  |  |  |  |  | Itti due dale | Written |













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| Item # | Client/Prospect | Client/Prospect Category | ECI | Reason | Date | Outcome | Additional Comments | Follow up Y/N | Follow up Complete | F/U Action, due date | Reputational Risk Ctte. Minutes Written |
| -------- | ----------------- | -------------------------- | ----- | -------- | ------ | --------- | --------------------- | --------------- | -------------------- | ---------------------- | ----------------------------------------- |
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