EFTA01356382.pdf

Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total In Scope (Clients)* 1,170 1,120 1,120 1,120 Completed (Clients) 942 393 339 231 Remaining (Clients) 228 727 781 889 % Completed 80.51% 35.09% 30.27% 20.63% DT: Daphne's Team * Initial pop increased to 1477 after recent review of HR clients. FO: Front Office Items may be determined out-of-scope during review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 951 441 63 22 1,477 Out-of-Scope Identified* 166 170 14 7 357 Fully Approved 173 52 5 1 231 with Banker Team** 452 127 35 10 624 with Manager Director (MD) 4 3 7 with ABR/AFC 27 2 1 30 If of Downgrades (No longer FIR) 63 13 6 1 83 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. " Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over Week CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042228 CONFIDENTIAL SDNY_GM_00188412 EFTA01356382