EFTA01356411.pdf

Summar Create Attach Review Request Submit KYC Create KYC Checklist Obtain Obtain Info Due to Attest to Update KYC Update & Docs MD ABR and Diligence Front Completeness Steps Checklist in to KYC Approval Approval"' Docs profile Office System case Owner DT DT DT DT DT Total In Scope 1.196 1.196 1.196 1,196 1.196 1.196 1.196 1.196 1.196 (Clients)* Completed 210 278 281 239 234 211 92 79 4 (Clients)** Remaining 986 918 915 957 962 985 1,104 1,117 1,192 (Clients 17.56% 23.24% 23.49% 19 98% 19.57% 17.64% 7.69% 6.61% 0.33% Com feted DT: Daphne's * Out-of-Scope population 121. Some items can be determined out-of-scope during review. Team FO: Front **Any decrease on 'Completed' totals after submission to FO are due to potential rejection/closing of the KYC ca5 Office DBF: DB ABR is not always part of the High Risk approval Force flow. Details Current KYC Case Status Submission to FO by TEAM Pending Completed Out of Scope • Grand Total USO $68 116 37 821 N/A 630 35 665 1. In Progress 37 63 1 101 6. Approved 23 23 7. Approved with Temporary Exception 3 3 Inactive 1 1 Rejected 1 26 1 28 LatAm 240 94 83 417 N/A 204 79 283 1. In Progress 36 55 4 95 2. Ready for Primary Officer Approval 8 8 3. Ready for Office Dir Approval/SMTH 1 1 4. Ready for AML & Bus. Risk Approval 3 3 6. Approved 19 19 Closed 1 1 Rejected 7 7 II illillil mill CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042257 CONFIDENTIAL SDNY_GM_00188441 EFTA01356411