EFTA01356375.pdf

Cc: Rodrigo Quintero < >; Sheffali Welch < Subject: FW: KYC HR Clients Remediation - Status (9/17/17)111 Which bankers did not submit their assigned quota by Friday? Sent with BlackBerry Work (www.blackberry.com) From: Rodrigo Quintero •< > Date: Sunday. Scp 17 2017 12:00 PM To: Patrick Harris Cc: Emily Crai Da.hneCales Armen Brash • Welch 'me Westphalen Morales . Nicholas Allen • Andrew Gallivan Karen Cohen • , Adrienne Bull • , Mclisa Venegas Subject: KYC HR Clients Remediation - Status (9/17/17)111 Classification: For Intend use only All, Below is the Monday morning deliverable (as of 9/17/17). Let me know if you have any question. Summary Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total In Scope (Clients)* 1,200 1,156 1,156 1,156 Completed (Clients) 1,145 475 468 299 # Remaining (Clients) 55 681 688 8S7 % Completed 95.42% 41.09% 40.48% 25.87% DT: Daphne's Team Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during FO: Front Office review. *Multiple items previously identified as 'Out of Scope' due to small relationship(CBV < $2 mm) have been coming into scope as per Banker's request. Details USO USO USO MEA High Risk Remediation Data LatAm GAT Other Total NY West Central NY Initial Population 612 132 92 435 63 23 128 1,485 Out-of-Scope Identified* 59 25 17 162 11 6 49 329 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042221 CONFIDENTIAL SDNY_GM_00188405 EFTA01356375