EFTA01368137.pdf

UK Risk Assessment Risk Assessment Global CRRE Risk Score 13 • Global CRRE Risk Level HIGH • RACS Risk Rating • Local Final Risk Global Final Risk HIGH HIGH • Special Risk Factors - Item New Response Previous Response UBO PEP LR PEP Adverse Media Yes Yes Bearer Shares Complex Structure Link to Special Risk Country (CRRE) No No Nexus to Special Risk Country (Global Due No No Diligence) Unk to Special Risk Industry (CRRE) No Link to Special Risk Entity No No Intermediaries No No Any other reason for escalation to AFC? No No Downstream Correspondent Barking Activity N/A N/A • Pillar Summary - Item Local Score Local Risk Global Risk Global Score COUNTRY 3 MEDIUM MEDIUM 3 ENTITY 2 MEDIUM MEDIUM 2 INDUSTRY 5 HIGH HIGH 5 PRODUCT 3 HIGH HIGH 3 Override Risk Rating Override Risk Rating ? No Override KYC Next Review Date Page 10 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059798 CONFIDENTIAL SDNY_GM_00205982 EFTA01368137