EFTA01356395.pdf

Mehta < Subject: KYC HR Clients Remediation - Status (6/30/17) [I) Classification: For Internal use only All, Below is the Monday morning deliverable (as of 7/07/17). Let me know if you have any question. Summar Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (F0) Owner DT FO FO N/A Total In Scope (Clients)• 1,009 1,009 1,009 1,009 4* Completed (Clients) 507 196 162 96 tt Remaining (Clients) 502 813 847 913 % Completed 50.25% 19.43% 16.06% 9.51% DT: Daphne's Team * Initial pop 1,319. Items may be determined out-of-scope during FO: Front Office review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total InitialIn Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 132 150 18 10 310 with Banker Team" 281 92 373 with Manager Director (MD) 4 3 7 with ABR/AFC 9 3 # of Downgrades (No longer FIR) 21 9 30 * 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-0042241 CONFIDENTIAL SDNY_GM_00188425 EFTA01356395