EFTA01298926.pdf

CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: WEB-31222864381501974 Date Time: 2018-11-15 16:41:53 Event Model Run Instance: 114654-1 Event Model Run Version: CRRE 4.1.0 Event Calibration Version: 4.1 Client Adoption Country: US - United States Overall Risk Overall Risk Score: 16 Overall Risk Level: HIGH Type Of Logic Applied: Adverse Media; Client PEP or UBO PEP/RCA Entity Risk Risk Category: HIGH Score: 5 Legal Entity Risk Score Local Rule Trust 5 N Industry Risk Risk Category: HIGH Score: 5 Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N Country Risk Risk Category: MEDIUM Score: 3 Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp US - United States 0 N clientCountryReg VI - Virgin Islands, U.S. 3 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) US - United States 0 N Product Risk Risk Category: HIGH Score: 3 SDNY_GM_00064314 CONFIDENTIAL - PURSUANT TO FED. CQIN Fej DENTIAL DB-SDNY-0027139 EFTA_00 I 74820 EFTA01298926  Product Risk Score Local Rule Cash Group 3 N SDNY_GM_00064315 CONFIDENTIAL - PURSUANT TO FED. CQNVejDENTIAL 0B-SDNY-0027140 EFTA 00174821 EFTA01298927