EFTA01356380.pdf

Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total in Scope (Clients)* 1,163 1,123 1,123 1,123 If Completed (Clients) 978 434 374 253 It Remaining (Clients) 185 689 749 870 % Completed 84.09% 38.65% 33.30% 22.53% DT: Daphne's Team * Initial pop increased to 1477 after recent review of HR clients. FO: Front Office Items may be determined out-of-scope during review. Details USO USO USO MEA High Risk Remediation Data LatAm GAT Other Total NY West Central NY Initial In Scope Clients 611 131 91 430 62 23 129 1,477 Out-of-Scope Identified' 63 27 23 160 14 7 60 354 Fully Approved 149 29 15 51 5 1 3 MEM with Banker Team" 305 62 47 129 31 13 53 640 with Manager Director (MD) 2 3 5 4 14 with ABR/AFC 16 6 3 2 4 31 # of Downgrades (No longer 43 20 9 8 6 1 5 92 HR) * 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-0042226 CONFIDENTIAL SDNY_GM_00188410 EFTA01356380