EFTA01356386.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)* 1,153 1,126 1,126 1,126 # Completed (Clients) 810 340 286 184 # Remaining (Clients) 343 786 840 942 % Completed 70.25% 30.20% 25.40% 16,34% 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 High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 951 441 63 22 1,477 Out-of-Scope Identified* 159 162 20 10 351 Fully Approved 130 48 5 1 fl with Banker Team** 416 119 24 8 fl with Manager Director (MD) 16 3 19 with ABR/AFC 9 3 1 13 # of Downgrades (No longer AR) 54 11 5 70 * 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-0042232 CONFIDENTIAL SDNY_GM_00188416 EFTA01356386