EFTA01298807.pdf

CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: WEB-6876313502979613 Date Time: 2018-11-13 15:29:47 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: 13 Overall Risk Level: HIGH Type Of Logic Applied: Adverse Media; Client PEP or UBO PEP/RCA Entity Risk Risk Category: MEDIUM Score: 2 Legal Entity Risk Score Local Rule Private Entity 2 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 VI - Virgin Islands, U.S. 3 N clientCountryReg US - United States 0 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) VI - Virgin Islands, U.S. 3 N Product Risk Risk Category: HIGH Score: 3 SDNY_GM_00064031 CONFIDENTIAL - PURSUANT TO FED. C labl Et) DENTIAL 0B-SDNY-0026856 EFTA_00174537 EFTA01298807  Product Risk Score Local Rule Cash Group 3 N SDNY_GM_00064032 CONFIDENTIAL - PURSUANT TO FED. QtaNVejDENTIAL 0B-SDNY-0026857 EFTA_00174538 EFTA01298808