EFTA01356378.pdf

Mehta ; Felipe Godard ; Sven-Otto Westphalen ; Janet Morales Nicholas Allen <Mi lliSndrew Gallivan Karen Cohen ; Adrienne Bull <IIMINIM Subject: KYC HR Clients Remediation - Status (9/08 Classification: For internal use only All, Below is the Monday morning deliverable (as of 9/08/17). Let me know if you have any question. Summar Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO NJA Total In Scope (Clients)* 1,187 1,147 1,147 1,147 if Completed (Clients) 1,021 451 391 271 H Remaining (Clients) 166 696 756 876 % Completed 86.02% 39.32% 34.09% 23.63% DT: Daphne's Team • Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during FO: Front Office review. Details USO USO USO MEA High Risk Remediation Data LatAm GAT Other Total NY West Central NY Initial In Scope Clients 612 132 92 435 63 23 128 1,485 Out-of-Scope Identified* 54 27 16 160 14 6 61 338 Fully Approved 152 32 15 62 6 1 3 271 with Banker Team" 341 56 45 125 32 11 53 663 with Manager Director (MD) 5 3 4 12 with ABR/AFC 12 11 2 2 2 3 3 35 # of Downgrades (No longer 47 20 9 11 7 2 5 101 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-0042224 CONFIDENTIAL SDNY_GM_00188408 EFTA01356378