EFTA01368136.pdf

Global Risk Assessment Risk Assessment • Global CRRE Risk Score 13 • Global CRRE Risk Level HIGH • Special Risk Factors - Item New Response Previous Response UBO PEP LR PEP Adverse Media Yes Bearer Shares Complex Structure Link to Special Risk Country (CRRE) No Nexus to Special Risk Country (Global Due No No Diligence) Link to Special Risk Industry (CRRE) No Link to Special Risk Entity No No Intermediaries No No My other reason for escalation to AFC? No No Downstream Correspondent Banking Activity N/A N/A • Pillar Summary -Item Global Risk Global Score COUNTRY MEDIUM 3 ENTITY MEDIUM 2 INDUSTRY HIGH 5 PRODUCT HIGH 3 Override Risk Rating Override Risk Rating 7 No Override KYC Next Review Date Overriding KYC Next Review Date is to be used in exceptional circumstances only. It should not be used as a substitute for answering the KYC questions No correctly to derive the appropriate KYC Next Review Date. Page 9 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059797 CONFIDENTIAL SDNY_GM_00205981 EFTA01368136