EFTA01373259.pdf

ANINCA-20111-19 Pending CompletIon-Rhk wise Month Subkskin en CAM MX-ItYC Compliance High Medium law Completed %Completion .3.11 3 0 0 0 0 1 3 100% Aug 9 0 0 c 0 -. 5 9 120%O% Sep 5 0 0 0 0 1 5 o 1(0% Oct 3 0 1 0 0 0 2 67`E Nov e 0 0 c 0 1 7 8 eco5: Dec 11 9 1 0 0 3 10 91Ii. Tan 2 0 0 0 0 1 1 2 100% Feb 5 0 1 0 0 I 7 8 89% Mar 7 0 2 0 0 1 4 5 71c* Apr 16 0 1 C 0 4 10 15 5413 May E 0 0 0 C 2 33% Total SO 0 10 0 0 17 52 70 138% Periodic Review — 2018 COMPLETED PENDING In immediate COB Not in immed Completion control contrc BUSINESS Overall ?I, based Not LINE- Asset TARGET Completion Volume on Risk CAM (includes initiated/ Management % Level Business returned AML pending cases eg , B3) with Requestoi Previous Current Percentage Percentage Initial Business (05.08.2019) (05.10.2019) submissions returns High 155 154 154 29.39% 99.35% 0 0 0 1 Medium 205 205 205 39.12% 100.00% 0 0 0 0 Low 164 164 164 31.30% 100.00% 0 0 0 0 AM NY 524 523 523 99.81% 0 0 0 1 Periodic Review — 2019 COMPLETED PENDING BUSINESS LINE Overall Completion In immediate COB control Not in immediate COB control Asset TARGET Completinn 1 based on Not initialed/ Volume CAM (includes Business Management Risk Level AML pending with 1AX-KYC returned cases eg., B3) Requestor Previous Current Percentage Percentage Initial Business CAM returns (09.10.2019) (15.111 2019) submissions returns High 46 41 Aril r 0 lc 1 Mid i..-“. 209 7e 37.32% - 1 L0. 840 4,', 504 50.0CF) 41 22 AM NY 1095 576 601 54.89% 55 23 2 3% :8 The above mentioned report is split as per High, Medium and Low risk for entire PR pipeline. 1. PR2018 Final pipe line is 524 as of 11/28/2018. 2. PR2019 Final pipeline is 1095 as of 04/24/2019. Following is the client status based on NRD (2019): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067347 CONFIDENTIAL SDNY_GM_00213531 EFTA01373259