EFTA01356392.pdf

Owner DT FO FO N/A Total In Scope (Clients)* 1,150 1,150 1,150 1,150 # Completed (Clients) 629 243 207 NEDIS # Remaining (Clients) 521 907 943 1,024 % Completed 54.70% 21.13% 18.00% 10.96% 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 InitialIn Scope Clients 951 441 63 22 1,477 Out-of-Scope Identified* 145 154 18 10 327 with Banker Team" 332 103 18 8 461 with Manager Director (MD) 4 4 1 9 with ABR/AFC 1 3 # of Downgrades (No longer HR) 41 11 5 57 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. ** Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over week HR Client Remediation Progress LIN 4;qosesi muniX.17 • tra:2037 5:3/:01.7 k ▪ 5M/X17 IACAp.vmd ■5,12.42017 • 6,1212 011 stit,ncar TOAcogoie$ • V:J/2017 • 6n0P017 11 141 • 7/7,2eal • 7, 24/2017 s 7127/!017 ,il, n.dis to Pont ONOW 0) t.7 ".Y.! :CC (Kr 17C. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042238 CONFIDENTIAL SDNY_GM_00188422 EFTA01356392