EFTA01356563.pdf

Appendix 3 — Closure review timeframes The below tables define the timeframes of the closure review procedures in the various scenarios (DCOlICO review required. GA validation required). Validation Finding 7aiget Dart completed Rwandalion &anus sal to &tea set lo coenvattaid Towed by lits.weiricie 'Qos44 by 0 , oup Amer I FoOng ounorpespases Ream ea Lvascesal ROMS I And abate mono! 'tonna germ' OCOS # Cc's es( ofirontlie b Te Dade% 7W lore-tee, 'elks*: fesIthv. so's?,;net wee t [ix/v*10010f O'ne pray TON OM t'('4- =Fasoao.". Appendix 4 — Local deviation to Group Audit validation requirements The below tables define deviations to the minimum standards for GA validation diven by local regulatory requirements. Regulator Requirement for Treatment validation Chita (CBIRS) 3 year - regulatory findings Standalone GA validation Taiwan (various) 2 years - regulatory might be required a Ihe findings audit cycle for the related Snooper. (MAS) 1 year - regulatory findings process and location is longer US (FRB) 90 days - regulatory findings South Korea (FSS) 2 - 6 months after regulatory report issuance - regulatory findings only Ukraine (NBU) When validation is requested by the regulator. Ad hoc /as and when Regulatory Findings must needed be validated within 12 months of closure Hungary (NBH) Regulatory Findings must Poland (Polish FSA) be validated before the Siding is reported to the regulator as closed For internal use only Page 12 og 12 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042471 CONFIDENTIAL SDNY_GM_00188655 EFTA01356563