EFTA01373583.pdf

Classification: Confidential Thank you. A couple quick comments and questions we should prep for. Slide 2: Wayne — you (or we) will get asked about the 1in AFCs queue from Feb. Not sure which one this is, but if there is any chance of reviewing it (and approving it!) before the call Monday it would be great to say Jan and Feb are 100% done. AB: Last Submitted on April 2nd. There is a note in the case stating : Waiting on more information from the Global Team. KYC Case # 1904641 - CAPUTO, JORGE ANTONIO RELATIONSHIP If we are only 10% approved in June and we're nearly half way through the month (by June 111, when do we think we'll be done with Q2? AB: Daphne can you speak with Nick and Vinita on this and revert back Slide 3: None of these should be reporting as overdue, since they are not due yet. AB: Correct. Updated There is a spike in August of 148 cases. We will need to explain this. Is this because a lot of customers are associated with one relationship, for example? How do we get ahead of this, e.g. if there are only 46 left to complete in July, do we think we could accelerate some of the August cases forward? AB: Customers within 45 different relationships are due. S of those relationships represent approx. 50% of the customers due. See list of relationships below. The case manager teams will start to work on these MAP as they get through the July volumes (some have already been started). I will liase with Daphne / allocation of Case managers to bankers will be adjusted as needed to get through the volumes SOUTHERN FINANCIAL RELATIONSHIP 20 PRINCIPALS OF AQUILINE RELATIONSHIP 17 GOLDENTREE RELATIONSHIP 15 SILLERMAN, ROBERT FX RELATIONSHIP 14 BENENSON, EDWARD H RELATIONSHIP 10 Slide 4: HR Status — numbers don't make sense, please review. If there were 258 due and 247 approved how are 59 overdue? AB: Inadvertently had an incorrect figure for approvals: Total due is 258. Approved is 199 and 59 overdue. Updated Slide The second main bullet seems to be missing something. Does this mean 23 are pending documentation or research? - For the 30 in rejected status, 23 ore pending client documentation, research 7 are pending with the RM/ Case Manager/Banker. AB: Client documentation or Research — updated to add or Given the current ABR resource gap a decrease in the moderate and low risk backlog for this segment is expected to be realised beginning 2H 2018 —Can we really say this? I don't believe it...A8: I used this specific messaging as it aligns to messaging Oliver sent Jan Wagener (email dated June 4th) "ABR team covering corresponding reviews and approval in staffing mode (S out of 9 FTE in place) with hiring respectively training expected to be completed in June / July, hence decrease of backlog for this segment expected to be realised beginning 2H 2018 I would make everything from slide Son an Appendix and not clear if we should keep slide 6 or 8. AB: Removed Slide 6 and 8 and moved slide 5 and 6 to appendix I do think you could put most of slide 4 into an exec summary, but we need to note: AB: Moved slide 4 to Executive Summary slides with a few updates The status update and changes since last week CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0067845 CONFIDENTIAL SDNY_GM_00214029 EFTA01373583