EFTA01356388.pdf

Submitted to KYC Update Steps Front Office FO Approved MD Approved Fully Approved (FO) Owner DT FO FO N/A Total In Scope (Clients)* 1,133 1,133 1,133 1,133 # Completed (Clients) 779 309 264 167 # Remaining (Clients) 354 824 869 966 % Completed 68.76% 27.27% 23.30% 14,74% 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 Initial In Scope Clients 951 441 63 22 1,477 Out-of-Scope Identified" 152 162 20 10 344 Fully Approved 119 42 5 1 167 with Banker Team** 416 111 19 8 554 with Manager Director (MD) 8 3 3 with ABR/AFC 13 7 20 # of Downgrades (No longer HR) 52 11 5 68 * 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 CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042234 CONFIDENTIAL SDNY_GM_00188418 EFTA01356388