EFTA01298805.pdf

CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: WEB-31045416352403109 Date Time: 2018-11-13 15:24:25 Event Model Run Instance: 114654-1 Event Model Run Version: CRRE 4.1.0 Event Calibration Version: 4.1 Client Adoption Country: US - United States Overall Risk Overall Risk Score: 11 Overall Risk Level: HIGH Type Of Logic Applied: Adverse Media; Client PEP or UBO PEP/RCA Entity Risk Risk Category: MEDIUM Score: 2 Legal Entity Risk Score Local Rule Foundation with ownership transparency 2 N Industry Risk Risk Category: HIGH Score: 5 Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N Country Risk Risk Category: MEDIUM Score: 3 Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp VI - Virgin Islands, U.S. 3 N clientCountryReg US - United States 0 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) VI - Virgin Islands, U.S. 3 N Product Risk Risk Category: MEDIUM Score: 1 SDNY_GM_00064029 CONFIDENTIAL - PURSUANT TO FED. CQINEJ DENTIAL DB-SDNY-0026854 EFTA_00 174535 EFTA01298805  Product Risk Score Local Rule Execution Only 1 N SDNY_GM_00064030 CONFIDENTIAL - PURSUANT TO FED. CQNVejDENTIAL DB-SDNY-0026855 EFTA_00 174536 EFTA01298806