EFTA01356402.pdf

Cc: Emily Crai < >; Daphne Cales ; Janice Franklin < >; Armen Brash < ; Sheffali Welch < > Subject: KYC HR Clients Remediation - Status (6/09/17) ill Classification: For Internal use only All, Below is the Monday moming deliverable (as of 6/09/17). Let me know if you have any question. Summary Create Attach Submit Review Request KYC Create KYC Checklist to Obtain Obtain Info Due FO Attest to Obtain ABR Update KYC Update & Docs Front MD AFC and Diligence Completeness Approval••• Steps Checklist In to KYC Office Approval Approval Don profile System case (FO) Owner DT DT DT DT DT DT FO FO 10 FO Total In Scope 945 945 945 945 945 945 945 945 945 945 (Clients)* Completed 309 397 402 378 364 346 120 97 4 71 (Clients)•* Remaining 636 548 543 567 581 599 825 848 941 874 (Clients) 32.70% 42.01% 42.54% 40.00% 38.52% 36.61% 12.70% 10.26% 0.42% 7.51% Completed Details High Risk Remediation Data USO LatAm MEA-NY GAT Total InitialIn Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 166 164 31 13 374 # of KYC Cases Approved 51 23 1 75 # of KYC Cases Rejected 13 10 23 # of Downgrades 11 8 19 Averages Days with Daphne's Team 32 64 20 63 45 Days with Front Office 6 6 17 0 IIMM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042248 CONFIDENTIAL SDNY_GM_00188432 EFTA01356402