EFTA01298928.pdf

CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: WEB-6960750793537475 Date Time: 2018-11-14 14:57:04 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: 13 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 Private Entity 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 US - United States 0 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: HIGH Score: 3 SDNY_GM_00064318 CONFIDENTIAL - PURSUANT TO FED. CQIN Fej DENTIAL 0B-SDNY-0027143 EFTA (K) 174824 EFTA01298928  Product Risk Score Local Rule Cash Group 3 N SDNY_GM_00064319 CONFIDENTIAL - PURSUANT TO FED. CQNVejDENTIAL 0B-SDNY-0027144 EFTA_00174825 EFTA01298929