EFTA Document EFTA01356382

KYC Update Steps Owner Total In Scope (Clients)* Completed (Clients) Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,170 942 1,120 393 1,120 339 228 727 781 80.51% 35.09% 30.27% 1,120 231 889 20.63% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 951 441 63 22 Initial In Scope Clients 1,477 166 170 14 7 Out-of-Scope Identified* 357 173 52 5 1 Fully Approved 231 452 127 35 10 with Banker Team** 624 4 3 with Manager Director (MD) 7 27 2 1 with ABR/AFC 30 63 13 6 1 If of Downgrades (No longer FIR) 83 * 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. CRIM. P. 6(e) DB-SDNY-0042228 CONFIDENTIAL SDNY_GM_00188412 EFTA01356382