EFTA Document EFTA01356386

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 1,153 810 1,126 340 1,126 286 343 786 840 70.25% 30.20% 25.40% 1,126 184 942 16,34% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total 951 441 63 22 Initial In Scope Clients 1,477 159 162 20 10 Out-of-Scope Identified* 351 130 48 5 1 fl Fully Approved 416 119 24 8 fl with Banker Team** 16 3 with Manager Director (MD) 19 9 3 1 with ABR/AFC 13 54 11 5 # of Downgrades (No longer AR) 70 * 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-0042232 CONFIDENTIAL SDNY_GM_00188416 EFTA01356386