EFTA Document EFTA01356388

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 1,133 779 1,133 309 1,133 264 354 824 869 68.76% 27.27% 23.30% 1,133 167 966 14,74% * 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 1,477 152 162 20 10 Out-of-Scope Identified" 344 119 42 5 1 Fully Approved 167 416 111 19 8 with Banker Team** 554 8 3 3 with Manager Director (MD) 13 7 with ABR/AFC 20 52 11 5 # of Downgrades (No longer HR) 68 * 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. GRIM. P. 6(e) DB-SDNY-0042234 CONFIDENTIAL SDNY_GM_00188418 EFTA01356388