EFTA Document EFTA01356390

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 1,134 718 1,134 290 1,134 246 416 844 888 63.32% 25.57% 21.69% 1,134 153 981 13,49% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO LatAm M EA-NY GAT Total High Risk Remediation Data 951 441 63 22 Initial In Scope Clients 1,477 154 159 20 10 Out-of-Scope Identified" 343 109 38 5 1 Fully Approved 153 380 111 16 8 with Banker Team** 515 5 4 3 with Manager Director (MD) 9 3 2 with ABR/AFC 14 43 11 5 # of Downgrades (No longer NR) 59 Week over week CONFIDENTIAL - PURSUANT TO FED. R. GRIM. P. 6(e) DB-SDNY-0042236 CONFIDENTIAL SDNY_GM_00188420 EFTA01356390