EFTA Document EFTA01356392

Owner DT FO FO N/A 1,150 1,150 Total In Scope (Clients)* 1,150 1,150 629 243 207 NEDIS # Completed (Clients) 521 907 # Remaining (Clients) 943 1,024 54.70% 21.13% % Completed 18.00% 10.96% * Initial pop increased to 1477 after recent review of HR clients. DT: Daphne's Team FO: Front Office 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 1,477 145 154 18 10 Out-of-Scope Identified* 327 332 103 18 8 with Banker Team" 461 4 4 1 with Manager Director (MD) 9 1 3 with ABR/AFC 41 11 5 # of Downgrades (No longer HR) 57 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. ** Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over week LIN 4;qosesi IACAp.vmd TOAcogoie$ ,il, n.dis to Pont ON OW 0) HR Client Remediation Progress k 11141 t.7 ".Y.! :CC (Kr 17C. muniX.17 • tra:2037 5:3/:01.7 ▪ 5M/X17 ■5,12.42017 • 6,1212 011 stit,ncar • V:J/2017 • 6n0P017 • 7/7,2eal • 7, 24/2017 s 7127/!017 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042238 CONFIDENTIAL SDNY_GM_00188422 EFTA01356392