EFTA Document EFTA01356395

Mehta < Subject: KYC HR Clients Remediation - Status (6/30/17) [I) Classification: For Internal use only All, Below is the Monday morning deliverable (as of 7/07/17). Let me know if you have any question. Summar KYC Update Steps Owner Total In Scope (Clients)• 4* Completed (Clients) tt Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (F0) DT FO FO N/A 1,009 507 1,009 196 1,009 162 502 813 847 50.25% 19.43% 16.06% 1,009 96 913 9.51% * Initial pop 1,319. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 821 417 61 20 Initial In Scope Clients 1,319 132 150 18 10 Out-of-Scope Identified* 310 281 92 with Banker Team" 373 4 3 with Manager Director (MD) 7 9 3 with ABR/AFC 21 9 # of Downgrades (No longer FIR) 30 * 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-0042241 CONFIDENTIAL SDNY_GM_00188425 EFTA01356395