EFTA Document EFTA01356403

Days with Manager Director 2 3 3 0 2 Days before Final Approval (ABR/AML) 1 1 12 0 4 ✓i of Rejections Additional details 1 1 1 =EMI St of Clients Aging (days) KYC Case Status by Teams USO 0-30 108 31-60 44 61-90 21 90+ 14 Total 187 1. In Progress 92 41 20 11 164 3. Ready for Office Dir Approval/SMTH 6 6 5. Ready for Compliance Approval 4 4 Rejected (with Front Office) 6 3 1 3 13 LatAm 48 41 13 30 132 1. In Progress 33 31 12 30 106 2. Ready for Primary Officer Approval 3 7 10 3. Ready for Office Dir Approval/SMTH 2 2 4. Ready for AML & Bus. Risk Approval 3 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 8 1 1 10 GAT 1 1 1. In Progress 1 1 Total 156 85 35 44 320 Week over week HR Client Remediation Progress Obtain/IC 3,-.4.08.31 Oteisin API Avpro.bc Oyu:v.1M toptaai f °Mina in (Atop,. tress to Fine Ottre t.M1M Regards, Rodrigo fl ar= 7 • 61212017 • 5n.6.,=7 5119/2017 ■5(15/3717 .50111017 • natiXtI7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042249 CONFIDENTIAL SDNY_GM_00188433 EFTA01356403