EFTA Document EFTA01356409

Completed (Clients)" Remaining (Clients) Completed OT: Daphne's Team FO: Front Office DBF: DB Force Details 199 227 241 210 208 199 93 79 4 57 286 258 244 275 277 286 392 406 481 428 41.03% 46.80% 49.69% 43.30% 42.89% 41.03% 19.18% 16.29% 0.82% 11.75% * Initial population 1,319. Some items can be determined out-of-scope during review. ** Any decrease on 'Completed' totals after submission to FO are due to potential rejection/closing of the KYC case. *** ABR is not always part of the High Risk approval flow. High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 525 239 52 18 834 # of KYC Cases Approved 40 20 1 61 # of KYC Cases Rejected 14 6 20 Averages Days with Daphne's Team 40 50 37 49 44 Days with Front Office 1 1 0 0 1 Days with Manager Director 2 1 3 0 2 Days before Final Approval (ABR/AML) 1 1 12 0 4 # of Rejections 0 0 5 0 1 * Includes recent review of small relationships with CBV < $5 mm. Week over week (soon the amount of data will become an issue, Therefore, I will reduce the table to the main activities) « OLE Object: Picture (Device Independent Bitmap)» CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00188439 DB-SDNY-0042255 EFTA01356409