EFTA Document EFTA01356378

Gallivan Karen Cohen ; Janet Morales ; Felipe Godard ; Sven-Otto Westphalen Nicholas Allen <Mi lliSndrew ; Adrienne Bull <II Subject: KYC HR Clients Remediation - Status (9/08 MINIM Mehta Classification: For internal use only All, Below is the Monday morning deliverable (as of 9/08/17). Let me know if you have any question. Summar KYC Update Steps Owner Total In Scope (Clients)* if Completed (Clients) H Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO NJA 1,187 1,147 1,021 451 1,147 391 166 696 756 86.02% 39.32% 34.09% 1,147 271 876 23.63% • Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during review. Details USO NY USO West USO Central LatAm MEA NY GAT Other Total High Risk Remediation Data 612 132 92 435 63 23 128 Initial In Scope Clients 1,485 54 27 16 160 14 6 61 Out-of-Scope Identified* 338 152 32 15 62 6 1 3 Fully Approved 271 341 56 45 125 32 11 53 with Banker Team" 663 5 3 4 with Manager Director (MD) 12 12 11 2 2 2 3 3 with ABR/AFC 35 # of Downgrades (No longer 47 20 9 11 7 2 5 101 HR) * 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) CONFIDENTIAL DB-SDNY-0042224 SDNY_GM_00188408 EFTA01356378