EFTA Document EFTA01356384

KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,152 896 1,122 375 1,122 322 256 747 800 77.78% 33.42% 28.70% 1,122 213 909 18,98% * Initial pop increased to 1477 after recent review of HR clients. 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 1,477 163 162 20 10 Out-of-Scope Identified* 355 157 50 5 1 Fully Approved 435 124 36 9 with Banker Team** 604 7 3 with Manager Director (MD) 10 34 5 with ABR/AFC 39 58 12 6 1 # of Downgrades (No longer AR) 77 Week over Week CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042230 CONFIDENTIAL SDNY_GM_00188414 EFTA01356384