EFTA Document EFTA01356402

Cc: Emily Crai < >; Daphne Cales ; Janice Franklin < >; Armen Brash < ; Sheffali Welch < > Subject: KYC HR Clients Remediation - Status (6/09/17) ill Classification: For Internal use only All, Below is the Monday moming deliverable (as of 6/09/17). Let me know if you have any question. Summary KYC Create Review Info Create KYC Attach Checklist Request Due Submit to FO Attest to Obtain Obtain ABR Obtain Update Steps KYC Checklist and Don Update In System & Docs to KYC case Diligence profile Front Office (FO) Completeness MD Approval Approval••• AFC Approval Owner DT DT DT DT DT DT FO FO 10 FO Total In Scope 945 945 945 945 945 945 945 945 945 945 (Clients)* 309 397 402 378 364 346 120 97 4 71 Completed (Clients)•* 636 548 543 567 581 599 825 848 941 874 Remaining (Clients) 32.70% 42.01% 42.54% 40.00% 38.52% 36.61% 12.70% 10.26% 0.42% 7.51% Completed Details High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 166 164 31 13 374 # of KYC Cases Approved 51 23 1 75 # of KYC Cases Rejected 13 10 23 # of Downgrades 11 8 19 Averages Days with Daphne's Team 32 64 20 63 45 Days with Front Office 6 6 17 0 IIMM CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042248 SDNY_GM_00188432 EFTA01356402