EFTA Document EFTA01356407

DT: Daphnes Team FO: Front Office DBF: DB Force Details * 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* 166 161 31 13 371 # of KYC Cases Approved 49 22 1 # of KYC Cases Rejected 15 10 25 # of Downgrades 9 7 16 Averages Days with Daphne's Team 33 53 21 59 42 Days with Front Office 7 6 17 0 Days with Manager Director 2 2 3 0 2 Days before Final Approval 1 1 12 0 4 (ABR/AML) # of Rejections 1 1 5 1 2 ' Includes Inactive/closed KYC cases and small relationships with CBV < $5 mm. Additional details # of Clients Aging (days) KYC Case Status by Teams 0-30 31-60 61-90 90+ Total USO 75 50 23 11 159 1. In Progress 65 47 18 8 138 2. Ready for Primary Officer Approval S 4. Ready for AML & Bus. Risk Approval 1 Rejected (with Front Office) 4 3 5 3 15 LatAm 50 37 13 29 129 1. In Progress 37 27 12 29 105 2. Ready for Primary Officer Approval 2 7 9 3. Ready for Office Dir Approval/SMTH 2 2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042253 SDNY_GM_00188437 EFTA01356407