EFTA Document EFTA01356411

Summar KYC Update Steps Owner Total In Scope (Clients)* Completed (Clients)** Remaining (Clients Com feted DT: Daphne's Team FO: Front Office DBF: DB Force Details Current KYC Case Status Submission to FO by TEAM Pending Completed Out of Scope • Grand Total USO $68 116 37 821 Create KYC Checklist Review Info and Docs Create Attach KYC Checklist Update & Docs in to KYC System case Request Submit Due to Attest to Diligence Front Completeness profile Office DT DT DT DT DT 1.196 1.196 1.196 1,196 1.196 1.196 1.196 Obtain Obtain MD ABR Approval Approval"' 1.196 1.196 210 278 281 239 234 211 92 79 4 986 918 915 957 962 985 1,104 1,117 1,192 17.56% 23.24% 23.49% 19 98% 19.57% 17.64% 7.69% 6.61% 0.33% * Out-of-Scope population 121. 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 ca5 ABR is not always part of the High Risk approval flow. N/A 1. In Progress 6. Approved 7. Approved with Temporary Exception Inactive Rejected LatAm 630 37 1 63 23 3 1 26 35 1 1 665 101 23 3 1 28 240 94 83 417 N/A 1. In Progress 2. Ready for Primary Officer Approval 3. Ready for Office Dir Approval/SMTH 4. Ready for AML & Bus. Risk Approval 6. Approved Closed Rejected 204 36 II 55 8 1 3 19 1 7 79 4 283 95 8 1 3 19 1 7 illillil mill CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042257 CONFIDENTIAL SDNY_GM_00 188441 EFTA01356411