EFTA Document EFTA01373259

ANINCA-20111-19 Month S en ubkskin Pending CompletIon-Rhk wise CAM MX-ItYC Compliance High Medium law Completed %Completion .3.11 3 0 0 0 0 1 3 100% Aug 9 0 0 c 0 -. 5 9 120%O% Sep 5 0 0 0 0 1 5 o 1(0% Oct 3 0 1 0 0 0 2 67`E Nov e 0 0 c 0 1 7 8 eco5: Dec 11 9 1 0 0 3 10 91Ii. Tan 2 0 0 0 0 1 1 2 100% Feb 5 0 1 0 0 I 7 8 89% Mar 7 0 2 0 0 1 4 5 71c* Apr 16 0 1 C 0 4 10 15 5413 May E 0 0 0 C 2 33% Total SO 0 10 0 0 17 52 70 138% Periodic Review — 2018 BUSINESS LINE- Asset Management TARGET COMPLETED Overall Completion % Completion ?I, based on Risk Level PENDING Volume In immediate COB control Not in immed contrc CAM (includes Business returned cases eg , B3) AML Not initiated/ pending with Requestoi Previous (05.08.2019) Current (05.10.2019) Percentage Percentage Initial submissions Business returns High 155 154 154 29.39% 99.35% 0 0 0 1 Medium 205 205 205 39.12% 100.00% 0 0 0 0 Low 164 164 164 31.30% 100.00% 0 0 0 0 AM NY 524 523 523 99.81% 0 0 0 1 Periodic Review — 2019 BUSINESS LINE Asset Management TARGET COMPLETED Overall Completinn Completion 1 based on Risk Level PENDING Volume In immediate COB control Not in immediate COB control CAM (includes Business returned cases eg., B3) AML Not initialed/ pending with Requestor 1AX-KYC Previous (09.10.2019) Current (15.111 2019) Percentage Percentage Initial submissions Business returns CAM returns High 46 41 Aril r 0 lc 1 Mid i..-“. 209 7e 37.32% - 1 L0. 840 4,', 504 50.0CF) 41 22 AM NY 1095 576 601 54.89% 55 23 2 3% :8 The above mentioned report is split as per High, Medium and Low risk for entire PR pipeline. 1. PR2018 Final pipe line is 524 as of 11/28/2018. 2. PR2019 Final pipeline is 1095 as of 04/24/2019. Following is the client status based on NRD (2019): CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0067347 SDNY_GM_002 13531 EFTA01373259