EFTA01356380

KYC Update Steps Owner Total in Scope (Clients)* If Completed (Clients) It 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 1,163 978 1,123 434 1,123 374 185 689 749 84.09% 38.65% 33.30% 1,123 253 870 22.53% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO NY USO West USO Central LatAm MEA NY GAT Other Total High Risk Remediation Data 611 131 91 430 62 23 129 Initial In Scope Clients 1,477 63 27 23 160 14 7 60 Out-of-Scope Identified' 354 149 29 15 51 5 1 3 MEM Fully Approved 305 62 47 129 31 13 53 with Banker Team" 640 2 3 5 4 with Manager Director (MD) 14 16 6 3 2 4 with ABR/AFC 31 43 20 9 8 6 1 5 # of Downgrades (No longer HR) 92 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. " Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over Week CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042226 CONFIDENTIAL SDNY_GM_00188410 EFTA01356380