EFTA01356397

# Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office 474 175 134 547 846 887 46.43% 17.14% 13.12% 95 926 9.30% • Initial pop 1,319. Items may be determined out-of-scope during review. Details USO LatAm MEA NY GAT Total High Risk Remediation Data 821 417 61 20 Initial In Scope Clients 1,319 126 144 18 10 Out-of-Scope Identified* 298 251 94 with Banker Team" 345 19 3 with Manager Director (MD) 22 3 3 with ABR/AFC 6 20 9 # of Downgrades (No longer FIR) 29 " 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 HR Client Reniediadon Progress Il io r:, v 0.rce., al I IECADVO,ed 1 7‘ t% • SAWN? • tr151:31? or SI S/20:7 • 5.4440 i? Ma li i‘, • 61212017 /0 AM" aw • 65,* 017 • 6114401? • 412112017 ktoifitti, UtPor4 CILYt Kr; C 14; :V) Regards. Rodrigo scc EV234017 • St.40:7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042243 CONFIDENTIAL SDNY_GM_00188427 EFTA01356397