EFTA01356400

KYC Update Steps Submitted to Front Office (FO) FO Attested to Completeness MD Approved ABR Approved" AFC Approved Completed Owner DT FO FO FO FO N/A 1,034 1,034 1,034 1,034 1,034 Total In Scope (Clients)* 1,034 369 132 109 4 76 *1 Completed (Clients) 80 665 902 925 1,030 958 # Remaining (Clients) 954 35.69% 12.77% 10.54% 0.39% 7.35% % Completed 7,74% " Initial pop 1,319. Items may be determined out-of-scope during review. ** ABR is not always part of the High Risk approval flow. DT: Daphne's Team FO: Front Office Details High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 118 141 16 10 285 # of KYC Cases Approved 53 26 1 80 # of KYC Cases Rejected 16 10 26 N of Downgrades 13 8 21 Averages Days with Daphne's Team 34 66 20 70 48 Days with Front Office 7 6 17 0 In Days with Manager Director 2 3 3 0 2 Days before Final Approval (ABR/AML) 2 1 12 0 4 N of Rejections 1 1 5 1 2 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. Additional details USO 1. In Progress 88 48 22 15 173 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042246 SDNY_GM_00188430 EFTA01356400