EFTA Document EFTA01298807

CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: Date Time: Event Model Run Instance: Event Model Run Version: Event Calibration Version: Client Adoption Country: Overall Risk Overall Risk Score: Overall Risk Level: Type Of Logic Applied: Entity Risk Risk Category: Score: WEB-6876313502979613 2018-11-13 15:29:47 114654-1 CRRE 4.1.0 4.1 US - United States 13 HIGH Adverse Media; Client PEP or UBO PEP/RCA MEDIUM 2 Legal Entity Risk Score Local Rule Private Entity 2 N Industry Risk Risk Category: Score: Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N HIGH 5 Country Risk Risk Category: Score: Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp VI - Virgin Islands, U.S. 3 N clientCountryReg US - United States 0 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) VI - Virgin Islands, U.S. 3 N MEDIUM 3 Product Risk Risk Category: Score: HIGH 3 CONFIDENTIAL - PURSUANT TO FED. C labl Et) DENTIAL SDNY_GM_00064031 0B-SDNY-0026856 EFTA_00174537 EFTA01298807 Product Risk Score Local Rule Cash Group 3 N SDNY_GM_00064032 CONFIDENTIAL - PURSUANT TO FED. QtaN Vej DENTIAL 0B-SDNY-0026857 EFTA_00174538 EFTA01298808