EFTA Document EFTA01298926

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-31222864381501974 2018-11-15 16:41:53 114654-1 CRRE 4.1.0 4.1 US - United States 16 HIGH Adverse Media; Client PEP or UBO PEP/RCA HIGH 5 Legal Entity Risk Score Local Rule Trust 5 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 US - United States 0 N clientCountryReg VI - Virgin Islands, U.S. 3 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) US - United States 0 N MEDIUM 3 Product Risk Risk Category: Score: HIGH 3 CONFIDENTIAL - PURSUANT TO FED. CQIN Fej DENTIAL SDNY_GM_00064314 DB-SDNY-0027139 EFTA_00 I 74820 EFTA01298926 Product Risk Score Local Rule Cash Group 3 N SDNY_GM_00064315 CONFIDENTIAL - PURSUANT TO FED. CQN Vej DENTIAL 0B-SDNY-0027140 EFTA 00174821 EFTA01298927