EFTA Document EFTA01356375

Cc: Rodrigo Quintero < >; Sheffali Welch < Subject: FW: KYC HR Clients Remediation - Status (9/17/17)111 Which bankers did not submit their assigned quota by Friday? Sent with BlackBerry Work (www.blackberry.com) From: Rodrigo Quintero •< > Date: Sunday. Scp 17 2017 12:00 PM To: Patrick Harris Cc: Emily Crai Da.hneCales Armen Brash • Welch 'me Westphalen Morales . Nicholas Allen • Andrew Gallivan Karen Cohen • , Adrienne Bull • , Mclisa Venegas Subject: KYC HR Clients Remediation - Status (9/17/17)111 Classification: For Intend use only All, Below is the Monday morning deliverable (as of 9/17/17). Let me know if you have any question. Summary KYC Update Steps Owner Total In Scope (Clients)* Completed (Clients) # 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 1,200 1,156 1,156 1,156 1,145 475 468 299 55 681 688 8S7 95.42% 41.09% 40.48% 25.87% Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during review. *Multiple items previously identified as 'Out of Scope' due to small relationship(CBV < $2 mm) have been coming into scope as per Banker's request. Details USO NY USO West USO Central LatAm MEA NY GAT Other Total High Risk Remediation Data 612 59 132 25 92 17 435 162 63 11 23 6 128 49 Initial Population 1,485 Out-of-Scope Identified* 329 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042221 SDNY_GM_00188405 EFTA01356375