Gallivan Karen Cohen ; Janet Morales ; Felipe Godard ; Sven-Otto Westphalen Nicholas Allen <Mi lliSndrew ; Adrienne Bull <II Subject: KYC HR Clients Remediation - Status (9/08 MINIM Mehta Classification: For internal use only All, Below is the Monday morning deliverable (as of 9/08/17). Let me know if you have any question. Summar KYC Update Steps Owner Total In Scope (Clients)* if Completed (Clients) H Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO NJA 1,187 1,147 1,021 451 1,147 391 166 696 756 86.02% 39.32% 34.09% 1,147 271 876 23.63% • Initial pop increased to 1485 due to new AFC HR determinations. Items may be determined out-of-scope during review. Details USO NY USO West USO Central LatAm MEA NY High Risk Remediation Data GAT Other Total Initial In Scope Clients 612 132 92 435 63 23 128 1,485 Out-of-Scope Identified* 54 27 16 160 14 6 61 338 Fully Approved 152 32 15 62 6 1 3 271 with Banker Team" 341 56 45 125 32 11 53 663 with Manager Director (MD) 5 3 4 12 with ABR/AFC 12 11 2 2 2 3 3 35 # of Downgrades (No longer 47 20 9 11 7 2 5 101 HR) * 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042224 SDNY_GM_00188408 EFTA01356378