Owner DT FO FO N/A Total In Scope (Clients)* 1,150 1,150 1,150 1,150 629 243 207 NEDIS # Completed (Clients) # Remaining (Clients) 521 907 943 1,024 % Completed 54.70% 21.13% 18.00% 10.96% DT: Daphne's Team * Initial pop increased to 1477 after recent review of HR clients. FO: Front Office Items may be determined out-of-scope during review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 951 441 63 22 1,477 Out-of-Scope Identified* 145 154 18 10 327 with Banker Team" 332 103 18 8 461 with Manager Director (MD) 4 4 1 9 with ABR/AFC 1 3 # of Downgrades (No longer HR) 41 11 5 57 * Includes Inactive/closed KYC cases and small relationships with CBV < $2 mm. ** Includes all KYC cases submitted to FO plus KYC cases Rejected by ABR/AFC. Week over week LIN 4;qosesi IACAp.vmd TOAcogoie$ ,il, n.dis to Pont ON OW 0) HR Client Remediation Progress k 1141 t.7 ".Y.! :CC (Kr 17C. muniX.17 • tra:2037 5:3/:01.7 ▪ 5M/X17 ■5,12.42017 • 6,1212 011 stit,ncar • V:J/2017 • 6n0P017 • 7/7,2eal • 7, 24/2017 s 7127/!017 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042238 CONFIDENTIAL SDNY_GM_00188422 EFTA01356392