KYC HR Clients Remediation - Status (6/09/17)

Emily CraigDaphne CalesJanice FranklinArmen BrashSheffali Welch

Classification: For internal use only
All,
Below is the Monday morning deliverable (as of 6/09/17). Let me know if you have any question.

Summary

KYC Update Steps	Create KYC Checklist	Review Info and Docs	Create KYC Update in System	Attach Checklist & Docs to KYC case	Request Due Diligence profile	Submit to Front Office (FO)	FO Attest to Completeness	Obtain MD Approval	Obtain ABR Approval***	Obtain AFC Approval
Owner	DT	DT	DT	DT	DT	FO	FO	FO	FO
Total In
Scope	945	945	945	945	945	945	945	945	945	945
Completed	309	397	402	378	364	346	120	97	4	71 14
Remaining	636	548	543	567	581	599	825	848	941	874
% Completed	32.70%	42.01%	42.54%	40.00%	38.52%	36.61%	12.70%	10.26%	0.42%	7.51%

Details

High Risk Remediation Data	USO	LatAm	MEA-NY	GAT	Total
Initial In Scope Clients	821	417	61	20	1,319
Out-of-Scope Identified*	166	164	31	13	374
# of KYC Cases Approved	51	23	1		75
# of KYC Cases Rejected	13	10			23
# of Downgrades	11	8			19
Days with Daphne's Team	32	64	20	63	45
Days with Front Office	6	6	17	0	7

CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL