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RE: KYC HR Clients Remediation - Status Ill
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R
Rodrigo Quintero May 8, 2017 9:19 AM
To
Patrick Harris
Cc
Emily CraigDaphne Cales
Classification: For Internal use only
All,
Below is the Monday morning deliverable (as of 5/08/17).
Summary
| SOURCE | DT | DT | DT | DT | DT | DT | DBF | DBF | DBF | DBF |
|---|---|---|---|---|---|---|---|---|---|---|
| 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 | Attest to Completeness | Obtain MD Approval | Obtain ABR Approval*** | Obtain AFC Approval |
| Owner | DT | DT | DT | DT | DT | DT | FO | FO | FO | FO |
| Total In | ||||||||||
| Scope | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 | 1,212 |
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL