Submitted to
KYC Update Steps Front Office FO Approved MD Approved Fully Approved
(FO)
Owner DT FO FO N/A
Total in Scope (Clients)* 1,163 1,123 1,123 1,123
If Completed (Clients) 978 434 374 253
It Remaining (Clients) 185 689 749 870
% Completed 84.09% 38.65% 33.30% 22.53%
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
USO USO USO MEA
High Risk Remediation Data LatAm GAT Other Total
NY West Central NY
Initial In Scope Clients 611 131 91 430 62 23 129 1,477
Out-of-Scope Identified' 63 27 23 160 14 7 60 354
Fully Approved 149 29 15 51 5 1 3 MEM
with Banker Team" 305 62 47 129 31 13 53 640
with Manager Director (MD) 2 3 5 4 14
with ABR/AFC 16 6 3 2 4 31
# of Downgrades (No longer
43 20 9 8 6 1 5 92
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) DB-SDNY-0042226
CONFIDENTIAL SDNY_GM_00188410
EFTA01356380