UK Risk Assessment
Risk Assessment
Global CRRE Risk Score
13
•
Global CRRE Risk Level
HIGH
•
RACS Risk Rating
•
Local Final Risk Global Final Risk
HIGH HIGH
•
Special Risk Factors - Item New Response Previous Response
UBO PEP
LR PEP
Adverse Media Yes Yes
Bearer Shares
Complex Structure
Link to Special Risk Country (CRRE) No No
Nexus to Special Risk Country (Global Due No No
Diligence)
Unk to Special Risk Industry (CRRE) No
Link to Special Risk Entity No No
Intermediaries No No
Any other reason for escalation to AFC? No No
Downstream Correspondent Barking Activity N/A N/A
•
Pillar Summary - Item Local Score Local Risk Global Risk Global Score
COUNTRY 3 MEDIUM MEDIUM 3
ENTITY 2 MEDIUM MEDIUM 2
INDUSTRY 5 HIGH HIGH 5
PRODUCT 3 HIGH HIGH 3
Override Risk Rating
Override Risk Rating ? No
Override KYC Next Review Date
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0059798
CONFIDENTIAL SDNY_GM_00205982
EFTA01368137