Epstein Secrets

KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,133 779 1,133 309 1,133 264 354 824 869 68.7

14,74% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 951 441 63 22 Initial In Scope Clients 1,477 152 162 20 10 Out-of-Scope Identified" 344 119 42

KYC Update Steps Owner Total In Scope (Clients)* Completed (Clients) Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,170 942 1,120 393 1,120 339 228 727 781 80.5

20.63% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 951 441 63 22 Initial In Scope Clients 1,477 166 170 14 7 Out-of-Scope Identified* 357 173 52

KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,153 810 1,126 340 1,126 286 343 786 840 70.2

sed to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details High Risk Remediation Data USO LatAm MEA-NY GAT Total 951 441 63 22 Initial In Scope Clients 1,477 159 162 20 10 Out-of-Scope Identified* 351 130 48 5 1 fl Fully Approved 41

KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (FO) DT FO FO N/A 1,152 896 1,122 375 1,122 322 256 747 800 77.7

18,98% * Initial pop increased to 1477 after recent review of HR clients. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 951 441 63 22 Initial In Scope Clients 1,477 163 162 20 10 Out-of-Scope Identified* 355 157 50

stion. Summar KYC Update Steps Owner Total In Scope (Clients)* # Completed (Clients) # Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Details High Risk Remediation Data Initial In Scope Clients ; Vaishali-P Submitted to Front Office FO Approved MD Approved Fully Approved (

176 100 441 785 820 896 55.72% 21.18% 17.67% 10.04% • Initial pop 1,319. Items may be determined out-of-scope during review. USO LatAm MEA-NY GAT Total 821 417 61 20 1,319 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0042239 SDNY_GM_00188423 EFTA01356393

on: For Internal use only All. Below is the Monday morning deliverable (as of 6/23/17). Let me know if you have any question. Summa Submitted to Front Office FO Approved MD Approved (FO) Fully Approved Owner DT FO FO N/A 1,030 1,030 1,030 Total In Scope (Clients)* 1,030 425 145 126 # Comp

op 1,319. Items may be determined out-of-scope during review. DT: Daphne's Team FO: Front Office Details High Risk Remediation Data USO LatAm MEA-NY GAT Initial In Scope Clients 821 417 61 20 Out-of-Scope Identified* 120 143 16 1 0 with Banker Team * * 229 89 with Manager Director

KYC Update Steps Submitted to Front Office (FO) FO Attested to Completeness MD Approved ABR Approved" AFC Approved Completed Owner DT FO FO FO FO N/A 1,034 1,034 1,034 1,03

ew. ** ABR is not always part of the High Risk approval flow. DT: Daphne's Team FO: Front Office 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* 118 141 16 10 285 # of KYC Cases Approved 53 26 1

tion. Summar KYC Update Steps Owner Total In Scope (Clients)• 4* Completed (Clients) tt Remaining (Clients) % Completed DT: Daphne's Team FO: Front Office Submitted to Front Office FO Approved MD Approved Fully Approved (F0) DT FO FO N/A 1,009 507 1,009 196 1,009 162 502 813 847 50.2

847 50.25% 19.43% 16.06% 1,009 96 913 9.51% * Initial pop 1,319. Items may be determined out-of-scope during review. Details USO LatAm MEA-NY GAT Total High Risk Remediation Data 821 417 61 20 Initial In Scope Clients 1,319 132 150 18 10 Out-of-Scope Identified* 310 281 92

7 15 23 85 1. In Progress 8 78 23 109 3. Ready for Office Dir Approval/SMTH 1 2 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 4 4 8 LatAm 39 16 22 77 Not Yet Started 2 1 3 6 1. In Progress 32 11 17 60 2. Ready for Primary Officer Approval 3 3 3. Ready

r Approval/SMTH 1 1 2 4. Ready for AML & Bus. Risk Approval 3 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 1 1 2 MEA-NY 9 2 11 Not Yet Started 9 2 11 GAT 1 1 2 Not Yet Started 1 1 1. In Progress 1 1 Total 110 113 73 296 2. Regarding small relati