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Management 5022 Gate Parkway. Suite 400. 32256 Jacksonville. USA From: Rodrigo Quintero Sent: Monday, July 17 2017 7:27 AM To: Patrick Harri Cc: Emily Craig < e a Daphne Cales 41.1111111111111111111111111k>; Janice Franklin Armen Brash ; Sheffali Welch < Subject: KYC HR Clients Remediation - Status (

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

e, USA Tel. +1 (904) 520.4012 Email rodrioo.ouinterodtdb.com From: Rodrigo Quintero Sent: Monday, June 26 2017 7:47 AM To: Patrick Harris < Cc: Emily Craig 'aphne Cale >; Janice Franklin Brash c: IMMIII Iheffali Vaishali-P Mehta < Subject: KYC HR Clients Remediation - Status (6/23/17) [I) Class

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

Bank Wealth Management 2256 Jacksonville, USA From: Rodrigo Quintero Sent: Friday, June 09, 2017 1:49 PM To: Sheffali Weld • Patrick Harri Cc: Emily Craig Daphne Cales Janice Franklin >; Armen Brash Subject: RE: KYC HR Clients Remediation - a us Classification: For internal use only 1. Overdue 2

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

400, 32256 Jacksonville, USA Tel. Email From: Sheffali Welch Sent: Friday, June 09, 2017 1:17 PM To: Rodrigo Quintero < >; Patrick Harris Cc: Emily Craig < , Daphne Cales >; Armen Brash < Subject: RE: KYC HR Clients Remediation - Status jlj Classification: For Internal use only ; Janice Franklin

Y JUN JUL AUG SEP OCT NOV DEC Total USO 97 124 62 47 73 120 143 122 22 11 821 LatAm 46 37 37 50 21 72 53 86 13 2 417 MEA-NY 21 2 7 7 6 13 4 1 61 GAT 6 2 1 1 2 1 3 3 1 20 Total 170 163 102 105 103 199 212 215 35 15 1319 4. I believe the week