CRRE: Client Risk Rating Calculation Request Details Initiating Request ID: Date Time: Event Model Run Instance: Event Model Run Version: Event Calibration Version: Client Adoption Country: Overall Risk Overall Risk Score: Overall Risk Level: Type Of Logic Applied: Entity Risk Risk Category: Score: WEB-31045416352403109 2018-11-13 15:24:25 114654-1 CRRE 4.1.0 4.1 US - United States 11 HIGH Adverse Media; Client PEP or UBO PEP/RCA MEDIUM 2 Legal Entity Risk Score Local Rule Foundation with ownership transparency 2 N Industry Risk Risk Category: Score: Type Of Logic: Industry Risk Score Local Rule High Risk Financial Institutions 5 N HIGH 5 Country Risk Risk Category: Score: Type Of Logic: Country Type Country Risk Score Flag Local Rule countryOfOp VI - Virgin Islands, U.S. 3 N clientCountryReg US - United States 0 N primarySourceOfWealth US - United States 0 N countryOfNationality (ID 1) US - United States 0 N uboDomicile (ID 1) VI - Virgin Islands, U.S. 3 N MEDIUM 3 Product Risk Risk Category: Score: MEDIUM 1 CONFIDENTIAL - PURSUANT TO FED. CQINEJDENTIAL SDNY_GM_00064029 DB-SDNY-0026854 EFTA_00 174535 EFTA01298805

Product Risk Score Local Rule Execution Only 1 N SDNY_GM_00064030 CONFIDENTIAL - PURSUANT TO FED. CQN Vej DENTIAL DB-SDNY-0026855 EFTA_00 174536 EFTA01298806