4. Ready for AML & Bus. Risk Approval 3 Rejected (with Front Office) 8 1 GAT 1 1. In Progress 1 Total 125 88 1 3 10 1 1 36 40 289 Week Over Week « OLE

132 1. In Progress 33 31 12 30 106 2. Ready for Primary Officer Approval 3 7 10 3. Ready for Office Dir Approval/SMTH 2 2 4. Ready for AML & Bus. Risk Approval 3 3 5. Ready for Compliance Approval 1 1 Rejected (with Front Office) 8 1 1 10 GAT 1 1 1. In Progress 1 1 Total 156

3. Ready for Office Dir Approval/SMTH 2 2 4. Ready for AML & Bus. Risk Approval 5 5 5. Ready for Compliance Approval 4 4 Rejected (with Front Office) 8 4 1 3 16 LatAm 39 43 22 33 1. In Progress 22

2 1 3 6 1. In Progress 32 11 17 60 2. Ready for Primary Officer Approval 3 3 3. Ready for Office Dir 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 23 3 1 28 240 94 83 417 N/A 1. In Progress 2. Ready for Primary Officer Approval 3. Ready for Office Dir Approval/SMTH 4. Ready for AML & Bus. Risk Approval 6. Approved Closed Rejected 204 36 II 55 8 1 3 19 1 7 79 4 283 95 8 1 3 19 1 7 illillil mill CONFIDENTIAL - P

Daphne's Team) 48 25 9 25 107 2. Ready for Primary Officer Approval (FO) 7 7 3. Ready for Office Dir Approval/SMTH (MD) 1 1 4. Ready for AML & Bus. Risk Approval (ABR) 3 3 Rejected (with Case creator) 3 2 1 6 1. In Progress (with Daphne's Team) 1 1 Total 122 64 40 32 258 Regards

0-30 31-60 61-90 90+ Total USO 75 50 23 11 159 1. In Progress 65 47 18 8 138 2. Ready for Primary Officer Approval S 4. Ready for AML & Bus. Risk Approval 1 Rejected (with Front Office) 4 3 5 3 15 LatAm 50 37 13 29 129 1. In Progress 37 27 12 29 105 2. Ready for Primar

anged Case Owner from Amanda Kirby to AML & Business Risk. 8/15/2013 1:59 PM User Amanda Kirby Action Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. 8/14/2013 4:44 PM User Armen Brash Action Changed Case Owner from AML & Business Risk to Amanda Kirby. hups://dbforcepb .my.sales

anged Case Owner from Amanda Kirby to AML & Business Risk. 8/15/2013 1:59 PM User Amanda Kirby Action Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. 8/14/2013 4:44 PM User Armen Brash Action Changed Case Owner from AML & Business Risk to Amanda Kirby. hups://dbforcepb .my.sales

anged Case Owner from Amanda Kirby to AML & Business Risk. 8/15/2013 1:59 PM User Amanda Kirby Action Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. 8/14/2013 4:44 PM User Armen Brash Action Changed Case Owner from AML & Business Risk to Amanda Kirby. hups://dbforcepb.my.salesf

ited Edition Page 9 of 9 8/14/2013 4:44 PM User Armen Brash Action Changed Reason for Rejection (If Applicable). Changed Status from 4. Ready for AML & Bus. Risk Approval to Rejected. 8/13/2013 5:42 PM User Amanda Kirby Action Changed Case Owner from Amanda Kirby to AML & Business Risk. 8/13/2013 5:

201411:48 AM User Amanda Kirby Action Changed Owner (Assignment) from Amanda Kirby to Compliance KYC. Changed Status from Rejected to 4. Ready for AML & Bus. Risk Approval. 2/26/2014 8:56 AM User Janice Franklin Action Changed Case Owner from Compliance KYC to Amanda Kirby. 2/26/2014 8:56 AM User Jan

ichel Action Changed Reason for Rejection (If Applicable). Changed AML & Business Risk Approver to Morgan Trichel. Changed Status from 4. Ready for AML & Bus. Risk Approval to 6. Approved. 3/20/2018 10:04 AM User Briana Gargurevich Action Changed Owner (Assignment) from Briana Gargurevich to AML & Busin