d coming due items. Please review and address accordingly. Thank you. ACUs w/Mat Changes" Risk I Days Overdue High Moderate Low 28 are pending AML Compliance's review 1-30 31-60 61-90 >90 1 7 2 s 22 1 1 10 Grand Total 8 29 12 Overdue Temporary Exceptions Risk I Days Overdue High Moderate

ys Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 'some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 7 3 5 Moderate 2 3 Low 3 4 Overdue Hi

Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 2 2 4 Moderate 1 1 17 19 Low 8 1 8 17 * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 1 2 Moderate 1 1 Low 1 1 Overdue Hi

rdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 1 2 2 6 Moderate 18 18 Low 2 2 2 8 14 • some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 4 4 Moderate 2 2 Low 1 1 Overdue High

Overdue 1-30 31-60 61-90 >90 Grand Total cc File: US_Onshore.xlsx » High 2 9 11 Moderate 1 2 1 8 12 Low 2 8 10 some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue High Moderate Low 1-30 31-60 1 61-90 >90 1 1 1 Grand Total 1 1 2 Overdue Hi

Changes" Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 1 4 7* Moderate 1 1 19 21' Low 4 1 8 13* * some are pending AML Compliance's review Overdue Temporary Exceptions Risk Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 2 4 Moderate 3 1 1 5 Low 4 4 Overdu

at Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29s Low 1 11 12s • some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4

s* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total « File: US_Onshore.xlsx » High 1 8 9 Moderate 3 1 1 8 13 Low 4 4 8 * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 3 5 Moderate 2 1 3 Low 3 1 4 Overdue High Ris

ank you. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 7 8 Moderate 2 5 22 29 Low 1 1 10 12 * 28 are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 2 15 1 18 Moderate 1 1 1 3 Low 1 1 Overdue High

ou. ACUs w/Mat Changes* Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 1 2 7 10* Moderate 2 27 29* Low 1 11 12* * some are pending AML Compliance's review Overdue Temporary Exceptions Risk I Days Overdue 1-30 31-60 61-90 >90 Grand Total High 3 14 1 18 Moderate 4 1 1 6 Low 4 4 Overdue High