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

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

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

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

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

77 after recent review of HR clients. DT: Daphne's Team FO: Front Office 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 1,477 145 154 18 10 Out-of-Scope Identified* 327 332 103

(Clients) 32.70% 42.01% 42.54% 40.00% 38.52% 36.61% 12.70% 10.26% 0.42% 7.51% Completed 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* 166 164 31 13 374 # of KYC Cases Approved 51 23 1

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

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

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

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

o potential rejection/closing of the KYC case. *** ABR is not always part of the High Risk approval flow. High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 525 239 52 18 834 # of KYC Cases Approved 40 20 1

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

o potential rejection/closing of the KYC case. *** ABR is not always part of the High Risk approval flow. High Risk Remediation Data USO LatAm MEA-NY GAT Total Initial In Scope Clients 821 417 61 20 1,319 Out-of-Scope Identified* 166 161 31 13 371 # of KYC Cases Approved 49 22 1