Details 199 227 241 210 208 199 93 79 4 57
Completed
(Clients)"
Remaining
(Clients)
Completed
OT:
Daphne's
Team
FO: Front
Office
DBF: DB
Force
Details 199 227 241 210 208 199 93 79 4 57
286 258 244 275 277 286 392 406 481 428
41.03% 46.80% 49.69% 43.30% 42.89% 41.03% 19.18% 16.29% 0.82% 11.75%
* Initial population 1,319. Some items can be determined out-of-scope during review.
** Any decrease on 'Completed' totals after submission to FO are due to 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 61
# of KYC Cases Rejected 14 6 20
Averages
Days with Daphne's Team 40 50 37 49 44
Days with Front Office 1 1 0 0 1
Days with Manager Director 2 1 3 0 2
Days before Final Approval
(ABR/AML) 1 1 12 0 4
# of Rejections 0 0 5 0 1
* Includes recent review of small relationships with CBV < $5 mm.
Week over week (soon the amount of data will become an issue, Therefore, I will reduce the table to the main activities)
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CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL SDNY_GM_00188439 DB-SDNY-0042255
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