EFTA01298805.pdf

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

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