EFTA01298807.pdf

CRRE: Client Risk Rating Calculation
Request Details
Initiating Request ID: WEB-6876313502979613
Date Time: 2018-11-13 15:29:47
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: 13
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
Private Entity 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: HIGH
Score: 3
SDNY_GM_00064031
DENTIAL
CONFIDENTIAL - PURSUANT TO FED. C labl Et) 0B-SDNY-0026856
EFTA_00174537
EFTA01298807

Product Risk Score Local Rule
Cash Group 3 N
SDNY_GM_00064032
QtaN Vej DENTIAL
CONFIDENTIAL - PURSUANT TO FED. 0B-SDNY-0026857
EFTA_00174538
EFTA01298808