EFTA01298924.pdf

CRRE: Client Risk Rating Calculation
Request Details
Initiating Request ID:
Date Time: 2018-11-1414:49:13
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: 16
Overall Risk Level: HIGH
Type Of Logic Applied: Adverse Media; Client PEP or UBO PEP/RCA
Entity Risk
Risk Category: HIGH
Score: 5
Legal Entity Risk Score Local Rule
Trust 5 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 US - United States 0 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_00064312
DENTIAL
CONFIDENTIAL - PURSUANT TO FED. C laN fj DB-SDNY-0027137
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EFTA01298924

Product Risk Score Local Rule
Cash Group 3 N
Execution Only 1 N
SDNY_GM_00064313
CQN Fe) DENTIAL
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0027138
EFTA_001748I9
EFTA01298925