EFTA01298926.pdf

CRRE: Client Risk Rating Calculation
Request Details
Initiating Request ID: WEB-31222864381501974
Date Time: 2018-11-15 16:41:53
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 VI - Virgin Islands, U.S. 3 N
primarySourceOfWealth US - United States 0 N
countryOfNationality (ID 1) US - United States 0 N
uboDomicile (ID 1) US - United States 0 N
Product Risk
Risk Category: HIGH
Score: 3
SDNY_GM_00064314
DENTIAL
CONFIDENTIAL - PURSUANT TO FED. CQIN Fej DB-SDNY-0027139
EFTA_00 I 74820
EFTA01298926

Product Risk Score Local Rule
Cash Group 3 N
SDNY_GM_00064315
CQN VejD ENTIAL
CONFIDENTIAL - PURSUANT TO FED. 0B-SDNY-0027140
EFTA 00174821
EFTA01298927