EFTA01295183.pdf

NAME SEARCHED: Ghislaine N Maxwell PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the correct heading below. Significant negative media results may require escalation to senior business. Legal and Compliance management. Also. all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): No Hit MI Not Required RDC H Hit I. RDC RCSIIILS No RDC alert (Please sec attached) No flit • Not Requited PCR IL PCR Rest:It4 No PCR alert (Please sec attached) El M Hit 0 Yes 0 No III. Negative Media Not Required BB trif Not Required IV. Non-Nesttive media Not Required V. Other Language Media Not Required Not Required Results? M Yes El No D&B 0 Not Required Wilt& Not Required Smartlinx Results? 0 Yes 0 No ..TI Not Required VU. Smanlinx 0 Review by Legal May Not Required Court Cases be Required O No Results VIII. Court Cases 0 Search not required Prepared by: Ahsan Manzoor Date: 10/07/2013 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you are still required to perform any Martindale-Huhhell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/Np/Nlartindale/homeaml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. 5. Save any changes you make to this document and attach file to your KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SDNY_GM_00053913 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0016737 EFTA_00164483 EFTA01295183  OFAC RESULTS RDC: 111527348 No Match Found 6873907 Countri:United Kingdom Gillslame N Maxwell PCR: C20131019119922 Ghislaine N Maxwell 6873907 NCA customised Auto-Closed No-Hit 07/10/2013 BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Record: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required For internal use only SDNY_GM_00053914 CONFIDENTIAL - PURSUANT TO FED_ R.QQN(F IDENTIAL DB-SDNY-0016738 EFTA_00164484 EFTA01295184