EFTA01363215.pdf

NAME SEARCHED: Darren I ndyke 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: Re% ley% er Comments (as necessary): .1NO lilt O Not Required RIX' I. RIX: Results No RD(' alen (Please sec attached) O flu PCR ip No Mil lallot It‘viockl II. PCR Results PCR :den ( mail send separately.) 0 I la O Yes No III. Negative Media There was no information found BIS E Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required Results? E Yes M No D&B VI. D&B Not Required 0 Not Required Smartlinx Results? 0 Yes O No Result Found (Please sec attached) O Not Required VII. Smartax O Review by Legal May There was no information found Court Cases be Required 0 No Results VIII. Court Cases D Search not required Prepared by: Pinch" Pawa Da c: 10/12/2016 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttpahrww.martindale.com/xp/Martindalefhome.xml 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053136 CONFIDENTIAL SDNY GM_00199320 EFTA01363215