EFTA01296997.pdf

NAME SEARCHED: The Haze Trust 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): 0 No Hit • Not Required RDC ■ l lit I. RDC Results No RDC alert (Please see attached) ... No lilt • Not Requited II. PCR • Flit PCR Results No PCR alert (Please sce attached) 0 Yes 0 No III. Negative Media There was no information found 13IS E Not Required IV. Non-Negative Media There was no information found v. Other Language Media There was no information found Results? El Yes n No NIL D There was no information found MB 0 Not Required There was no information found &milli= Results? 0 Yes I'D No ID Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Requited 0 No Results VIII. Court Cases 0 Search not required Prepared by: Reena Chandwani Date:06/15/2017 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-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenicnce:Manindak-Hubbellhttp://www.martindak.com/sp/Martindaldhome.:tml 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 SONCGM_00059853 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0022677 EFTA_00170401 EFTA01296997  OFAC RESULTS RDC: o Match Found kyc A Country:VIRGIN ISLANDS, The Haze Trust U.S. PCR: The Haze Trust MNCA customised Auto-Closed No-Hit 15/06/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GNI_00059854 CONFIDENTIAL - PURSUANT TO FED R.cONE IDENTIAL DB-SDNY-0022678 EFTA_00170402 EFTA01296998  For internal use only SDNY_GM_00059855 CONFIDENTIAL - PURSUANT TO FED. R.QC;)N(F IDENTIAL DB-SONY-0022679 EFTA_00I70403 EFTA01296999