EFTA01363845.pdf

NAME SEARCHED: 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): €21 No Hit P Not Required I. RD(' Results RDC No RDC alert (Please sec attached) M Hit No IN • Not Rainued II pcR Resiiiis PCR No PCR alert (Please see attached) MI Hit 0 Yes 0 No Ill. Negative Nlediu There was no information found BIS II Not Required IV. Non-Net:an% e Nledig There was no information found V. Other Language Media There was no information found Results? 0 Yes 0 No vi. Not Required D&B D&B Not Required Smartlinx Results? 0 Yes 0 No There was no information found • Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court cases be Required 0 No Results VIII. Court Cases M Starch not required Prepared by: Prachi Pawa Da e: 12/30/2016 Research Analyst Instructions: 1. Review and confirm that all results are 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 convenience:Martindale-Hubbellhttp://www.martindale.com/xp/Martindalethome.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-0054218 CONFIDENTIAL SDNY_GM_00200402 EFTA01363845