EFTA01255541.pdf

NAME SEARCHED: Financial Infomatics Inc PWM 81S-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject names) 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 E Not Required I. Results RDC RDC No RDC alert (Please sec attached) ■ i lit No Hit 0 Not Requital FIRCOSOFT II. FIRCOSOFT Results No Fircosoft alert (Please sec attached) • Hit 0 Yes 0 No III. Negative Media There was no information found BIS 0 Not Required IV. Non-Negative Media Not Required V. Other Language Media Not Required Results? • Yes No There was no information found D&B vt. D&B E Not Required There was no information found Smartlinx Remits? 0 Yes 0 No • Not Requiral VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Required 0 No Results VIII. Cowl Cases • Search not requirai Prepared by: Shanu Gujaria Date 08/23/2018 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-Ilubbellhttpdhavw.manindak.comhp/Martindakihome.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 document& For Internal use only For internal use only S0NY_GM_00062414 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0025239 EFTA_00172922 EFTA01255541  OFAC RESULTS RDC: 111 Country:VIRGIN ISLANDS, 111638693 Not Alerted Financial Infomatics Inc U.S. FIRCOSOFT: Medi%) Rem, ID Recced ID ripe line Details ADM PEP ME Ccffipr) inn i- 0 /Jo Ag , Icx•ft,.,4 %AM BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: For internal use only For internal use only SDNY_Gril_00062415 CONFIDENTIAL — PURSUANT TO FED R ctO.NEIDENTIAL DB-SDNY-0025240 EFTA 00172923 EFTA01255542  Page 2 yew. Results List I tAll SINK 1 - 17 Et 17S rind South: ATAHILLO C0A-LcA'AA>A A A-- 'frs•Barsa U> S.acch ii4,>urs Tee ems: ccraCangalsondel Infornatics Inc) urn% • Stasi e.0100 Red Hook Quarter 83) rad ( F-i t SOW — I Here Aft • Select for Oc:atv er r•tv -•Ett.11.011E EYWCIAL 14421441:a. Sic `ft • Witi art STE • t2 as ig :sraaan t api Leg. DS,: P010-80)3•9505 CARISILO.C.4 tlet41.171 ny "%FCC COMTV • CCeil4LT8.850-.1.237sC t•^> AstrAres• Cn ;Ai ;ad)* f.a.ass •;•.)Pattf.• :‘ ,..a.aimu>sasc - SIOSEM Vi• 2 1,04,44' -spa 'Etat: tuat tern aCtn ¶.1-tSIOICO g a R aUSAW SS4 CN Meth Ments/L•ratisos Kw te 3) Its....1APC*4 tUILKKO Irt liel • ile h an, 221 MAWASSI3 VE 2:10•44. - MIKE vit,t11:!Mffel- 1,31,,APCAL AVOW WS Vat erg teEDEIEEtt, nst taisatattact All•Wft ft 126•4•1:4, awl Mg rra 07S5 'j I Al SY-MISZti Met: ;tater Match IsamiN/laraissra (els LLi ntisoans• 0,044,04X comma's 4E? +e• TM* LOW0000..0.:: 5149 1LAINN-2 - D&B: There was 11O information found LEGAL RESULTS: Court Cases: There was no information found For Internal use only For internal use only SDNY_GM_00062416 CONFIDENTIAL - PURSUANT TO FED. R.ctQN( IDENTIAL DB-SONY-0025241 EFTA_00172924 EFTA01255543