EFTA01359402.pdf

NAME SEARCHED: Darren Indyke 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): RDC El No I lit 0 Not Rquiral L No RDC alert (Please sec attached) El Hit RDC Results CI No I lit D Not Required PCR 0 Flit IL PCR Rest'ha No PCR alert (Please sec attached) *si Yes 0 No III. Negative Media Result found (Please see attached) BIS • Not Required IV. Non-Negative Media There was no information found v. Other Lamuaste Media There was no information found Results? 0 Yes C4 No There was no information found D&B VI. D&B 0 Not Required Result found (Please see attached) Smarttins. Results? 0 YIN 0 No Ill Not Required VII. Smartlinx • Review by Legal May There was no information found Court Cases be Required 0 No Results VIII. Court Cases NI Search not required Prepared by: Anshu Parashar Date:10/02/2015 Research Analyst Instructions: 1. Review and confirm that7a11 results arc 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:Martindak-Hubbellhttp://www.martintlak.com/sp/Martindale/home.srel 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 hive fully mimed the research documents. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0047481 CONFIDENTIAL SDNY_GM_00193665 EFTA01359402