EFTA01294994.pdf

NAME SEARCHED: GHISLAINE MAXWELL 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 0 No Hit 0 Not Required I. RDC Results RDC ales (mail Sent separateh ) El Hit PCR No Hit 0 Not Required II. PCR M Hit Results No PCR alert (Please sec attached) M Yes 0 No III. Negative Media Not Required BLS C.I Not Required IV. Non-Negative Media Not Required V. Other Language Media Not Required Not Required Reggio • Yes IN No VI. De D&B - Not Required Not Required Sittartlinx Results? 0 Yes 0 No N Not Required VII. Smartlinx 0 Review bv Legal May Not Required Court Cana be Required 0 No Results VIII. Court Cases N Search not required Prepared by: Urvashi Lavania Date:02/05/20IS 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 convenience:Martindak-Hubbellhttp://www.martindale.comhp/Martindak/home.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 SONV_GM_00053664 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DE-SONY-001644313 EFTA_00164245 EFTA01294994  OFAC RESULTS RDC: Alert PCR: C20150225393960 GHISLAINE MAXWELL 9157778 NCA customised Auto-Closed No-Hit 05/02/2015 BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Records: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required For internal use only SDNY_GM_00053665 CONFIDENTIAL - PURSUANT TO FED R.Q0 .NEIDENTIAL DB-SDNY-0016489 EFTA_00164246 EFTA01294995