EFTA01297499.pdf

NAME SEARCHED: The 2013 Butterfly 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): RDC C4 No I lit 0 Not Ram No RDC Alert(please see attached) rod I. RDC Results 0 MI - No I lit • Not Required FIRCFIRCOSOFT 0 Hit II. PCR Results No FIRCOSOFT Alert(please see attached) No Information Found III. Negative Media BIS CI Yes Ej No No Information Found IV. Non-Negative Medio Not Required No Information Found V. Other Language Media No Information Found Results'? • Yes No VI, D&B D&B 0 Not Required No Information Found Smartlinx Results? M Yes (8) No 0 Not Required VII. Smardinx • Review by Legal May No Information Found Court Cases be Required Ca No Results VIII. Court Cases 0 Search not required Prepared by: Priyanka Rathorc Date: 02/05/2018 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.comhp/hlartindak/home.sml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 reviewtd the research documents. For internal use only For internal use only SDNY—GM 00060706 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023621 EFTA_00171310 EFTA01297499  Page 2 OFAC RESULTS RDC: Count ry :VIRGIN ISLANDS, 11620917 No Match Found KYC 01898372 The 2013 Butterfly Trust U.S. 11620918 No Match Found KYC 01898372 Co' r' :UNITED STATES The 2013 Butterfly Trust FIR('OSOFT: Alert(s) Request ID Record ID Type Name ADM INT PEP SAE The 2013 2070437 WR_20704372182 Company Butterfly No Alert No Alert No Alert No Alert Trust The 2013 2070439 VVR_20704392182 Company Butterfly No Alert No Alert No Alert No Alert Trust BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: No Information Found D&B: No Information Found LEGAL RESULTS: For internal use only For internal use only SDNY_GM_00060797 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023622 EFTA_00171311 EFTA01297500  Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00060798 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0023623 EFTA ((117131? EFTA01297501