EFTA01298382.pdf

NAME SEARCHED: Jean Anne Brennan Wiebracht 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 hem for results: Reviewer Comments (as necessary): El No lilt 0 Not Required No RDC Alert (Please See Attached) RUC I. RDC Results • Hit Cr No Hit U Not Required FIRCOSOFT II. FIRCOSOFT Res-Mil No FIRCOSOFT Alert (Please See Attached) ID flit No Information Found El Yes ® No Ill. Negative Media HIS IV. Non-Negative Media No Information Found 0 Not Required Not Required V. Other Language Media Not Required FteAlitir 0 Yes 0 No VI. DieS D&B _i Not Required Remits? E Yes No No Information Found (Please See Attached) SNIARYLINX 0 Not Required VII. Smartlinx U Review by Legal May be No Information Found COURT CASES Required gk No Remits VIII. Court Cases M Search not mquired Prepared by: Krishna Didhich Date: 08117/2018 Research Analyst Instructions: I. 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-HubbellhttpaAvwxv.martindale.comhp/Manindaleillome.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 For internal use only S0NY_GM_00062732 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0025557 EFTA_00173240 EFTA01298382  Page 2 OFAC RESULTS RDC: Date of Inquiry Id Response Type Tracking Id Name Address Birth/Age a : .J,:r, :VIRGIN ISLANDS, Date of 11638375 No Match Found KYC 01977695 lean Anne Brennan U.S. Wiebracht Elli. to Date of 11638379 No Matchfogn0 KYC 01977695 lean Anne Brennan •.:,-;iintri:UNITED STATES =firth: Wiebracht FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Jean Anne 24867183 WR_248871832182 Individual No Alert No Alert No Alert No Alert nan Wiebracht Jean Anne 24867190 WR_248671902182 Individual No Alert No Alert No Alert No Alert Brennan VViebrach BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required D&B: Not Required For Internal use only For internal use only SONYGM_00062733 CONFIDENTIAL - PURSUANT TO FED R.WNE IDENTIAL DB-SDNY-0025558 EFTA_0017324I EFTA01298383  Public Record: Search: Cfneerwat rnmonstion4 portal Rsoor Search Remelts state;ALI. ) (3Ah c•ere. i bra .eh ) Sande fog DoIrvry C, Ibe‘u Cr SO v.* Mean Clefitt athiconl:ftethea Mime Sew". CM Sat. O Taal We.i1OCIt t.2081AL riqtftwt.b1 oottrhini simi tausignc. 1'sI IS no .4101, poorly (Gen.ar .:00d, :own laECCIir* i Satan te Cercerfaiv Sthast MWSWei Catirod:ord , Curree• :Meg NeOfIC kl.1%..12-45.5 te noe, "Me, :ninon U.rona Mae. SP4 WI.ol a e.Jtc4 ocada ".1.4.4e: ?twat, :DO@ :W.. • . >4114.thrrli ail!Mgate.TheAS irsio; 'TT. MI AEU:104 12.'4'15Di M IT Wm. -sa(x): I fawner. ',Ms ro)m , s1p, t4 8 No Documents Found No documents were found for the search terms entered. Too can edit your search and try again, or save it. To edit it, you may want to try one or more of the following: • Check for spelling errors. • Remove some search terms. • Check the "find similar-sounding last names" checkbox. Search: Smartt:VAS Comprehensive Person Repert a r j Terms: first-name(3ean Anne) last-nerne(Brennan Wiebracht) state(ALL) redius(30) " Edit search New Serchi LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00062734 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0025559 EFTA_00173242 EFTA01298384