EFTA01298860.pdf

NAME SEARCHED: Southern Trust Company, Inc. 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 unde the correct heading below. Significant negative media results may require escalation to senior business. Legal and Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click hem for results: Reviewer Comments (as necessary): No I lit U Not Required RDC • flit I. RDC Rcstdts No RDC alert (Please sec attached) rr No Mt X Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT alert (Please see attached) • hit ID Yes CI No HI. Negative Media There was no information found BIS IV. Non-Negative Media There was no infonnation found 0 Not Required V. Other Language There was no intbnnation found Media Remits? • Yes C. No There was no information found D&B IN Not Required VI. Wail Smartlinx Results? 0 Yes 0 No ID Not Required VII. Smola= There was no information found I: Review by Legal May be There was no information found Court Cases Required Igl No Results VIII. COO Cases • Search not required Prepared by: H"manshu Klwtwani Date:08/2 I/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-Hubhell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/MartindaleJhome.sml 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 SDNY_GM_00064185 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0027010 EFTA_00174691 EFTA01298860  Page 1 OFAC RESULTS RDC: VIRGIN ISLANDS, Not Alerted. Southern Trust Company, U.S. Inc. FIRCOSOFT: Request ID Record ID Type Name Alerts) ADM INT PEP SAE Southern Trust Company, Company Inc. No No No Alert Alert False Alert BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: For Internal use only For internal use only SDNY_GM_00064186 CONFIDENTIAL - PURSUANT TO FED R.cONE IDENTIAL DB-SDNY-0027011 EFTA_00174692 EFTA01298861  Page 2 There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00064187 CONFIDENTIAL - PURSUANT TO FED. R.WAII(E IDENTIAL DB-SDNY-0027012 EFTA_00174693 EFTA01298862