EFTA01298736.pdf

NAME SEARCHED : The Haze 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): No Hit • Not Required /. Results RDC RDC No RDC alert (Please sec attached) E I lit El No Hit 0 Not Required FIRCOSOFT II. F1RCOSOFT AmuIII No F1RCOSOFT alert (Please sec attached) E Hit There was no information found E Yes - t No HI. Negative Media BIS ID Not Required IV. Non-Negative Media There was no information found V. Other Language Media There was no information found Results? 0 Yes •14 No vi. D&B There was no information found D&B • Not Requited There was no information found Stnartlinx Results? 0 Yes .11 No II Not Required VII. Smutting 0 Review by Legal May There was no information found Court Cases be Required El No Results VIII. Court Cases 0 Search not required Prepared by: Rccna Chandwani Datc:10/25/2018 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 hare attached the web link below for your convenience:Martindale-Hubbellhttp://www.martintlak.comhp/Martindale/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 For internal use only SONY_GM_00063918 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026743 EFTA_00174424 EFTA01298736  OFAC RESULTS RDC: NO Match Found KYC (Global Search) The Haze Trust FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE The Haze Company No Alert No Alert No Alert No Alert Trust The Haze Company No Alert No Alert No Alert No Alert Trust 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: There was no information found LEGAL RESULTS: For internal use only For internal use only SDNY_GM_00063919 CONFIDENTIAL - PURSUANT TO FED R.QPN(F IDENTIAL DB-SDNY-0026744 EF1'A_00174425 EFTA01298737  Page 2 Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00063920 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0026745 EFTA 00174426 EFTA01298738