EFTA01298107.pdf

NAME SEARCHED: LSJ Employees LLC PWM 81S-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 invoMng PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary.): Not Required I. RDC Results ),4 No Nii 0 RDC • I ht No RDC alert (Please see attached) No flit U Not Required FIRCOSOFT In Hit B. F1RCOSOFT Results No Fircosoll alert (Please sec attached) 0 Yes 0 No III. Negative Media There was no information found BLS M Not Required IV. Non-Negative Main Not Required V. Other Language Media Not Required Results? • Yes No There was no information found D&B E Not Required VI. D&B There was no information found Smartlinx Results? 0 Yes 0 No • Not Required VII. Sniartlinx 0 Review by Legal May There was no information found Court Cases be Required 0 No Results VIII. Court Cases • Search not required Prepared by: Shanu Gujaria Date 08/23/2018 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://wnw.martindak.comhp/Martindakihome.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 SONY_GM_00062071 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024896 EFTA 00172581 EFTA01298107  OFAC RESULTS ROC: 11638692 No Match Found. KYC 01977698 Country:VIRGIN ISLANDS, I• L.S3 Employees LLC U.S. FIRCOSOFT: it;s1 R.q.nl ID Resod lip. Must ▪ IN1 PEP SAL ;Arty, 111.12V.74'1Ar'.2 Cnapurf I SI Empern LC U Nr, Men .NV' MNni •in Wed BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: For Internal use only For internal use only SDNY_GNI_00062072 CONFIDENTIAL — PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0024897 EFTA_00172582 EFTA01298108  Page 2 O No Documents Found No documents were found for the search terms entered. You 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 1011111 search terms. • Check the "find similar-sounding last names" checkbox. Search: Smartfinx 3 Comprehensive Business Report Terms: company(LS) Employees LLC) radius(15) dtt h New Search' D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SONYGhl_00062073 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0024898 EFTA_0O172583 EFTA01298109