EFTA01378382.pdf

NAME SEARCHED 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: Re% icy, e r Comments (as necessai)): g'.4 NO lilt 0 Not It ROC I. RDC Results No RDC alert (Please see attached) O lin IS) No MLi Erb -W)t Itcynickl PCR R. PCR Results No PCR alert (Please see attached) O Hit Fo El Yes O No III. Negative Media Resu t our Please see attached) BIS For M Not Required Result Found (Please see attached) IV. Non-Neltative Media There was no information found v. Other handmade Media Not Required Results? O Yes O No Not Required D&B Not Required vi. D&B Sinardittx Results? Yes O No Result Found (Please see attached) O Not Required VII. Smanlittx Fm C4 Review by Legal May Resu t F•ound (Please see attached) Court Cases be Required O No Results VIII. Court Cases For III Search not required • Resu t Foun • (Please see attached) Prepared by: Prachi Pawa Date:10/14/2014 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-Hubbcllhttp://www.martindak.com/sp/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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0075558 CONFIDENTIAL SDNY_GM_00221742 EFTA01378382