EFTA01594195.pdf

Confidential Due Diligence Report Due Diligence Report Ghislaine Maxwell JP Morgan Chase Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 5654198136 EFTA01594195 Confidential Due Diligence Report Executive Summary On 02/12/2013, GS&I was requested by Kirsten Sichler to conduct a background investigation. Media research was conducted on Ghislaine Maxwell, Maxwell Communications Corporation, Maxwell Foundation, Pergamon Press Ltd. Throughout this search, the following records were researched: SPEADD/FPS internal database search (JPMorgan Chase Fraud Prevention List Review), Worldcheck, publications, regulatory sanctions, FINRA/NFA and OFAC (Office of Foreign Asset Control). Please Note: All research is subject to the availability of electronic database resources. Our searches revealed the following: Ghislaine Maxwell • Internal database search revealed prior GS&I research for Ghislaine Maxwell and nothing derogatory was reported. • Other databases (World-Check) revealed no records found. • Publications revealed records found. • Regulatory sanctions search revealed no records found. • A search of OFAC did not reveal any matches. Maxwell Communications Corporation, Maxwell Foundation, Pergamon Press Ltd • Internal database search revealed no records found. • Other databases (World-Check) revealed no records found. • Publications revealed records found. • Regulatory sanctions search revealed no records found. • A search of OFAC did not reveal any matches. Robert Maxwell • Internal database search revealed prior GS&I research for Robert Maxwell and nothing derogatory was reported. Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 5654198136 2 EFTA01594196 Confidential Due Diligence Report TABLE OF CONTENTS PUBLICATIONS 4 OFAC/CONTROL LIST SEARCH 5 Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 565419813B 3 EFTA01594197 Confidential Due Diligence Report PUBLICATIONS Troubled Company Reporter Copyright 1994 - 2009 Bankruptcy Creditors' Service, Inc. & Beard Group, Inc. All Rights Reserved Troubled Company Reporter February 9, 2009 SECTION: Vol. 13 ISSN: 1520-9474 LENGTH: 165 words HEADLINE: MAXWELL COMMUNICATION: New York Court Closes Case After 17 Years BODY: Reuters' Emily Chasan reports that Judge Robert Gerber of the U.S. Bankruptcy Court for the Southern District of New York closed the bankruptcy case of Maxwell Communication Corp. on December 30, 2008, noting there were no further contested matters or adversary proceedings in the case. The bankruptcy case remained open for more than 17 years, the report notes, after the British media empire collapsed amid a string of frauds. According to Ms. Chasan, the Maxwell businesses were thrown into disarray after British publishing magnate Robert Maxwell died in November 1991 and evidence grew of alleged massive financial irregularities. "Pension fund assets of the public companies, Maxwell Communication Corp. and Mirror Group Newspapers, had allegedly been looted to prop up parts of the empire," Ms. Chasan reports. "Administrators and liquidators were appointed in Britain and the United States to recover sums for creditors. Many of Maxwell's key businesses were sold off at auction," Ms. Chasan adds. LOAD-DATE: February 9, 2009 Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 565419813B 4 EFTA01594198 Confidential Due Diligence Report OFAC/CONTROL LIST SEARCH Office of Foreign Assets Control: Search Results The Search Results Page displays records based on your search criteria. If the individual or organization is in the OFAC database, their name will be displayed in the Search Results Page. No records were found that meet your search criteria: Maxwell, Ghislaine Office of Foreign Assets Control: Search Results The Search Results Page displays records based on your search criteria. If the individual or organization is in the OFAC database, their name will be displayed in the Search Results Page. No records were found that meet your search criteria: Maxwell Communications Corporation Office of Foreign Assets Control: Search Results The Search Results Page displays records based on your search criteria. If the individual or organization is in the OFAC database, their name will be displayed in the Search Results Page. No records were found that meet your search criteria: Maxwell Foundation Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 5654198136 5 EFTA01594199 Confidential Due Diligence Report Office of Foreign Assets Control: Search Results The Search Results Page displays records based on your search criteria. If the individual or organization is in the OFAC database, their name will be displayed in the Search Results Page. No records were found that meet your search criteria: Pergamon Press Confidential - This report is not to be disseminated or photocopied to any third party without the express consent of Global Security & Investigations. 5654198136 6 EFTA01594200