EFTA01357061.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 hem for results: Reviewer Comments (as necessary): El No I la 0 Not Requinx1 RDC I. RDC Results No RDC alert (Please see attached) • Hit PCR El No Hit 0 Not Required II. PCR Results No PCR alert (Please sec attached) M Hit iii Yes 0 No III. Negative Media There was no information found 1318 0 Not Required IV. Non-Negative Media Result Found (Please see attached) V. Other Language Media There was no information found Results? • Yes 0 No Not Required an r_ Not Required VI. DaB Stnartlinx Results? 0 Yes No There was no information found 0 Not Required VII. Smartlinx El Review by Legal May There was no information found Court Cases be Required ClNo Results VIII. Court Cases II Search not required Prepared by: Prachi Pawa Da c: 01/30/2017 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:mart indale-Hubbellhttp://www.martindale.com/xp/Martindak/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-0043361 CONFIDENTIAL SDNY_GM_00189545 EFTA01357061