EFTA01297637.pdf

NAME SEARCHED: Prytanee, LLC 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: Res 'o'er Comments (as necessary ) No Hit 0 Not Requital No RDC Alert (please see attached) Roc • Hit i. Ro c i(csliii.. ..T! No Hit 0 Not Required II FIRCOSOFT Re, iili, F1RCOSOFT No FIRCOSOFT Alert (please see attached) • Hit No Information Found N III. Nee.ative Media BIS 0 Yes No IS No Information Found ❑ Not Required IV. Non-hleutive Media No Information Found V. Other Landuade Media No Information Found Results'? 0 Yes .11 No MB VI. D&B 0 Not Required No Information Found Smattlias Results? 0 Yes er No 0 Not Required VII. Smartlinx • Review by Legal May be No Information Found Court Caws Required Er No Results VIII. Court Outs • Search not required Prepared by: Vikram-D Singh Date: 5)30/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc 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://w ww.martindak.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 For internal use only SONY_GM_ 7 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023803 EFTA_00171490 EFTA01297637  OFAC RESULTS RDC: Inquiry Id Response Type Tracking id Name Address . .,c.. c.c.:.:t - v : VIRGIN ISLANDS, 11632104 No Match Found KYC 01946825 Prytanee, LLC U.S. FIRCOSOFT: Alerts) Request ID Record ID Type Name Details ADM INT PEP SAE 12593915 WR_125939152182 Company Prytanee, LLC No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Records: No Information Found D&B: For internal use only For internal use only SONYGNI_00060979 CONFIDENTIAL — PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0023804 EFTA_00171491 EFTA01297638  Page 2 No Information Found LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00060980 CONFIDENTIAL - PURSUANT TO FED. R.caNtf IDENTIAL DB-SONY-0023805 EFTA [(117149? EFTA01297639