EFTA01298385.pdf

NAME SEARCHED: Financial Infomatics Inc 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 names) 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: Reviewer Comments (as necessary.): RDC No Hit M Not Required I. RDC Results No RDC alert (Please sec attached) ■ ilit = No Hit 0 Na Required FIRCOSOFT • liii II. F1RCOSOFT Results No Fircosoll alert (Please sec attached) o Yes w No III. Negative Media There was no information found BLS El Not Required W. Non-Negative Media 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 Remits? 0 Yes 0 No • Not Required VII. Smartlinx 0 Review by Legal May There was no information found Court Cases be Required N No Re,ults VIII. Court Cases E Search not required Prepared by: 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 Mart indale-Ilubbell search (if applicable) on each search subject. We have attached the web link below for your convenicnce:Martindalc-Ilubbellhttpahans.martindale.comisp/Martindale/home.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 Stasr_GM_0006292r CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0025752 EFTA_00 73435 EFTA01298385  OFAC RESULTS RDC: ail Country:VIRGIN ISLANDS, Not Alerted KYC Financial Infomatics Inc U.S. FIRCOSOFT: Ala,Et) Relent ID Recall 0 lip Ns Nulls AWI PEP ME Caper" EnnallNaralicstrit 0 Hs:sal Pio At^ Kt, Ak.t t.Utl 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_GM_00062928 CONFIDENTIAL - PURSUANT TO FED R.Qc.:INE IDENTIAL DB-SDNY-0025753 EFTA_0O173436 EFTA01298386  Page 2 yew. Results List I tAll OM 1. 17 o•17 MS rind South: Cual*Lki COIT-Ltr'r , i'd. -- ‘ra., .Barn. U > Sttio.1 itfi,ults Tetras: ccraCanga(ssndel infornatics Inc) urn% • ddresie.0100 Red HOC.. Quarter 83) rad ( 0.H Sew- 14e.1 %to ) • Select for Ocretv sr r•tv 4YaNCIAL MOW:a. PC N• Akan 4.4 ST! • ti) cr.:ast un t ami :en Day: 0040-80,3-9505 Cita% CA laiM SW rISCICOTUPTV Y•-•••••et CC4041.TIT-G 50141•23 t -nn Aw cry nt ;el)* Exii.at •; •.USTTS• T. a -.pm rm.,: Loaf. 474: 4c4•4 SITATTA4 ••• 2 -104-N4` TN. Si-NOTIN g 315 2-"UWI S4CN Meth Mentsitscabsos Kw la 3) C.1 ....1•44C14 PC 11:141K0 6.15.4 * hapstal waAssis •••• 2:10•444- MIKE vit4111,MM4TOY- 3.a is. Lt511•4•ACAL CagsafiteaCt OM 41Wat eri All•WC ft ITON-1:47 JezINT CaNst awl my : Ow ?as. OM I Al 59-10.5741 'JP tt: mfr.\ isaussiteraissra Owls 1.4.4 ['WKLY. 1.$ OTNTTVTAX comma's UNG0000.. ,.: TN* %CNN,. C%'4 - D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00062929 CONFIDENTIAL - PURSUANT TO FED R.QP.NEIDENTIAL DB-SDNY-0025754 EFTA_00173437 EFTA01298387