EFTA01298526.pdf

NAME SEARCHED: Southern Trust Company, 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 name(s) in the required databases and have attached the search results unde the correct heading below. Significant negative media results may require escalation to senior business. Legal and Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): No I lit U Not Required RDC • Hit I. RDC Rcstdts No RDC alert (Please see attached) r4 No Mt X Not Required F1RCOSOFT II. FMCOSOFT Results No PIRCOSOPT alert (Please see attached) • Hit O Yes 4:4 No HI. NeRative Media There was no information found BIS IV. Non-Negative Media There was no infonnation found O Not Required V. Other Language There was no intbnnation found Media Result& • Yes _, No There was no information found D&B IN Not Required VI. PetR Smartlinx Results? O Yes 0 No ID Not Required VII. Stnanlinx There was no information found ID Review by Legal May be There was no information found Court Cases Requited El No Results VIII. Cowl Cases • Search not required Prepared by: Datc:08/21/2018 Research Analyst Instructions: 1. Review and confirm that all re.sults arc 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-Hubbellhttp://www.mariindale.com/xp/MartindaleJhome.xml 3. As needed, provide comment for any negative results. 3. 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 S0NY_GM_00063242 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026067 EFTA_00173750 EFTA01298526  Page 1 OFAC RESULTS RDC: Ka VIRGIN ISLANDS, Not Alerted Southern Trust Company, U.S. Inc. FIRCOSOFT: Request ID Record ID Type Name Alert(s) ADM INT PEP SAE Southern Trust Company, No No No 24860751 INR 248607512182 Company Alert False Inc. Alert Alert BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: For Internal use only For internal use only SDNY_GM_00063243 CONFIDENTIAL - PURSUANT TO FED R.cONE IDENTIAL DB-SDNY-0026068 EF1'A_0017375 I EFTA01298527  Page 2 There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00063244 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026069 EFTA_00173752 EFTA01298528