EFTA01407530.pdf

NAME SEARCHED: Southern Trust Company, Inc. PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compli ance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the cor rect heading below. Significant negative media results may require escalation to senior business, Legal and Compliance m anagement. Also, all accounts involving PEPs must be escalated. Search: Result: RDC PCR BIS No Hit Hit No Hit Hit Yes Not Required Not Required Click here for results: I. RDC Results II. PCR Results III. Negative Media No Not Required IV. Non-Negative Media V. Other Language Media DEB Smartlinx Court Cases Results? Yes Not Required Results? be Required Yes Not Required Review by Legal May No Results Search not required Prepared by: Akash kumar gomesh Date: 01/10/2017 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:Martindale-Hubbellhttp://www.martindale.com/xp/Martindale/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 resear ch documents. No VII. Smartlinx No information found VIII. Court Cases No VI. DSB More than 3000 results No information found No information found No information found Reviewer Comments (as necessary): No RDC Alert No PCR Alert No information found For internal use only EFTA01407530 Page 2 OFAC RESULTS RDC: 11596455 Not Alerted GCIS 00000483883 Southern Trust Company, Inc. COuntry:UNITED STATES PCR: C20170136052271 Southern Trust Company, Inc. 12316920 NCA customised Auto-Closed No-Hit 10/01/2017 BIS RESULTS Negative Media: No information found Non-Negative Media: No information found Other Language Media: No information found Public Record: More than 3000 results (Please provide more information) D4B: No information found LEGAL RESULTS: Court Cases: No information found For internal use only EFTA01407531