EFTA01360385.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 here for results: Reviewer Comments (as necessary): El No I lit 0 Not %NSW RDC L RDC Results No RDC alert (Please sec attached) o Hit CA No I lit • Not Required H. Beak I'CR PCR No PCR alert (Please see attached) 0 Hit • Yes St No III. Negative Media No Information found BIS ❑ Not Required IV. Non-Negative Media No Information found V. Other Language Media Not Required Results? El Yes 0 No vi. D&B Not Required Da ®Not Requited Result Found(please see attached) Smartfins Results? /8) YIN 0 No Ill Not Required VII. Smartlinx • Review by Legal May No Information found Court Cases be Required 9 No Results 11111. Court Cases NI Search not Acquired Prepared by: Unashi Lavania Date:12/06/2013 Research Analyst Instructions: 1. 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:Martindak-Hubbellhttp://www.martindale.comixp/Martindalefhome.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 continuation that you have fully reviewed the research documents. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0048703 CONFIDENTIAL SDNY_GM_00194887 EFTA01360385