EFTA01356001.pdf

NAME SEARCHED: Southern Financial 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 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): • No I lit • Not Required Alert found (Mail sent separately) RDC in Hit I. RDC Results No Hit 0 Not F1RCOSOFT Required 11. FIRCOSOFT Results No Alert (please see attached) ISCI ttit Not required III. Negative Media BLS 0 Yes 0 No 102 Not Required IV. Non-Negative Media Not required Not required V. Other Language Media Not required D&B Mulls? 0 Yes E No I.-:i Not Required VI. girt& Not required Smartlinx Results? • Yes 0 No * Not Required VII. Smartlinx M Review by Legal May Not required Court Cases be Required • No Results VIII. Court Cases ):. 4 Search not required Prepared by: Nahid Khan Date: 02/22/2018 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 Martindale-Hubbell search Of applicable) on each search subject. We lime attached the a eh link below for your convenience:Martindale-Hubbellhttp://www.martindale.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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041373 CONFIDENTIAL SDNY_GM_00187557 EFTA01356001