EFTA01384803.pdf

NAME SEARCHED: Plan D, 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 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: I Result: Click hem for results: Reviewer Comments (as necessary): C No Hit El Not Required No RDC Alert (Please See Attached) RDC I. KI)C Results • Hit 0 No Nit 0 Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) 0 tin No Information Found Ill. Negative Media 0 Yes 0 No BIS No Information Found IV. Non-Negative Media ❑ Not Required No Information Found V. Other Language Media Information Found (Please See Attached) Results? 0 Yes 0 No D&B VI. D1411 0 Not Required SMARTLINX Results? 0 Yes 0 No No Information Found VII. Smartlinx 0 Not Required ID Review by Legal May be No Information Found COURT CASES Required I8I No Results VIII. Court Cases 0 Search not required Prepared by: Priyanka Sharma Date: 10/01/2018 Research Analyst Instructions: I. 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 fur your convenience:Martindale-Hubbellhttp://www.martindale.comhp/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 research documents. For Internal use only For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0085330 CONFIDENTIAL SONY GM_00231514 EFTA01384803