EFTA01363351.pdf

NAME SEARCHED: Harry Beller 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: I Click here for results: Reviewer Comments (as necessary): RDC e No Hit P Not Required I. RDC Results No RDC alert (Please sec attached) M Hit PCR No flit • Not Raitured II pck Results No PCR alert (Please see attached) MI Hit El Yes El No Ill. Negative Ntectio There was no information found BIS II Not Required IV. Non-Negative Ntedig There was no information found V. Other Language Media Not Required Results? 0 Yes': No n Not Required Din D&B Not Required Smartlinx Results? e Yes 0 No M Not Required VII. Stnattlinx Result Found(please see attached) 0 Review by Legal May Result Found(please see attached) Court Cases be Required 0 No Results VIII. Court Cases M Search not required Prepared by: Prachi Pawa Da e: 10/12/2016 Research Analyst Instructions: 1. Review and confirm that all results 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:Mart indalc-Hubbellhttp://www.martindalc.com/xp/Martindalc/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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053315 CONFIDENTIAL SDNY_GM_00199499 EFTA01363351