EFTA01297827.pdf

NAME SEARCHED: Jean Anne Brennan Wiebracht 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 hem for results: Reviewer Comments (as necessary): El No lilt 0 Not Required No RDC Alert (Please See Attached) RUC I. RDC Results • Hit Cr No Hit U Not Required FIRCOSOFT II. FIRCOSOFT Res-Mil No FIRCOSOFT Alert (Please See Attached) ID flit No Information Found 0 Yes ® No Ill. Negative Media HIS IV. Non-Negative Media No Information Found 0 Not Required Not Required V. Other LanRtiage Media Not Required FteAlits? 0 Yes 0 No VI. DieS D&B _i Not Required Retailts? E Yes No No Information Found (Please See Attached) SNIARTLINX 0 Not Required VII. Smartlinx U Review by Legal May be No Information Found COURT CASES Required gk No Results VIII. Court Cases M Search not n:quired Prepared by: Krishna Didhich Date: 08117/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Flublicll search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-HubbellhttpaAvwxv.martindale.comhp/Manindalefliome.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 S0NY_GM_00061396 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024221 EFTA_00171908 EFTA01297827  Page 2 OFAC RESULTS RDC: Date of Inquiry Id Response Type Tracking Id Name Address Birth/Age a - .., : r., :VIRGIN ISLANDS, Dat e of 11638375 No Match Found KYC 01977695 lean Anne Brennan Birth: U.S. Wiebracht 9/2/1960 & Date of 11638379 No Match Found KYC 01977695 lean Anne Brennan 4.-Aritty:UNITED STATES Birth: Wiebracht 9/2/1960 FIRCOSOFT: Alert(s) Request ID Record ID ype Name Details ADM INT PEP SAE Jean Anne 24867183 WR 24867183218 Individual No Alert No Alert No Alert No Alert nan VViebrachl Jean Anne 24867190 WR_24867190218 Individual No Alert No Alert No Alert No Alert Brennan VViebrachl BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required D& B: Not Required For internal use only For internal use only SONYGNI_00061397 CONFIDENTIAL - PURSUANT TO FED R.WNE IDENTIAL DB-SDNY-0024222 EF1'A_00171909 EFTA01297828  Public Record: FMM L_ fi e: COMM M 8 romorteent pent, R.nor, U > sawn lintel,* Tenn.: isn(ISO 4e 4/46) mete(ALL) radius(30) (3431 c•ere. i btalailth ) Select rot Dolgvew o, 'brew Gra.* ea a Na 'be* Raven Oa fee &cliklotmol tetedxs Mime Sept, we sewn ,.at eiiktf& AL r 1)40Kat.t caetr.101 a MOIL, en tar. suriesses Blotµ wow 14/Gedipc 14.0•11 mot 196•21 wooer* , ,, • • ' I Galan weeronimv soot =MOWN • MILOCart Cr 721 WI )COOT 07713 .4t1 CaLtrua :Oa. , Curree• &Oleg Mean; PEAMILLIti <WV I v. 1‘77 W,Voilit Vint f .O 4frr • CATOPI rIC int0.021 to' WAISLAMA 4 ^Ini!JUT CT '11-41 I• T171 lie 44'0M,, rrars.w..tuazzaina 4•40•3, COLeay. :Cino-t iJIIWO Poen. .29.I ;4.4 ni.J444 ;lade :W•Cig: ?twat, :45C.) P• M•ner•Car•ITS ,tr. fru Nitt.kiti42 NCita aat.tun • Carr. 1.1 2. earitifiCkaasnata WI. RI:Q.404K P-Zdt1POI Setetterat :130WW: Nab; arrionktv. v• M TOM. '‘) kW- -cater: ....pi.° Indite !trite tOSAILtt 5?1, 40wA; WO:-4.191 St rfre-AroSCC,,Nre- 8 No Documents Found No documents were found for the search terms entered. 't oo can edit your search and try again, or save it. To edit it, you may want to try one or more of the following: • Check for spelling errors. • Remove some search terms. • Check the " fi nd similar -sounding last names" checkbox. Search: Smartie's ; Comprehensive Person Report Terms; first - name(Man Anne) last - nerne(Brennan Wlebrecht) state(All) radius(30) " Edit Search New Search' yJ LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00061398 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SDNY-0024223 EFTA_00I719I0 EFTA01297829