EFTA01296330.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 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): 0 No Hit • Not Required RDC ■ Ilit I. RDC Results No RDC alert (Please sec attached) ... No Hit • Not Requited II. PCR H Hit PCR Results No PCR alert (Please sec attached) El Yes 0 No III. Negative Media There was no information found BLS a Not Required IV. Non-Negative Media There was no information found v. Other Language Media There was no information found Results? MI Yes III No Not required D&B VI. D&B 0 Not Required There was no information found Smanlizui Results? 0 Ifim CI No 0 Not Required VII. Smartlins 0 Review by. Legal May There was no information found Court Cases be Required g No Results VIII. Court Cases H Search not required Prepared by: Reena Chandwani Date:06/28/2017 Research Analyst Instructions: I. 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 Lot attached the %%eh link below for your convenience:Manindalc-Hubbellhttp://www.martindak.com/sp/Martindaldhome.:tml 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 S0NCGM_0005ft585 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0021409 EFTA_00169145 EFTA01296330  OFAC RESULTS RDC: Cimintry:RUSSIAN 11603811 No Match Found KYC 1790739 FEDERATION PCR: C20 170638060390 62012 15544 NCA customised Auto-Closed No-flit 28/06/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D& B: Not required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00058586 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0021410 EFTA_00169146 EFTA01296331  For internal use only SDNY_GM_00058587 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0021411 EFTA_00169147 EFTA01296332