EFTA01297866.pdf

NAME SEARCHED: Neptune, LLC PWM 81S-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 here for results: Reviewer Comments (as necessary.): No Hit M Not Required I. Resifts RDC RDC No RDC alert (Please sec attached) ■ flit No Hit 0 Na Required FIRCOSOFT H. FIRCOSOFT Resul4 No Fircosoft alert (Please sec attached) • iiii CI Yes Oil No III. Negative Media There was no information found BLS El Not Required IV. Non-Negative Mcdi:i Not Required V. Other Language Media Not Required Results? • Yes No There was no information found D&B VI. D&B E Not Required There was no information found Smarting Results? 0 Yes 0 No • Not Required VII. Smartlinx 0 Review bILegal May There was no information found Court Cases be Required 0) No Results VIII. Caul Cases • Search not required Prepared by: Shanu Gujaria Date 08/27/2018 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-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://wn w.martindalc.comhp/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 SDNY_GM_O0081532 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024357 EFTA_00172044 EFTA01297866  OFAC RESULTS RDC: Not Alerted Country:UNITED STATES Neptune, LLC .411 Country:VIRGIN ISLANDS, Not Alerted U.S. Neptune, LLC FIRCOSOFT: IliessiIII Nueva 10 tor Kano 'WS WIN RH Ft t, 5111. toe n1 MSc*.LU. S Ns Ma No Awl No Aet MAIM C.wpmy Mon 1SC et No ASen NO Aka NC Mel NO Met BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: For Internal use only For internal use only SONYGI.L000615:33 CONFIDENTIAL — PURSUANT TO FED R.QQNE IDENTIAL DB-SDNY-0024358 EFTA_00172045 EFTA01297867  Page 2 8 No Documents Found No documents were found for the search terms entered. You 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 "find similar-sounding last names' checkbox. Search: Smartlinter Comprehensive Busmen Report ICI Termer tin radlua(15) Hsu Seeschl Search: Smar'fitilicatrautujihairetta > Search ResAts rests: companomptune LEG) street address(6100 Red Hook. Quarter 63) aty(SAINT THOMAS .. ( Fdt Search bow sea,d- ) • Select for Delivery or VIres Shoskol. OPIPNCTO WPM. OUNOrki. !Calipplep NEPTUNE POOLS, INC. Leant :11 1..12 : . Peet P.TrIzZ aux". Leantrot,: A D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00061534 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0024359 EFTA_00I 72046 EFTA01297868