EFTA01356727.pdf

KYC flint Page 18 of 21 DB PWM GLOBAL KYCJNCA: US/ LatAm /I nt'l PART B rA Relationship Name ZUECH, CHRIS RELATIONSHIP Mak Rating Comments: Derek St-Hilaire comfired the moderate nsk rating on 10/12/18. O It Booking Center 0 pry NY/ Offshore • Offshore Riask Moderate ri i__I High !Oak (Compliance Scratin) O DB Employee D DB Managed PI C D 0B is Trustee/Co-Trustee .j Bearer Shares 4. Attachments A Type of Photo ID Provided 0 Drivers License 1..j Passpon D National/State 10 O aher Checklist of names (Individuals and/or entities) that were submitted for database B 0 Yes D NO searches is attached C Please indicate the results of the database searches performed RDC searches complete ®Yes ❑No negative results found ®Yes ❑No PCR checks complete 52 yes O No negative results found D Yes !No ()PAC checks complete ©Yes ONO negative results found O Yes .5 No Eil S searches complete (Lexis'Nexis. Factiya. Reuters. Dow Jones. D&B) 1.7 yes O No negative results found O Yes ri No Denial Orders checks complete g yes • No negative results found D Yes ®No Martindale-Hubbell searched ( Lawyers' Law Firms only) O yet 0 No negative results found D Yes • No Meese summarize any atatwe results from the database searches indicated above: David Jelinek - court cases all a false positive. Our David was born in M. he is.. The Chicago case involves a 61 year old; for the CA case, he would have been 10. William Vandewater • small claims disposed 2007. ESM - Cases dosed. Eric S Meyer Our Eric is from . These small civil court cases. all related. are in from Chicago. Chris Zuech - Chris worked for both Carlyle group, one of the largest private equity funds In the world, and Vermillion . Carlyle Grc_ ii was sued by a former portfolio manager in one of its hedge funds, who alleges the firm and its hedge fund's partners knowingly misled Investors. Zuech, who was Vermillion's chief operating officer and next had a similar role at Carlyle Commodity Management. was named as D. defendant.The case was closed on 8/2016. See below regarding the only RDC alert. This has been AML for a week and waiting for clearance. MLC Investment Limited is the Trustee to two large Australian superannuation (Pension) funds in Australia. These funds are KYC parties to our account holder. MLC is part of National Australia Bank's wealth management business and has been around for 130 years. This alert contains a data action lawsut against National Australia Bank and its wealth management business MLC. The lawsuit claims that they engage in 'unconscionable conduct' by selling credit card insurance to holder who were ineligible to claim under its term. The lawsuit is very recent — 9/27/2018. National Australia Bank is a public company — as one of the four largest public financial institutions. this is considered normal part of business. Please clear the alert. Thank you. https://dbforcepb.my.salesforce.com/servlet/servlet.Integration?1id IN30000000D9Di&... 12/19/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0042737 CONFIDENTIAL SDNY GM_00188921 EFTA01356727