EFTA01363309.pdf

NAME SEARCHED: Erika Kellerha Is 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 here for results: Re% to‘er Comments (as necessary): t'.4 N lilt 0 Not It RIX' I. RDC Results No RDC alert (Please sec aiiached) 0 iht IS) -W)t Rcylock! I Li Erb PCR II. PCR Results No PCR alert (Please see attached) El NoI In El Yes No III. Negative Media There was no information found 131S M Not Required IV. Non-Nestativc Media There was no information found V. Other Language Media Not Required Result! Results? U Yes M No D&B [8:1 Not Required D&B Not Required Smartlinx Results? i:( Yes rj No MI Not Requital VII. Smartlinx Result Found(please see attached) Review by Legal May Result Found(please see attached) El Court Cases be Required • No Results VIII. Court Cases • Search not required Prepared by: Prachi Pawn 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 indale-Hubbellhttpahrtvw.martindale.comhp/Martindale/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-0053263 CONFIDENTIAL SDNY_GM_00199447 EFTA01363309