EFTA01363407.pdf

NAME SEARCHED: Caroline Sophie Camille Lang 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: Retie %%er Continents (as necessary): to No I lit O Not Required RIX' O flu I. RE) : Results No RD(' alert (Please sec attached) IS) No I III Not Ropockl PCR II. PCR Results No PCR alert (Please see attached) El Ilit CI Yes No Ill. Negative Media There was no information found 13IS M Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required Result Results? U Yes M No D&B Not Required D&B IS Not Required Smartlim Results? Ct Yes O No Result Found (Please see attached) MI Not Requital VII. Smattlinx Review by Legal May Result Found (Please see attached) El Court Cases be Required O No Results VIII. Court Cases • Search not required Prepared by: Prachi Pawn Da e: 12/30/2016 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 %se)) link below for your convenience:Mart indale-Hubbellhttp://www.martindale.comhpfMartindale/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-0053397 CONFIDENTIAL SDNY GM_00199581 EFTA01363407