EFTA01295179.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 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): MI No Hit MI Not Requited RDC I RDC Results RDC alert (Mail sent separately) ®Hit No Hit • Not Required PCR II. KR Results No PCR alert (Please sec attached) M Hit 0 Yes 0 No III. Neu:dive Media Not Required BIS eil Not Required IV. Non-Negative Media Not Required V. Other Language Media Not Required Not Required Results? M Yes El No D&B 0 Not Required VI.111/a Not Required Smartlinx Results? 0 Yes 0 No ..TI Not Required VU. Smartlinx El Review by byte] May Not Required Court Cases be Required ONo Results VIII. Court Cases El Search not required Prepared by: Ahsan Manzoor Date: 10/07/2013 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubhell search (if applicable) on each search subject. We have attached the web link below for your convenience:5lartindale-Hubbellhttp://www.martindale.conilip/Nlartindale/homeaml 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 SDNY_GM_00053907 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0016731 EFTA_00164477 EFTA01295179  OFAC RESULTS RDC: Alerted Country:Urilted States PCR: C201310191200211 CA customised Auto-Closed No-Hit 07/10/2013 BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Record: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required For internal use only SDNY_GM_00053908 CONFIDENTIAL - PURSUANT TO FED R.CONEIDENTIAL DB-SDNY-0016732 EF1'A_00164478 EFTA01295180