EFTA01298110.pdf

NAME SEARCHED: Jean Anne Brennan Wiebracht 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 hem for results: Reviewer Comments (as necessary): NI No lilt 0 Not Required No RDC Alert (Please See Attached) RUC I. RDC Results • Hit Cr No Hit U Not Required FIRCOSOFT II. FIRCOSOFT Res-Mil No FIRCOSOFT Alert (Please See Attached) ID flit No Information Found 0 Yes (8] No Ill. Negative Media HIS IV. Non-Negative Media No Information Found 0 Not Required Not Required v. Other LanRtiage Media Not Required rtmitir 0 Yes 0 No VI. DieS D&B _i Not Required Retailts? E Yes No No Information Found (Please See Attached) SNIARTLINX 0 Not Required VII. Smartlinx U Review by Legal May be No Information Found COURT CASES Required gk No Results VIII. Court Cases M Search not n:quired Prepared by: Krishna Didhich Date: 08117/2018 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-HubbellhttpaAvwxv.martindale.comhp/Manindaleillome.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 S0NY_GM_00062169 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024994 EFTA_00172679 EFTA01298110  Page 2 OFAC RESULTS RDC: Date of Inquiry Id Response Type Tracking Id Name Address Birth/Age a : .J,:r, :VIRGIN ISLANDS, Birth ate of 11638375 No Match Found KYC 01977695 lean Anne Brennan U.S. Wiebracht 3 Date of 11638379 No Match Found KYC 01977695 Jean Anne Brennan •.:,-;untry:UNITED STATE: ' iiii. Wiebracht FIRCOSOFT: Alert(s) Request ID Record ID Type Name Details ADM INT PEP SAE Jean 24867183 WR 2413671832182 Individual Anne No Alert No Alert Alert No Alert Brennan VViebrach Jean 24867190 WR_248671902182 Individual Anne No Alert No Alert Alert No Alert Brennan VViebrachl BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required D&B: Not Required For Internal use only For internal use only SDNY_G11_00062170 CONFIDENTIAL - PURSUANT TO FED R.WNE IDENTIAL DB-SONY-0024995 EF1'A_00172680 EFTA01298111  Public Record: Search: Crnerr.int ronitratiOn4 vo POtS6ri RoDOr a > Sa*rch Remelts Tema: esn(ISO 46 ••46; stote(Alt) recce.- 3o) ( pie I:eve& i tlISSMISli ) Select for DelNew e , Ver. Cr ec,00 a Na 74* It•Xul Oct fee (.06ebnel teerles *bore see-t sawn etiktf& S'elta. AFT ZU ($11540e.at.t cCerr•101 et /WNW; 61 tar. Make' Frae4) low I erelien e•Sercenimv Seat • rte` Cart Cr 1,C 1 *007713 9.41 DRZWIAN ;DM ;centre once ego»! Prealttlti at" n. kr: meViailePV(Tt eke V In 11. Wee 0.61011 DC ina0.0.7( ofMrs!r••• tk11%-12-45.5 4 :Karr et 5P/Wish riasas..watztists • Curt eft _ere Point. riehre>miCOLeay. :1;.0,4v: Fleet, :,MY: Mincenerr. AV GfP tr. PAZ II:W IENSCE-ESAS 171 2. Sek. ean kfiln Mau REiniOGISP-Z1/11//1 ITT...WA. 'V 4•607.rtn • ,10 , 41 - .); I f.4nrn rat, ,f :restore Med Gliiefl12.14 (ste0. 4 WO:-4.141 St tleleASCO,Nre- d) No Documents Found No documents were found for the search terms entered. Too 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 slmilar-sounding last names" checkbox. Search: Smartlinxa Comprehensive Person Report ti Terms: first-name(3ean Anne) last-name(arennan Wiebracht) state(ALL) radios(30) yJ Edit Search Nee i;.7c1;) LEGAL REST 1. I's: Court Cases: No Information Found For Internal use only For internal use only SDNY_GM_00062171 CONFIDENTIAL - PURSUANT TO FED R.cONE IDENTIAL DB-SDNY-0024996 EFTA 00172681 EFTA01298112