EFTA01298095.pdf

NAME SEARCHED: Southern Trust Company, Inc. 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 unde the correct heading below. Significant negative media results may require escalation to senior business, Legal and Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click hem for results: Reviewer Comments (as necessary): No FM U Not Required RDC • flit I. RDC Rcstdts No RDC alert (Please see attached) 1.4 No Mt X Not Required FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFf alert (Please see attached) • lilt 1:1 Yes C.1 No III. Negative Media There was no information found BIS IV. Non-Negative Media There was no infonnatiOn found 0 Not Required V. Other Language There was no in tbnnation found Media Remits? • Yes 01:i No There was no information found MB • Not Required VI. P•El Smartlinx Remits? 0 Yes 0 No ID Not Required VII. Smarm There was no information found I: Review by Legal May be There was no information found Court Cases Required El No Results VIII. COO Cases • Search not required Prepared by: H"manshu Klratwani Datc:08/21/2018 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you are still required to perform any Martindale-Huhhell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/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 For internal use only S0NY_GM_00062055 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024880 EFTA_00 72565 EFTA01298095  Page 1 OFAC RESULTS RDC: VIRGIN ISLANDS, 11638464 Not Alerted KYC 01977695 Southern Trust Company, U.S. Inc. .---.-.-..-.-..-..-.-..-..-..- FIRCOSOFT: Request ID Record ID Type Name Alert(s) ADM INT PEP SAE Southern Trust Company, No No No 24860751 WR_248607512182 Company Alert False Inc. Alert Alert BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: For Internal use only For internal use only SDNY_GM_00062056 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0024881 EF1'A_00172566 EFTA01298096  Page 2 There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00062057 CONFIDENTIAL - PURSUANT TO FED. R.Q1:1)N(F IDENTIAL DB-SDNY-0024882 EFTA_00I 72567 EFTA01298097