EFTA01356983.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): RDC El No I lit 0 Not Rcquircd L RDC Results No RDC alert (Please sec attached) 0 I lit CI No I lit • Not Required It Reswil ICR PCR No PCR alert (Please sec attached) 0 Hit • Yes No M. Negative Media There was no information found BIS Not Required IV. Non-Negative Media There was no information found V. Other LanAuaste Media There was no information found Results? El Yes 0 No vi. D&B Not required D•B El Not Required Result found(Please see attached) &nada\ Results? 0 YIN 0 No III Not Required VII. Smanlins • Review by Legal May There was no information found Court Cases be Required El No Results VIII. Court Cases M Search not required Prepared by: Deepanshu shanna Dale:01/27/2017 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-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindalc.comhpRHartindale/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 ICYC. Please note: Submission of a signed KYC is your confirmation that you hive fully reviewed the research documents. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0043266 CONFIDENTIAL SDNY_GM_00189450 EFTA01356983