EFTA01296023.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: Reviewer Comments (as necessary): RDC :r C4 No lin O Not ltiNuired RDC Results No RDC alert (Please sec attached) E Ilit Cs No Hit ■ Not Required PCR II. PCR Results No PCR alert (Please see attached) O fin O Yes gl No Ill. Negative Media There was no information found BIS • Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required D&B Ramie N Yes • No VI. D&B Not Required CI Not Required Smanlinx Results? lEl Yes O No Result Found (Please see attached) • Not Required VII. Smarllinx 0 Review b) Legal Ma' Result Found (Please see attached) Court Cases be Required • No Results VIII. Court Cases M Search not required I Prepared by: Prachi Pawa Da c: 12/30/2016 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-flubbellhttpdAvww.martindale.comisp/Martindalethome.xml 3. As needed, provide comment for any negative results. 4. If applicable, please obtain clearance from Compliance for all alerts. S. 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 SbNY_GM_00057480 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020304 EFTA_00168046 EFTA01296023  OFAC RESULTS RDC: Date of I No Match GCIS Country:UNITED 11596170 Caroline Sophie Found 00000550868 STATES B Camille Lang PCR: Caroline Sophie Camille Lang NCA customised Auto-Closed No-Hit 30/12/2016 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date 12/30/2016 Report processed by. For internal use only SDNY_GM_00057481 CONFIDENTIAL - PURSUANT TO FED R.QP.NEIDENTIAL DB-SDNY-0020305 EFTA_00168047 EFTA01296024  I)i c DEUTSCHE BANK AGII Full Name Address County LANG, CAROLINE S NEW YORK ADDITIONAL PERSONAL INFORMATION SSN DOB Gender LexID(sni) Subject Summary Name Variations 1. LANG. CAROLINE S DOBs Reported DOBs: 9/1961 Others Using SSN - 0 records found Address Summary - 2 records found No. Address 1. 2 For internal use only SDNY_GM_00057482 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020306 EFTA_00I 68048 EFTA01296025  Page 3 None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 0 records found Business Associates - 0 records found Person Associates - 0 records found Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found Sources - 4 records found All Sources 4 Source Document(s) Historical Person Locator 1 Source Document(s) Person Locator 1 1 Source Document(s) Person Locator 2 2 Source Document(s) For internal use only SDNY_GM_00057483 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020307 EFTA_00I 68049 EFTA01296026  Page 1 D&B: Not Required LEGAL RESULTS: Court Cases: *** THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY'"' Plaintiff: Defendant: Filing Date Case Number: Court: MUNICIPAL - SANTA CLARA Filing Type: MUNICIPAL CIVIL Case Type: MOTOR VEHICLE County: SANTA CLARA State: CALIFORNIA For internal use only SDNY_GM_00057484 CONFIDENTIAL - PURSUANT TO FED. R.ctON(F IDENTIAL DB-SDNY-0020308 EFTA_00 II68050 EFTA01296027  Page 2 CIVIL SUITS FROM VIRGINIAVIRGINIA DISTRICT COURT " • THIS DATA IS FOR INFORMATIONAL PURPOSES ONLY • • • CIVIL SUITS FROM VIRGINIA VIRGINIA DISTRICT COURT Defendant: CAROLINE LANG Plaintiff: Plaintiff Attorney: SUTHERLAND, CARRIE Number: Vendor Number: Date: 10/24/2006 Filing Type: CIVIL SUIT Case Type: WARRANT IN DEBT Status: OPEN County Filed: ALEXANDRIA CITY Place Filed: VIRGINIA GENERAL DISTRICT COURT Description: JUDGMENTS RENDERED ON SUITS UNDER $10,000 For internal use only SDNY_GM_00057485 CONFIDENTIAL - PURSUANT TO FED. R.cahl(E IDENTIAL DB-SDNY-0020309 EFTA_OOI 68051 EFTA01296028