EFTA01297287.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): No Hit • Not Required RDC I. RDC Results No RDC alert (Please sec attached) M llit No Hit • Not Required PCR II. PCR Resulq No PCR alert (Please sec attached) El M Hit 0 Yes j No Ill. Negative Media There was no information found BIS • Not Required IV. blorrNegative Media There was no information found V. Other Language Media There was no information found Results? M Yes 0 No Not required D&B (83 Not Required VI. Q.4 There was no information found Stamina,: Remits? 0 Yes 0 No 0 Not Required VU. Smanlinx El Review bitegal May There was no information found Court Cases be Required No Results VIII. Court Cases N 0 Search not required Prepared by: Ankita Shah Da e:07120/2017 Research Analyst Instructions: I. Review and confirm that all results arc 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:51artindale-Flubbellhttp://www.martindak.com/sp/Martindakihome.sml 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 S0NY_GM_00060276 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023100 EFTA_00170814 EFTA01297287  OFAC RESULTS RDC: Date of No Match 11605339 KYC 1804531 Country:UNITED STATES Birth: Found PCR: C20170738316726 3018222 NCA customised Auto-Closed No-Hit 20/07/2017 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: Not required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GNI_00060277 CONFIDENTIAL - PURSUANT TO FED R.CONEIDENTIAL DB-SDNY-0023101 EF1'A_00170815 EFTA01297288  For internal use only SDNY_GM_00060278 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0023102 EFTA_00I708I6 EFTA01297289