EFTA01255156.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 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 g No lilt ❑ Not Requited I. RUC Results No RUC Alert O lit 0 No Hit • Not Required .. PCR H. PCR Results No PCR Alert O Hit No information found III. Negative Media BIS O Yes 0 No No information found IV. Non-Negative Media Not Required No information found V. Other Language Media No information found Results? • Yes No D8:6 O Not Required VI. Mg More than 3000 results Smartlinx Results? O Yes O No • Not Required VII. Smartlinx O Review tTLegal May No information found Court Cases be Required der No Results VIII. Court Cases O Search not required Prepared by: Akash Mortar gomesh Date: 01/10/2017 Research Ara st Instructions: 1. Review and confirm that all results arc 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://ss s‘w.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 INC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only SDNY_GM_0005757 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020397 EFTA_00 681 39 EFTA01255156  Page 2 OFAC RESULTS RDC: ;11596455 Not Alerted GCIS 00000483883 Southern Trust Company, CO:.Ir;try UNITED STATES Inc. PCR: C20170136052271 Southern Trust Company, Inc 12316920 NCA customised Auto-Closed No-Hit 10/01/2017 BIS RESULTS Negative Media: No information found Non-Negative Media: No information found Other Language Media: No information found Public Record: More than 3000 results (Please provide more information) D&B: No information found LEGAL RESULTS: Court Cases: No information found For internal use only SDNY_GM_00057574 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0020398 EF1'A_00168140 EFTA01255157