EFTA01361568.pdf

NAME SEARCHED: J. Epstein & Co Deutsche Bank a 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: ('lick here for results: Reviewer Comments (as necessary): No lilt 0 Not Ranoreit RDC I. RDC Resnik No RDC alert (Please see attached) MI Hit Li No Hit 0 Not Required PCR 0 Hit II. PCR Results No PCR alert (Please see attached) Ir4 Yes • No III. Negative Media Results found. Please see attached. ISIS E Not Required IV. Non-Negative Media No Results found. V. Other Language Media Not Required. Results found. Please see attached. Results? Yes • No D&B VI. ID&B, 0 Not Required Results found. Please see attached. Swath= Results? ISI Yes 0 No 0 Not Required VII. Smanlinx El Review by Legal May Results found. Please see attached. Court Cases be Required 0 No Results VIII. Court Cases • Search not required Prepared by: Deepali Thakur Date: 08/14/2013 Research Analyst Instructions: I. ROVICW and confirm that all results are returned for vour 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.martindale.comhpfMartindalefhome.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. ABR Research Protik Last modified 6/18,2007 FM internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050769 CONFIDENTIAL SDNY_GM_00196953 EFTA01361568