EFTA01298053.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. Prepared by Deepanshu Sharma Date: 09/11/2018 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 Martindalc-Huhhell search (if applicable) on each search subject. We have attached the itch link below for your cons cnience:Martindale-flubbellhttp://wow.martindale.com/sp/Martindalehome.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 KIT. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only S0NY_GM_00061992 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0024817 EFTA_001725D2 EFTA01298053 EFTA01298054 EFTA01298055 EFTA01298056 EFTA01298057 EFTA01298058 EFTA01298059 EFTA01298060 EFTA01298061 EFTA01298062 EFTA01298063 EFTA01298064 EFTA01298065 EFTA01298066