EFTA01363185.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: I Click here for results: Reviewer Comments (as necessary): RDC e No Hit EINot Required I. RDC Results No RDC alert (Please sec attached) M Hit No IN • Not Raitured II pcR Recoils PCR No PCR alert (Please see attached) MI Hit El Yes 0 No Ill. Negative Media There was no information found BIS II Not Roquinx1 IV. Non-Negatit ' \iedj There was no information found V. Other Language Media Not Required Results? El )(cap No n Not Required D&B D&B Not Required Smartlinx Results? e Yes 0 No Result Found(please see attached) M Not Required VII. Sinartlinx 0 Review by Legal May Result Found(please see attached) Court Cases be Required 0 No Results VIII. Court Cases M Search not required Prepared by: Prachi Pawa Da e: 02/02/2017 Research Analyst 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-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Mart indale-Hubbellhttp://www.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 KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053090 CONFIDENTIAL SDNY_GM_00199274 EFTA01363185