EFTA01295169.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): RUC Z i lit Ito • Not Roattred No Nit • Not Rotiturcd I. RD(' Results II. pci( No RDC alert (Please see attached) PCR Rottits No PCR alert (Please see attached) 0 Hit 0 Yes 0 No III. Negative Media Not Required BIS /'i1 Not Requinal IV. Non-Negatise Media Not Required V. Other Language Media Not Required Not Required Results? 0 Yes • No LAB VI. D&B 0 Not Required Not Required Smardinx Results? El Yes No 0 2:1 Not Required VII. Smanlinx El Review by Legal May Not Required Court Cases be Required 0 No Results VIII. Court Cases Starch not required 0 Prepared by: Prachi Pawa Da c:10/07/2013 Research Analyst Instructions: 1. Review and confirm that all results arc returned for your client. 2. Please note that you arc 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.comhpThilartindakihome.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 continuation that you have fully reviewed the research documents. For internal use only SONY_GM_00053893 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0016717 EFTA_00164463 EFTA01295169  OFAC RESULTS RDC: 11527347 No Match Found 6873903 Country:United States PCR: C20131019119442 A 873903 NCA customised Auto-Closed No-Hit 07/10/2013 BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Records: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required For internal use only SDNY_GM_00053894 CONFIDENTIAL - PURSUANT TO FED R.QPNE IDENTIAL DB-SDNY-0016718 EFTA_00164464 EFTA01295170