EFTA01294994.pdf

GHISLAINE MAXWELL
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 ).
0 No Hit 0 Not Required
RDC El Hit I. RDC Results RDC ales (mail Sent separateh )
No Hit 0 Not Required
PCR II. PCR Results No PCR alert (Please sec attached)
M Hit
M Yes 0 No III. Negative Media Not Required
BLS IV. Non-Negative Media Not Required
C.I Not Required
V. Other Language Media Not Required
Not Required
Reggio • Yes IN No
D&B VI. De
- Not Required
Not Required
Sittartlinx Results? 0 Yes 0 No
N Not Required VII. Smartlinx
0 Review bv Legal May Not Required
Court Cana be Required 0 No Results VIII. Court Cases
N Search not required
Prepared by: Urvashi Lavania Date:02/05/20 IS
Research Analyst
Instructions:
I. 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:Martindak-Hubbellhttp://www.martindale.comhp/Martindak/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
SONV _GM_00053664
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DE-SONY-001644313
EFTA_00164245
EFTA01294994

OFAC RESULTS
RDC:
Alert
PCR:
C20150225393960 GHISLAINE MAXWELL 9157778 NCA customised Auto-Closed No-Hit
05/02/2015
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_00053665
.NEIDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.Q0 DB-SDNY-0016489
EFTA_00164246
EFTA01294995