EFTA01294996.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):
El No Hit 0 Not Required
RDC I. RDC Results No RDC Men (Please see attached)
El lilt
-CI No Hit 0 Not Requited
PCR II. PCR Results PCR alert (mail sent separately)
Hit
Li
M Yes 0 No III. Negative Media Not Required
BLS IV. Non-Negative Media Not Required
el Not Required
V. Other Language Media Not Required
Not Required
Results?• Yes III No
D&B VI. D&B
- Not Required
Not Required
Smartiinx Results? 0 Yes 0 No
121 Not Required VII. Smartlinx
0 Review by Legal May Not Required
Court Cana be Required 0 No Results VIII. Court Cases
0 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 coin cnience:Martindak-Hubbellhttp://www.martindale.com/sp/Martindakihome.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
SONY_GM_00053668
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0016492
EFTA_00164249
EFTA01294996

OFAC RESULTS
RDC:
11566692 No Match Found Dboi 9157782 Country United States
PCR:
Hit
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_00053669
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0016493
EFTA_00164250
EFTA01294997