EFTA01294998.pdf

LSJE, LLC
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 lilt • Not Required
RDC I. RDC Results No RDC alert (Please see attached)
■ lilt
:e No Hit • Not Reignited
PCR II: PCR Resulll No PCR alert (Please sec attached)
M Hit
El Yes 0 No III. Negative Media There was no information found
13IS IV. Non-Negative Media There was no information found
E Not Required
V. Other Language Media Not Required
Results? El Yes No an
D&B VI. There was no information found
M Not Required
Smartlinx Results? 0 Yes ri No There was no information found
El Not Required VII. Smartlinx
El Review b g y L egal May There was no information found
Court Cases be Required No Results VIII. Court Cases
0 Search not required
Prepared by: Urvashi Lavania Date:02/11/2015
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 comcnience:Martindak-Hubbellhttp://www.martindale.comhp/i)lartindale/home.iml
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
SON V_GM_00053678
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 16502
EFTA_00164259
EFTA01294998

OFAC RESULTS
RDC:
No Match Found Geis 0000t LSJE, LLC Country:Virgin
s
PCR:
LS1E, LLC 9180760 NCA customised Auto-Closed No-Hit 11/02/2015
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
Not Required
Public Records:
There was no information found
D&B:
There was no information found
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
SDNY_GM_00053679
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQNE DB-SDNY-0016503
EFTA_00164260
EFTA01294999