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):
i
Z Ito • Not Roattred
RUC I. RD(' Results No RDC alert (Please see attached)
lit
No Nit • Not Rotiturcd II. pci(
PCR Rottits No PCR alert (Please see attached)
0 Hit
0 Yes 0 No III. Negative Media Not Required
BIS IV. Non-Negatise M edia Not Required
/'i1 Not Requinal
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
2:1 Not Require0 d 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
SON Y_GM_00053893
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0016717
EFTA_00164463
EFTA01295169

OFAC RESULTS
RDC:
11527347 No Match Found 6873903 Country:United States
PCR:
C20131019119442 873903 NCA customised Auto-Closed No-Hit 07/10/2013
A
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
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QPNE DB-SDNY-0016718
EFTA_00164464
EFTA01295170