EFTA01295177.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):
No Hit MI Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
M Hit
No Flit • Not Required
PCR IN M Hit II. PCR Results No KR alert (Please sec attached)
El Yes • No III. Ncaative Media Not Required
MS INgslon-Negative Media Not Required
g. Not Required
V. Other Language Media Not Required
Not Required
Results? M Yes 0 No
D&B 0 Not Required Wilt&
Not Required
Smartlinx Results? 0 Yes 0 No
..TI Not Required VU. Smartlinx
0 Review b O y 1 4,a! May Not Required
Court Cases be Required No Results VIII. Court Cases
0 Search not required
Prepared by: Alums Manzoor Date: 10/07/2013
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 lane attached the web
link below for your convenience: islartindale-Huhbellhttp://www.martindalc.comisp/filartindale/homeaml
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
SDNY_GM_00053905
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-00 16729
EFTA 00164475
EFTA01295177

OFAC RESULTS
RDC:
as
i
11527363 No Match Found 6873906 Country:Czech Republic
PCR:
C201310191249061 6873906 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 Record:
Not Required
D&B:
Not Required
LEGAL RESULTS:
Court Cases:
Not Required
For internal use only
SDNY_GM_00053908
.NE
„QC) I DENTIAL
CONFIDENTIAL - PURSUANT TO FED DB-SDNY-0016730
EFTA_00164476
EFTA01295178