EFTA01295179.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):
MI No Hit MI Not Requited
RDC ®Hit I RDC Results RDC alert (Mail sent separately)
No Hit • Not Required
PCR II. KR Results No PCR alert (Please sec attached)
M Hit
0 Yes 0 No III. Neu:dive Media Not Required
BIS eil Not Required IV. Non-Negative Media Not Required
V. Other Language Media Not Required
Not Required
Results? M Yes El No
D&B VI.111/a
0 Not Required
Not Required
Smartlinx Results? 0 Yes 0 No
..TI Not Required VU. Smartlinx
El Review by byte] May Not Required
O
Court Cases be Required No Results VIII. Court Cases
El Search not required
Prepared by: Ahsan 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 arc still required to perform any Martindale-Hubhell search (if applicable) on each search subject. We have attached the web
link below for your convenience:5lartindale-Hubbellhttp://www.martindale.conilip/Nlartindale/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_00053907
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0016731
EFTA_00164477
EFTA01295179

OFAC RESULTS
RDC:
Alerted Country:Urilted States
PCR:
C201310191200211 CA 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
R.CONEI D ENTIAL
CONFIDENTIAL - PURSUANT TO FED DB-SDNY-0016732
EF1'A_00164478
EFTA01295180