EFTA01295183.pdf

NAME SEARCHED: Ghislaine N Maxwell
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 H Hit I. RDC RCSIIILS No RDC alert (Please sec attached)
No flit • Not Requited
PCR El M Hit IL PCR Rest:It4 No PCR alert (Please sec attached)
0 Yes 0 No III. Negative Media Not Required
BB Non-Nesttive media Not Required
trif Not Required IV.
V. Other Language Media Not Required
Not Required
Results? M Yes El No
D&B Wilt&
0 Not Required
Not Required
Smartlinx Results? 0 Yes 0 No
..TI Not Required VU. Smanlinx
0 Review b O y L egal May Not Required
Court Cases be Required No Results VIII. Court Cases
0 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 are still required to perform any Martindale-Huhhell search (if applicable) on each search subject. We have attached the web
link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/Np/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_00053913
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0016737
EFTA_00164483
EFTA01295183

OFAC RESULTS
RDC:
111527348 No Match Found 6873907 Countri:United Kingdom
Gillslame N Maxwell
PCR:
C20131019119922 Ghislaine N Maxwell 6873907 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_00053914
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED_ R.QQN(F DB-SDNY-0016738
EFTA_00164484
EFTA01295184