EFTA01295825.pdf

Butterfly Trust
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: Revitmer Comments (as necessary):
tgl No lilt El Not Raµuwd No RDC Alert
RI)C q lilt I. RUC Results
0 No Hit O Not Required
l'CR II. PCR Results No PCR Alert
O Hit
No information found
III. Negative Media
BIS ID Yes 0 No
Not required
IV. Non-Negative Media
Not Required
No information found
V. Other Language Media
information found(Please see attached)
Results? 0 Yes O No
D&B VI. DRI3
O Not Required
No information found
Smanlinx Results? O Yes (81 No
O Not Required VII. Smartlinx
■ Review byLegal May No information found
Court Cases be Required bbNo Results VIII. Court Cases
O Search not required
Prepared by: Akash Manor gomesh Date: 09/30/2016 Research Argil) st
Instructions:
1. 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 convenience:Nlartindak-Hubbellhttp://www.martindale.com/xp/Martindalelbome.sml
3. As needed. pmvide 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 ICYC is your confirmation that you have fully reviewed the research documents.
For internal use only
SDNY_GM I 3
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0019947
EFTA_00 6769 I
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OFAC RESULTS
RDC:
111593418 NO Match Fow1cl GUS 00000486426 Country:United States
Butterfly Trust
PCR:
C20160934774293 Butterfly Trust 11985907 NCA customised Closed - No Hit 30/09/2016
BIS RESULTS
Negative Media:
No information found
Non-Negative Media:
Not required
Other Language Media:
No information found
Public Record:
No information found
D&B:
Copyright 2016 Dun & Bradstreet. Inc
dun&bradstreet
Worldbase
August 4. 2016
THE BUTTERFLY TRUST
For internal use only
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IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0019948
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Worldbase, 07/18/2008, IMPERIO REALTY LLC
FORTH HOUSE, 28 RUTLAND SQUARE
EDINBURGH EH1 2BW
SCOTLAND
REGION: EUROPE
COMMUNICATIONS
CABLE TELEX: NNYNNNP
COMPANY IDENTIFIERS
DUNS: 21-032-7290
DESCRIPTION
INVESTMENT ADVICE
MARKET AND INDUSTRY * " * * * * "
PRIMARY SIC:
6282 - Investment advisory service
SECONDARY SIC:
6732 - Nonprofit trust management
LOAD-DATE: September 16, 2016
LEGAL RESULTS:
Court Cases:
No information found
For internal use only
SDNY_GM_00057125
IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.cOFNI(E DB-SDNY-0019949
EFTA_00 I 67693
EFTA01295827