EFTA01295828.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):
RDC 4 No lin • Not Required I. RDC Results No RDC alert (Please sec attached)
Hit
PCR No Hit Not Requited
R. PCR Results No PCR alert (Please sec attached)
El Hit
0 Yes gi No III. Negative Media There was no information found
BIS • Not Required IV. Non-Negative Media There was no information found
V. Other Language Media Not Required
aesuite N Yes • No
D&B VI. D&B Not Required
C! Not Required
Smartlinx Results? sIs Yes 0 No Result Found (Please sec attached)
• Not Required VII. Smartlinx
0 Review by Legal May There was no information found
Court Cases be Required El No Results VIII. Court Cases
0 Search not required
Prepared by: Prachi Pawa Da e: 10/12/2016
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 have attached the web link
below for your convenience:Martindale-Hubbellhttp://www.martindatc.com/sp/Martindale/home.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 confirmation that you hive fully reviewed the research documents.
For internal use only
SDNY_GM_00057126
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. Ft CRIM. P. 6(e) DB-SDNY-0019950
EFTA_00167694
EFTA01295828

OFAC RESULTS
RDC:
111593655 No Match Found GCIS 00000483290 Country:United States
PCR:
C20161034947834 120 13242 NCA customised Auto-Closed No-1-lit 12/10/2016
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
Not Required
Public Records:
1 OF 2 RECORD(S)
FOR INFORMATIONAL PURPOSES ONLY
Copyright 2016 LexisNexis
a division of Reed Elsevier Inc. All Rights Reserved.
Date:10/12/2016
Report processed by:
For internal use only
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CONFIDENTIAL — PURSUANT TO FED. R.CON(F DB-SDNY-0019951
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Page 2
DEUTSCHE BANK AGII
Address County Phone
NEW YORK None Listed
ADDITIONAL PERSONAL INFORMATION
SSN DOB Gender LexID(sm)
190935148139
Subject Summary
Nam
DOBs
Reported DOBs:
3/1995
Pailia.ddresses
Others Using SSN - 0 records found
Address Summary -1 records found
No. Address
Address Details
1:
Address Dates Phone
372013 - 10/2016
Census Data for Geographical Region
Median Head of Household Age: 57
Median Income: $0
Median Home Value: $0
Median Education: 6 years
rs
Other Associates
None Listed
Voter Registrations - 3 records found
1: New York Voter Registration
ormation
Name:
Residential Address:
Date of Birth:
Gender: Female
Voter Information
For internal use only
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Page 3
Registration Date: 9/27/2013
Party Affiliation: NONE DECLARED
Active Status: ACTIVE
2: Massachusetts Voter Registration
7tion
Name:
Residential Address:
Date of Birth:
Occupation: STUDENT
Voter Information
3: Massachusetts Voter Registration
ation
Name:
Residential Address
Date of Birth
Occupation: STUDENT
Voter Information
Driver Licenses - 0 records found
Professional Licenses - 0 records found
Health Care Providers - 0 records found
Health Care Sanctions - 0 records found
Pilot Licenses - 0 records found
Sport Licenses - 0 records found
Real Property - 0 records found
Motor Vehicle Registrations - 0 records found
Boats - 0 records found
Aircraft - 0 records found
Bankruptcy Information - 0 records found
Judgments/Liens - 0 records found
UCC Liens - 0 records found
Fictitious Businesses - 0 records found
Notice Of Defaults - 0 records found
Potential Relatives - 10 records found
1st Degree 5. 2nd Degree 5
No. Full Name Address/Phone
1.
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No. Full Name Address/Phone
1.A.
1.B.
1.D
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Page 5
No. Full Nano AddrocalPhonn
1E
2.
3.
4
5.
Business Associates - 0 records found
Person Associates - 0 records found
Neighbors - 1 records found
Name Address Phone
Employment Locator - 0 records found
Criminal Filings - 0 records found
Cellular & Alternate Phones -1 records found
For internal use only
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CONFIDENTIAL - PURSUANT TO FED. R.QC;IFNIF DB-SONY-0019955
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Page 6
1:
Information
Name:
Address:
Phone Number:
Phone Type:
Carrier Information
Carrier: NEW CINGULAR WRLS DC
Carrier City: NEW YORK CITY ZONE 01
Carrier State: NY
Sources - 10 records found
All Sources 10 Source Document(s)
Email addresses 1 Source Document(s)
Person Locator 1 1 Source Document(s)
Phone 3 Source Document(s)
PhonesPlus Records 1 Source Document(s)
Utility Locator 1 Source Document(s)
Voter Registrations 3 Source Document(s)
Key
AHigh Risk Indicator. These symbols may prompt you to investigate further.
I Moderate Risk Indicator. These symbols may prompt you to investigate further.
INGeneral Information Indicator. These symbols inform you that additional information is
provided.
The most recent telephone listing as reported by the EDA source.
Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes
entered poorly, processed incorrectly and is generally not tree from defect. This system should not be relied upon as
definitively accurate. Before relying on any data this system supplies. it should be independently verified. For Secretary
of State documents, the following data is for information purposes only and is not an official record. Certified copies may
be obtained from that individual state's Department of State.
Your 0PPA Permissible Use is: Debt Recovery/Fraud
Your GLBA Permissible Use is: Legal Compliance
Copyright. 2016 LexisNexis. a division of Reed Elsevier Inc. All rights reserved.
2 OF 2 RECORD(S)
FOR INFORMATIONAL PURPOSES ONLY
Copyright 2016 LexisNexis
a division of Reed Elsevier Inc. All Rights Reserved.
Date:10/12/2016
Report processed by:
DEUTSCHE BANK AGO
Address County Phone
NEW YORK None Listed
ADDITIONAL PERSONAL INFORMATION
SSN DOB Gender LexID(sm)
193751597540
For internal use only
SDNY_GM_00057132
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-00 19956
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Page 2
Worldbase, 11/30/2013, THE RELATED COMPANIES LP
Subject Summary
Name Variations
1
Others Using SSN - 0 records found
Address Summary -1 records found
No. Address
1
Address Details
Dates Phone
112016 - 10/2016
Census Data for Geographical Region
Median Head of Household Age: 62
Median Income: $142,803
Median Home Value: 6829.082
Median Education: 14 years
Household Members
None Listed
Other Associates
None Listed
Voter Registrations - 0 records found
Driver Licenses - 0 records found
Professional Licenses - 0 records found
Health Care Providers - 0 records found
Health Care Sanctions - 0 records found
Pilot Licenses - 0 records found
Sport Licenses - 0 records found
Real Property - 0 records found
Motor Vehicle Registrations - 0 records found
Boats - 0 records found
Aircraft - 0 records found
Bankruptcy Information - 0 records found
Judgments/Liens - 0 records found
UCC Liens - 0 records found
Fictitious Businesses - 0 records found
Notice Of Defaults - 0 records found
Potential Relatives - 5 records found
1st Degree: 1, 2nd Degree 4
No. Full Name Address/Phone
1.
1.A.
For internal use only
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Page 3
Worldbase, 11/30/2013, THE RELATED COMPANIES LP
No. Full Name Address/Phone
1.8
1= 1
Business Associates - 0 records found
Person Associates - 0 records found
Neighbors - 2 records found
Phone
Employment Locator - 0 records found
Criminal Filings - 0 records found
Cellular & Alternate Phones - 0 records found
For internal use only
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Worldbase, 11/30/2013, THE RELATED COMPANIES LP
Sources -17 records found
All Sources 17 Source Document(s)
Person Locator 1 1 Source Document(s)
Phone 15 Source Document(s)
Utility Locator 1 Source Document(s)
D&B:
Not Required
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
SDNY_GM_00057135
IDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R.QQN(F DB-SONY-0019959
EFTA_00 I 67703
EFTA01295837