EFTA01296020.pdf

Prytanee, LLC
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):
CEI No lilt O Not Required No RDC Alert(please see attached)
RUC I. ROC Results
O Ilia
0
No Hit • Not Required
PCR II. PCR Result No PCR Alert(please see attached)
O tat
No Information Found
III. Negat is c Nledia
BIS O Yes 0 No
NO Information Found
IV. Non-Ncinin c Mesta
Not Required
. No Information Found
V. Other Language media
No Information Found
IttNults? • Yes No
D&B VI. D&B
O Not Required
No Information Found
Snraniaix RtavIts? O Yes _rNo
O Not Required VII. Smattlinx
O Review by Legal May No Information Found
Cowl Cases he Required J.71N o Results VIII. Court Cases
O Search not required
Prepared by: Shrej a parashar Date: 12/29/2016 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.martindale.comhp/Nfartindale/home.tml
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 continuation that you have fully reviewed the research doctunents.
For internal use only
SDNY_GM_00057477
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0020301
EFTA_00168043
EFTA01296020

Page 2
OFAC RESULTS
RDC:
l 11596131 No Match Found GCIS 00000550868 UNITED STATES
Prytanee, LLC
PCR:
C20161235948497 Prytanee, LLC 12276786 NCA customised Auto-Closed No-
Hit 29/12/2016
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
Public Record:
No Information Found
D&B:
No Information Found
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
SDNY_GM_00057478
.NE
R.QP I DENTIAL
CONFIDENTIAL - PURSUANT TO FED. DB-SDNY-0020302
EFTA_00168044
EFTA01296021

For internal use only
SDNY_GM_00057479
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0020303
EFTA_00I 68045
EFTA01296022