EFTA01296029.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 hcrc for results: Reviewer Comments (as necessary):
0 No litt 0 Not Roguiritd
RUC I. RDC Results No RDC alert (Please see attached)
■ Hit
No Ilit • Not Requited il.
PCR PCR Results No PCR alert (Please see attached)
0 Hit
ID Yes NI No III. Negative Media There was no information found
BIS IV. Non-NeLtal it e X ialla There was no information found
• Not Required
V. Oilier LIIIVI:Ige ]India There was no information found
DRIB Results? 0 Yes • No vi. DA: 8 Not Required
0 Not Required
Smartlinx Results? 0 Yes ISI No There was no information found
• Not Required VII. Smanlinx
El Review by Legal May There was no information found
Court Cases be Required I No Results VIII. Court Cases
0 Search not required
Prepared by: Prachi Pawa Date: 12/30/2016
Research Analyst
Instructions:
I. Review and confirm that all results are returned for your client.
2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We ha% e attached the w eb link
below for your convenienee:Martindale-Hubbellhttp://wow.martindale.com/sp/MartindaleJhome.sml
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
SISNY_GM_0005748,5
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0020313
EFTA_00 168055
EFTA01296029

OFAC RESULTS
RDC:
11596172 No Match Found Gas 00000550868 COLInt rY : FRANCE
PCR:
C20161235958513 12279643 NCA customised Auto-Closed No-Hit
30/12/2016
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
There was no information found
Other Language Media:
There was no information found
Public Records:
There was no information found
For internal use only
SDNY_GM_00057490
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0020314
EF1'A_00168056
EFTA01296030

Page 2
Worldbase, 11/30/2013, THE RELATED COMPANIES LP
U& B:
Not Required
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
SDNY_GM_00057491
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0020315
EFTA_0016 8057
EFTA01296031