EFTA01296301.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 invoking PEPs must be escalated.
Search: Result: Click here for results: Reviewer Comments (as necessary):
No lid 0 Not Requinal No RDC Alert(please see attached)
RDC 0 X Hit I. RDC Results
No Hit 0 Not Rtxpartal
PCR • • II PCR Result< No PCR Alert(please see attached)
0 Hit
No Information Found
Ill. Negative Media
BIS 0 Yes )14 No
No Information Found
IV. NowNegatne \lecfig
q Not Required
No Information Found
V. Other Language Meth t
Not required
Reath?? 0 Yes 0 No
VI. D&B
D&B 0 Not Required
No Information Found
Smartlinx Results? 0 Yes 0 No
le Not Required VII. Smartlinx
• Review by Legal May No Information Found
Court Cases be Required )7! No Results VIII. Court Cases
0 Search not required
Prepared by: Shrcya parashar Date: 06/28/2017 Research Analyst
Instructions:
1. 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 have attached the web link
below for your convenience:filartindale-HubbellhttpdAvww.martindale.cornhip/klartindalehome.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 have fully reviewed the research documents.
For internal use only
S0NY_GM_C005B532
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0021356
EFTA 00169092
EFTA01296301

Page 2
OFAC RESULTS
RDC:
111603818 No Match Found KYC 1790739
PCR:
C20170638060503 294981 NCA
customised Auto-Closed No-Hit 28/06/2017
BITS 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:
Not required
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
SDNY_GM_00058533
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0021357
EFTA_00 169093
EFTA01296302