EFTA01297287.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):
No Hit • Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
M llit
No Hit • Not Required
PCR El II. PCR Resulq No PCR alert (Please sec attached)
M Hit
0 Yes j No Ill. Negative Media There was no information found
BIS • Not Required IV. blorrNegative Media There was no information found
V. Other Language Media There was no information found
Results? M Yes 0 No Not required
D&B (83 Not Required VI. Q.4
There was no information found
Stamina,: Remits? 0 Yes 0 No
0 Not Required VU. Smanlinx
El Review bitegal May There was no information found
Court Cases be Required No Results VIII. Court Cases
0 Search nN ot required
Prepared by: Ankita Shah Da e:07120/2017
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:51artindale-Flubbellhttp://www.martindak.com/sp/Martindakihome.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
S0NY_GM_00060276
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0023100
EFTA_00170814
EFTA01297287

OFAC RESULTS
RDC:
Date of
No Match
11605339 KYC 1804531 Country:UNITED STATES Birth:
Found
PCR:
C20170738316726 3018222 NCA customised Auto-Closed No-Hit 20/07/2017
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
D&B:
Not required
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
SDNY_GNI_00060277
R.CONEIDENTIAL
CONFIDENTIAL - PURSUANT TO FED DB-SDNY-0023101
EF1'A_00170815
EFTA01297288

For internal use only
SDNY_GM_00060278
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(F DB-SDNY-0023102
EFTA_00I708I6
EFTA01297289