EFTA01297318.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 MI Not Required
RDC I. RDC Results No RDC alert (Please sec attached)
M Hit
No Hit • Not Required
PCR El M Hit IL PCR Result No PCR alert (Please sec attached)
o Yes j No Ill. Negative Media There was no information found
BIS • Not Required IV. Non-N egative Media There was no information found
V. Other Language Media There was no information found
Not required
Results? M Yes El No
D&B (83 Not Required VI. Q.4
There was no information found
Smartlinx Remits? 0 Yes 0 No
0 Not Required VU. Smartlinx
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 constnience:Nlartindalc-Flubbellhttp://www.marlindalexonthp/Martindakihome.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
SONY_GIN_00060338
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0023162
EFTA_00 70876
EFTA01297318

OFAC RESULTS
RDC:
a
Date of
11605345 No Match Found KYC 18045315 'ITALY
PCR:
C20170738317863 13018227 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:
For internal use only
SDNY_GM_00060339
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023163
EFTA_OOI 70877
EFTA01297319

Page 1
There was no information found
For internal use only
SDNY_GM_00060340
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.Q11:1)N(F DB-SONY-0023164
EFTA_00I70878
EFTA01297320