EFTA01297499.pdf

The 2013 Butterfly Trust
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):
RDC C4 No I lit 0 Not Ram No RDC Alert(please see attached)
rod I. RDC Results
0 MI
- No I lit • Not Required
FIRCFIRCOSOFT II. PCR Results No FIRCOSOFT Alert(please see attached)
0 Hit
No Information Found
III. Negative Media
BIS CI Yes Ej No
No Information Found
IV. Non-Negative Medio
Not Required
No Information Found
V. Other Language Media
No Information Found
Results'? • Yes No VI,
D&B D&B
0 Not Required
No Information Found
Smartlinx Results? M Yes (8) No
0 Not Required VII. Smardinx
• Review by Legal May No Information Found
Court Cases be Required Ca No Results VIII. Court Cases
0 Search not required
Prepared by: Priyanka Rathorc Date: 02/05/2018 Research Analyst
Instructions:
1. Review and confirm that all results are 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/hlartindak/home.sml
3. As needed, provide comment for any negative results.
4. If applicable, please obtain clearance from Compliance for all alerts.
S. 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 reviewtd the research documents.
For internal use only
For internal use only
SDNY—GM 00060706
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0023621
EFTA_00171310
EFTA01297499

Page 2
OFAC RESULTS
RDC:
Count ry :VIRGIN ISLANDS,
11620917 No Match Found KYC 01898372
The 2013 Butterfly Trust U.S.
11620918 No Match Found KYC 01898372 Co' r' :UNITED STATES
The 2013 Butterfly Trust
FIR('OSOFT:
Alert(s)
Request ID Record ID Type Name
ADM INT PEP SAE
The 2013
2070437 WR_20704372182 Company Butterfly No Alert No Alert No Alert No Alert
Trust
The 2013
2070439 VVR_20704392182 Company Butterfly No Alert No Alert No Alert No Alert
Trust
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:
For internal use only
For internal use only
SDNY_GM_00060797
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0023622
EFTA_00171311
EFTA01297500

Court Cases:
No Information Found
For internal use only
For internal use only
SDNY_GM_00060798
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0023623
EFTA ((117131?
EFTA01297501