EFTA01297827.pdf

Jean Anne Brennan Wiebracht
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 hem for results: Reviewer Comments (as necessary):
El No lilt 0 Not Required No RDC Alert (Please See Attached)
RUC I. RDC Results
• Hit
Cr No Hit U Not Required
FIRCOSOFT II. FIRCOSOFT Res-Mil No FIRCOSOFT Alert (Please See Attached)
ID flit
No Information Found
Ill. Negative Media
0 Yes ® No
HIS
No Information Found
IV. Non-Negative Media
0 Not Required
Not Required
V. Other LanRtiage Media
Not Required
FteAlits? 0 Yes 0 No
VI. DieS
D&B
_i Not Required
Retailts? E Yes No No Information Found (Please See Attached)
SNIARTLINX
VII. Smartlinx
0 Not Required
U Review by Legal May be No Information Found
gk
COURT CASES Required No Results VIII. Court Cases
M Search not n:quired
Prepared by: Krishna Didhich Date: 08117/2018 Research Analyst
Instructions:
I. Review and confirm that all results are returned for your client.
2. Please note that you are still required to perform any Martindale-Flublicll search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-HubbellhttpaAvwxv.martindale.comhp/Manindalefliome.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
For internal use only
S0NY_GM_00061396
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0024221
EFTA_00171908
EFTA01297827

Page 2
OFAC RESULTS
RDC:
Date of
Inquiry Id Response Type Tracking Id Name Address
Birth/Age
a
- :
.., Dat e of
r., :VIR GI N ISLANDS,
11638375 No Match Found KYC 01977695 lean Anne Brennan U.S. Birth:
Wiebracht 9/2/1960
& Date of
11638379 No Match Found KYC 01977695 lean Anne Brennan 4.-Aritty:UNITED STATES Birth:
Wiebracht 9/2/1960
FIRCOSOFT:
Alert(s)
Request ID Record ID ype Name Details
ADM INT PEP SAE
Jean
Anne
24867183 WR 24867183218 Individual No Alert No Alert No Alert No Alert
na n
VViebrachl
Jean
Anne
24867190 WR_24867190218 Individual No Alert No Alert No Alert No Alert
Brennan
VViebrachl
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
Not Required
D& B:
Not Required
For internal use only
For internal use only
SONYGNI_00061397
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.WNE DB-SDNY-0024222
EF1'A_00171909
EFTA01297828

Public Record:
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8 No Documents Found
No documents were found for the search terms entered.
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following:
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Search: Smartie's ; Comprehensive Person Report
Terms; first -name(Man Anne) last-nerne(Brennan Wlebrecht) state(All) radius(30)
yJ " Edit Search New Search'
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
For internal use only
SDNY_GM_00061398
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QQN(E DB-SDNY-0024223
EFTA_00I719I0
EFTA01297829