EFTA01297866.pdf

Neptune, LLC
NAME SEARCHED:
PWM 81S-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 M Not Required I. Resifts
RDC RDC No RDC alert (Please sec attached)
■ flit
No Hit 0 Na Required
FIRCOSOFT H. FIRCOSOFT Resul4 No Fircosoft alert (Please sec attached)
• iiii
CI Yes Oil No III. Negative Media There was no information found
BLS El Not Required IV. Non-Negative Mcdi:i Not Required
V. Other Language Media Not Required
Results? • Yes No There was no information found
D&B VI. D&B
E Not Required
There was no information found
Smarting Results? 0 Yes 0 No
• Not Required VII. Smartlinx
0 Review bILegal May There was no information found
Court Cases be Required 0) No Results VIII. Caul Cases
• Search not required
Prepared by: Shanu Gujaria Date 08/27/2018
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-Hubbell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-Hubbellhttp://wn w.martindalc.comhp/Martindak/home.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
SDNY_GM_O0081532
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0024357
EFTA_00172044
EFTA01297866

OFAC RESULTS
RDC:
Not Alerted Country:UNITED STATES
Neptune, LLC
.411 Country:VIRGIN ISLANDS,
Not Alerted
Neptune, LLC U.S.
FIRCOSOFT:
Iliessi III Nueva 10 tor Kano 'WS
WIN RH Ft t, 5111.
toe n1 MSc*. LU. S Ns Ma No Awl No Aet MAIM
et
C.wpmy Mon 1SC No ASe n NO Aka NC Mel NO Met
BIS RESULTS
Negative Media:
There was no information found
Non-Negative Media:
Not Required
Other Language Media:
Not Required
Public Records:
For Internal use only
For internal use only
SONYGI.L000615:33
ID ENTIAL
CONFIDENTIAL — PURSUANT TO FED R.QQNE DB-SDNY-0024358
EFTA_00172045
EFTA01297867

Page 2
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ICI
Search: Smartlinter Comprehensive Busmen Report
Termer tin radlua(15)
Hsu Seeschl
Search: Smar'fitilicatrautujihairetta > Search ResAts
rests: companomptune LEG) street address(6100 Red Hook. Quarter 63)
aty(SAINT THOMAS .. ( Fdt Search bow sea,d- )
• Select for Delivery or VIres Shoskol.
OPIPNCTO WPM. OUNOrki. !Calipplep
NEPTUNE POOLS, INC. Leant
:111..12 : . Peet P.TrIzZ aux". Leantrot,:
A
D& B:
There was no information found
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
For internal use only
SDNY_GM_00061534
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0024359
EFTA_00I 72046
EFTA01297868