EFTA01298095.pdf

NAME SEARCHED: Southern Trust Company, Inc.
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 unde the correct heading below.
Significant negative media results may require escalation to senior business, Legal and Comp iance management. Also, all accounts involving PEPs must be escalated.
Search: Result: Click hem for results: Reviewer Comments (as necessary):
No FM U Not Required
RDC I. RDC Rcstdts No RDC alert (Please see attached)
• flit
1.4 No Mt X Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFf alert (Please see attached)
• lilt
There was no information found
1:1 Yes C.1 No III. Negative Media
BIS IV. Non-Negative Media There was no i n fonnatiOn found
0 Not Required
V. Other Language There was no in tbnnation found
Media
There was no information found
Remits? • Yes 01:i No
MB VI. P•El
• Not Required
Smartlinx Remits? 0 Yes 0 No
There was no information found
ID Not Required VII. Smarm
I: Review by Legal May be There was no information found
Court Cases Required El No Results VIII. COO Cases
• Search not required
Prepared by: H"manshu Klratwani Datc:08/21/2018
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-Huhhell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/Martindale/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
S0NY_GM_00062055
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0024880
EFTA_00 72565
EFTA01298095

Page 1
OFAC RESULTS
RDC:
VIRGIN ISLANDS,
11638464 Not Alerted KYC 01977695 Southern Trust Company, U.S.
Inc.
.---.-.-..-.-..-..-.-..-..-..-
FIRCOSOFT:
Request
ID Record ID Type Name Alert(s)
ADM INT PEP SAE
Southern Trust Company, No No No
24860751 WR_248607512 182 Company Alert False
Inc. Alert Alert
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:
For Internal use only
For internal use only
SDNY_GM_00062056
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0024881
EF1'A_00172566
EFTA01298096

Page 2
There was no information found
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
For internal use only
SDNY_GM_00062057
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.Q1:1)N(F DB-SDNY-0024882
EFTA_00I 72567
EFTA01298097