EFTA01298107.pdf

LSJ Employees 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 invoMng PEPs must be escalated.
Search: Result: Click here for results: Reviewer Comments (as necessary.):
RDC ),4 No Nii 0 Not Required I. RDC Results No RDC alert (Please see attached)
• I ht
No flit U Not Required
FIRCOSOFT B. F1RCOSOFT Results No Fircosoll alert (Please sec attached)
In Hit
0 Yes 0 No III. Negative Media There was no information found
BLS IV. Non-Negative Main Not Required
M Not Required
V. Other Language Media Not Required
There was no information found
Results? • Yes No
D&B VI. D&B
E Not Required
There was no information found
Smartlinx Results? 0 Yes 0 No
• Not Required VII. Sniartlinx
0 Review by Legal May There was no information found
Court Cases be Required 0 No Results VIII. Court Cases
• Search not required
Prepared by: Shanu Gujaria Date 08/23/2018
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://wnw.martindak.comhp/Martindakihome.sml
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
SONY_GM_00062071
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0024896
EFTA 00172581
EFTA01298107

OFAC RESULTS
ROC:
Country:VIRGIN ISLANDS, I•
11638692 No Match Found. KYC 01977698
L.S3 Employees LLC U.S.
FIRCOSOFT:
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R.q.nl ID Resod lip. Must
▪ IN1 PEP SAL
;Arty, 111.12V.74'1Ar'.2 Cnapurf I SI Empern LC U Nr, Men .NV' MNni •in Wed
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
SDNY_GNI_00062072
I DENTIAL
CONFIDENTIAL — PURSUANT TO FED R.cONE DB-SDNY-0024897
EFTA_00172582
EFTA01298108

Page 2
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Search: Smartfinx3 Comprehensive Business Report
Terms: company(LS) Employees LLC) radius(15)
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D&B:
There was no information found
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
For internal use only
SONYGhl_00062073
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CON(F DB-SDNY-0024898
EFTA_0O172583
EFTA01298109