EFTA01298110.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):
NI 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 (8] No
HIS
No Information Found
IV. Non-Negative Media
0 Not Required
Not Required
v. Other LanRtiage Media
Not Required
rtmitir 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-Hubbell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-HubbellhttpaAvwxv.martindale.comhp/Manindaleillome.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_00062169
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0024994
EFTA_00172679
EFTA01298110

Page 2
OFAC RESULTS
RDC:
Date of
Inquiry Id Response Type Tracking Id Name Address
Birth/Age
a
:.J,
ate of
:r, :VIRGIN ISLANDS,
11638375 No Match Found KYC 01977695 lean Anne Brennan U.S. Birth
Wiebracht
3 Date of
11638379 No Match Found KYC 01977695 Jean Anne Brennan •.:,;-untry:UNITED STATE: ' iiii.
Wiebracht
FIRCOSOFT:
Alert(s)
Request ID Record ID Type Name Details
ADM INT PEP SAE
Jean
24867183 WR 2413671832182 Individual Anne No Alert No Alert Alert No Alert
BBrreennnnaann
VViebrach
Jean
24867190 WR_248671902182 Individual Anne No Alert No Alert Alert No Alert
BBrreennnnaann
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
SDNY_G11_00062170
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.WNE DB-SONY-0024995
EF1'A_00172680
EFTA01298111

Public Record:
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d) No Documents Found
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Search: Smartlinxa Comprehensive Person Report ti
Terms: first-name(3ean Anne) last-name(arennan Wiebracht) state(ALL) radios(30)
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LEGAL REST 1. I's:
Court Cases:
No Information Found
For Internal use only
For internal use only
SDNY_GM_00062171
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.cONE DB-SDNY-0024996
EFTA 00172681
EFTA01298112