EFTA01298292.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 here for results: Reviewer Comments (as necessary):
No Ilia U Not Required
RDC I. RDC Results No RDC alert (Please see attached)
• Hit
rr No Mt X Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFf alert (Please see attached)
• lilt
There was no information found
ID Yes CI No III. Negative Media
BIS IV. Non-Negative Media There was no infonnation found
0 Not Required
V. Other Language There was no intbnnation found
Media
There was no information found
Aeolis? • Yes CI No
MB VI. P••
IN Not Required
Smardinx Remits? 0 Yes 0 No
There was no information found
ID Not Required VII. Smanlinx
CI Review by Legal May be There was no information found
Court Cases Required 0 No Results VIII. Cowl Cases
• Search not required
Prepared by: H"manshu Khatwani Datc:08/2 I/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-Hubhell 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_00062451
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0025276
EFTA_D0I 72959
EFTA01298292

Page 1
OFAC RESULTS
RDC:
VIRGIN ISLANDS,
11638464 Not Alert 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_248607512182 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
SONYGNI_00062452
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.CONE DB-SDNY-0025277
EF1'A_00172960
EFTA01298293

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_00062453
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0025278
EFTA_00172961
EFTA01298294