EFTA01298385.pdf

Financial Infomatics Inc
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 names) 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. Results
RDC RDC No RDC alert (Please sec attached)
■ il it
FIRCOSOFT = No Hit 0 Na Required II. F1RCOSOFT Results No Fircosoll alert (Please sec attached)
• liii
o Yes w No III. Negative Media There was no information found
BLS
El Not
Required W. Non-Negative Media 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
Smartlinx Remits? 0 Yes 0 No
• Not Required VII. Smartlinx
0 Review by Legal May There was no information found
Court Cases be Required N No Re,ults VIII. Court Cases
E Search not required
Prepared by: 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 Mart indale-Ilubbell search (if applicable) on each search subject. We have attached the web link
below for your convenicnce:Martindalc-Ilubbellhttpahans.martindale.comisp/Martindale/home.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
Stasr_GM_0006292r
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0025752
EFTA_00 73435
EFTA01298385

OFAC RESULTS
RDC:
ail Country:VIRGIN ISLANDS,
Not Alerted KYC
Financial Infomatics Inc U.S.
FIRCOSOFT:
Ala,Et)
Relent ID Recall 0 lip Ns Nulls
AWI PEP ME
Caper" EnnallNaralicstrit 0 Hs: sal Pio At^ Kt, Ak.t t.Utl
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_GM_00062928
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.Qc.:INE DB-SDNY-0025753
EFTA_0O173436
EFTA01298386

Page 2
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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
SDNY_GM_00062929
.NE
R.QP I DENTIAL
CONFIDENTIAL - PURSUANT TO FED DB-SDNY-0025754
EFTA_00173437
EFTA01298387