EFTA01298526.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 I lit U Not Required
RDC I. RDC Rcstdts No RDC alert (Please see attached)
• Hit
r4 No Mt X Not Required
F1RCOSOFT II. FMCOSOFT Results No PIRCOSOPT alert (Please see attached)
• Hit
There was no information found
O Yes 4:4 No HI. NeRative Media
BIS IV. Non-Negative Media There was no infonnation found
O Not Required
V. Other Language There was no intbnnation found
Media
Result& • Yes _, No There was no information found
D&B VI. PetR
IN Not Required
Smartlinx Results? O Yes 0 No
There was no information found
ID Not Required VII. Stnanlinx
ID Review by Legal May be There was no information found
Court Cases Requited El No Results VIII. Cowl Cases
• Search not required
Prepared by: Datc:08/21/2018
Research Analyst
Instructions:
1. Review and confirm that all re.sults arc 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://www.mariindale.com/xp/MartindaleJhome.xml
3. As needed, provide comment for any negative results.
3. 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_00063242
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026067
EFTA_00173750
EFTA01298526

Page 1
OFAC RESULTS
RDC:
VIRGIN ISLANDS,
Not Alerted Ka 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 INR 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
SD NY_GM_00063243
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.cONE DB-SDNY-0026068
EF1'A_0017375 I
EFTA01298527

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_00063244
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SONY-0026069
EFTA_0017 3752
EFTA01298528