EFTA01298655.pdf

The Haze Trust
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 here for results: Reviewer Comments (as necessary):
O No flit 0 Not Required No RDC Alert (Please See Attached)
ItDC I. RDC Results
El Hit
El No Hit 0 Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached)
q i tit
No Information Found
BT. Negative Media
0 Yes No
Ill S
No Information Found
IV. Non-Neptive Media
Not Required
No Information Found
V. Other La tipuwe \um
No Information Found
Results? M Yes El No
D&B VI. MB
E Not Required
Results? 0 Yes 0 No No Information Found
SMARTLINX
VII. Smartlim
0 Not Required
0 Review by Legal May be No Information Found
COURT CASES Required CC No 1241ilis VIII. Court Cases
0 Search not required
Prepared by: Priyanka Sharma Date: 10/01/2018 Research Analyst
Instructions:
1. Review and confirm that all results 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:51artindalc-Hubbcfihttp://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.
S. 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_00063573
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026398
EFTA_00174081
EFTA01298655

Page 2
OFAC RESULTS
RDC:
Date of
Inquiry Id Response Type Tracking Id Name Address
Birth/Age
11641149 No Match Found KYC 01977694 -... Country:VIRGIN ISLANDS,
The Haze Trust U.S.
FIRCOSOFT:
Alert(s)
Request ID Record ID Type NameDetails
ADM INT PEP SAE
The
30200424 WR_302004242182 Company Haze No Alert No Alert No Alert No Alert
Trust
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
No Information Found
Other Language Media:
No Information Found
D&B:
No Information Found
Public Record:
No Information Found
For internal use only
For internal use only
SDNY_Gra_00063574
R.CONEI D ENTIAL
CONFIDENTIAL — PURSUANT TO FED DB-SDNY-0026399
EFTA 110174082
EFTA01298656

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LEGAL RESULTS:
Court Cases:
No Information Found
For Internal use only
For internal use only
SONYGfil_00063575
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QPNE DB-SDNY-002&400
EFTA_00174083
EFTA01298657