EFTA01298670.pdf

Paul S Barrett
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 Comp lance management. Also, all accounts involving PEPs must be escalated.
Search: Result: Click hem for results: Reviewer Comments (as necessary):
ID No I hi 0 Not Reluirixl RDC Alert (Mail sent separately)
RDC I. RDC Results
O Hit
:4 No Hit U Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached)
• flit
No Information Found
III. Nevative Media
Ills • Yes IS) No
Not Required
1V. Non-Negative Media
El Not Required
Not Required
V. Other Language Media
Not Required
Remits? • Yes 0 No
VL D&B
D&B
Not Required
Results? D Yes 0 No No Information Found
SMARTLINX
VII. Smattlinx
0 Not Required
U Review by Legal May be No Information Found
COURT CASES Required No Results VIII. fauliam
M Search not required
Prepared by: Himanshu Kliandehval Date: 10/15/2018 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-Hubbellhttp://www.martindale.comhp/Martindale./hume.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 KVC.
For internal use only
For internal use only
S0NY_GM_00063589
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) DB-SDNY-0026414
EFTA_00174097
EFTA01298670

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
SDNY_GM_00063590
CONFIDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026415
EFTA_00174098
EFTA01298671

Page 3
OFAC RESULTS
RDC:
a
Date of
11641987 Alerted KYC 01977695 (Global Search) Birth:
Paul S Barrett 3/9/1974
FIRCOSOFT:
dividual Paul S Barrett No Alert No Alert No Alert No Alert
BIS RESULTS:
Negative Media:
No Information Found
Non-Negative Media:
Not Required
Other Language Media:
Not Required
D&B:
Not Required
Public Record:
No Information Found
LEGAL RESULTS:
Court Cases:
No Information Found
For internal use only
For internal use only
SDNY_GM_00063591
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.QPINIF DB-SDNY-0026416
EF1'A_00174099
EFTA01298672