EFTA01298736.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):
No Hit • Not Required /. Results
RDC RDC No RDC alert (Please sec attached)
E I lit
El No Hit 0 Not Required
FIRCOSOFT II. F1RCOSOFT AmuIII No F1RCOSOFT alert (Please sec attached)
E Hit
There was no information found
E Yes - t No HI. Negative Media
BIS
ID Not Required IV. Non-Negative Media There was no information found
V. Other Language Media There was no information found
There was no information found
Results? 0 Yes •14 No vi. D&B
D&B • Not Requited
There was no information found
Stnartlinx Results? 0 Yes .11 No
II Not Required VII. Smutting
0 Review by Legal May There was no information found
Court Cases be Required El No Results VIII. Court Cases
0 Search not required
Prepared by: Rccna Chandwani Datc:10/25/2018
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 hare attached the web link
below for your convenience:Martindale-Hubbellhttp://www.martintlak.comhp/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
SONY_GM_00063918
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026743
EFTA_00174424
EFTA01298736

OFAC RESULTS
RDC:
NO Match Found KYC (Global Search)
The Haze Trust
FIRCOSOFT:
Alert(s)
Request ID Record ID Type Name Details
ADM INT PEP SAE
The Haze
Company No Alert No Alert No Alert No Alert
Trust
The Haze
Company No Alert No Alert No Alert No Alert
Trust
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:
There was no information found
LEGAL RESULTS:
For internal use only
For internal use only
SDNY_GM_00063919
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QPN(F DB-SDNY-0026744
EF1'A_00174425
EFTA01298737

Page 2
Court Cases:
There was no information found
For internal use only
For internal use only
SDNY_GM_00063920
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.CON(F DB-SDNY-0026745
EFTA 00174426
EFTA01298738