EFTA01298768.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 iance management. Also, all accounts involving PEPs must be escalated.
Search: Result: Click hem for results: Reviewer Comments (as necessary):
El No flit 0 Not Required RDC Alert (Mail sent separately)
RDC I. RDC Results
CI Hit
Cl No Hit U Not Required
FIRCOSOFT II. FIRCOSOFT Result1 No FIRCOSOFT Alert (Please See Attached)
• flit
No Information Found
Ill. Nevative Media
BIS • Yes El No
Not Required
IV. Non-Negative Media
q Not Required
Not Required
V. Other Language Media
Not Required
Remits? • Yes 0 No
VI. ORB
D&B
Not Required
Results? 0 Yes )1! No No Information Found
SMARTLINX
VII. Smanlinx
0 Not Required
U Review by Legal May be No Information Found
COURT CASES Required - No Results VIII. Court Cases
M Search not required
Prepared by: Himanshu Khandehval 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/MartindaleJhome.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.
For internal use only
For internal use only
S0NY_GM_00061952
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026777
EFTA_00174458
EFTA01298768

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_00063953
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0026778
EFTA_00174459
EFTA01298769

Page 3
OFAC RESULTS
RDC:
a Date of
11641987 Alerted KYC (Global Search) Birth:
Paul S Barrett
FIRCOSOFT:
31720243 r_317202432182 Individual 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_00063954
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED R.QQN(F DB-SDNY-0026779
EF1'A_00174460
EFTA01298770