EFTA01298860.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 hem for results: Reviewer Comments (as necessary):
No I lit U Not Required
RDC I. RDC Rcstdts No RDC alert (Please sec attached)
• flit
rr No Mt X Not Required
FIRCOSOFT II. FIRCOSOFT Results No FIRCOSOFT alert (Please see attached)
• hit
There was no information found
ID Yes CI No HI. Negative Media
BIS IV. Non-Negative Media There was no infonnation found
0 Not Required
V. Other Language There was no intbnnation found
Media
There was no information found
Remits? • Yes C. No
D&B VI. Wail
IN Not Required
Smartlinx Results? 0 Yes 0 No
There was no information found
ID Not Required VII. Smola=
I: Review by Legal May be There was no information found
Court Cases Required Igl No Results VIII. COO Cases
• Search not required
Prepared by: H"manshu Klwtwani Date:08/2 I/2018
Research Analyst
Instructions:
1. Review and confirm that all results are returned for your client.
2. Please note that you are still required to perform any Martindale-Hubhell search (if applicable) on each search subject. We have attached the web link
below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/MartindaleJhome.sml
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
SDNY_GM_00064185
CONFIDENTIAL
CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0027010
EFTA_00174691
EFTA01298860

Page 1
OFAC RESULTS
RDC:
VIRGIN ISLANDS,
Not Alerted. Southern Trust Company, U.S.
Inc.
FIRCOSOFT:
Request
ID Record ID Type Name Alerts)
ADM INT PEP SAE
Southern Trust Company, No No No
Company Alert Alert False
Inc. 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
SDNY_GM_00064186
ID ENTIAL
CONFIDENTIAL - PURSUANT TO FED R.cONE DB-SDNY-0027011
EFTA_00174692
EFTA01298861

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_00064187
IDENTIAL
CONFIDENTIAL - PURSUANT TO FED. R.WAII(E DB-SDNY-0027012
EFTA_00174693
EFTA01298862