EFTA01299212.pdf

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 hem for results: Reviewer Comments (as necessary):
MX 0 Nolitt 0 Not Requital
I. RDC Results No RDC alert (Please see attached)
■ Hit
No Ilit • Not Required
PCR H. PCR Results No PCR alert (Please see attached)
0 Hit
0 Yes gi No Ill. Negative Media There was no information found
BIS IV. Non-Ncgaii‘e. Xlcdia There was no information found
MI Not Required
v. Other Langone. Media Not Required
Results? 0 Yes • No " . pets Not Required
MB C4 Not Required
Smartlinx Recults? 0 Yes 0 No There was no information found
• Not Required VII. Smanlinx
0 Review by Legal May There was no information found
Cowl Cases be Required I No Results VIII. Court Cases
0 Search not required
Prepared by: Prachi Pawa Date:II/13/2014
Research Analyst
Instructions:
I. Review and confirm that all results are returned for your client.
2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web
link below for your convenience:Mart indale-Hubbellht tp://www.martIndale.comhp/Mart indale/home.s ml
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
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OFAC RESULTS
RDC:
11563554 No Match Found DBOI 8756944 Country:United
States Date of Birth:
PCR:
C20141124308121 8756944 NCA customised Auto-Closed No-Hit 13/11/2014
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
For internal use only
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Page 2
Worldbase, 11/30/2013, THE RELATED COMPANIES LP
LEGAL RESULTS:
Court Cases:
There was no information found
For internal use only
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