EFTA01296029

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 hcrc for results: Reviewer Comments (as necessary): RUC 0 No litt 0 Not Roguiritd Hit I. RDC Results No RDC alert (Please see attached) ■ PCR No Ilit • Not Requited il. PCR Results No PCR alert (Please see attached) 0 Hit BIS ID Yes NI No III. Negative Media There was no information found IV. Non-NeLtal it e X ialla There was no information found • Not Required V. Oilier LIIIVI:Ige ]India There was no information found DRIB Results? 0 vi. DA: 8 Not Required 0 Yes • No Not Required Smartlinx Results? 0 Yes ISI No VII. Smanlinx There was no information found • Not Required Court Cases El be 0 Review by Legal May VIII. Court Cases There was no information found Required I No Results Search not required Prepared by: Prachi Pawa Date: 12/30/2016 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 ha% e attached the w eb link below for your convenienee:Martindale-Hubbellhttp://wow.martindale.com/sp/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. CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SISNY_GM_0005748,5 DB-SDNY-0020313 EFTA_00 168055 EFTA01296029 OFAC RESULTS RDC: 11596172 No Match Found Gas 00000550868 COLInt rY : FRANCE PCR: C20161235958513 30/12/2016 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 12279643 NCA customised Auto-Closed No-Hit For internal use only SDNY_GM_00057490 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0020314 EF1'A_00168056 EFTA01296030 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP U& B: Not Required LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00057491 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0020315 EFTA_001 68057 EFTA01296031