EFTA01297318

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): RDC No Hit MI Not Required I. RDC Results No RDC alert (Please sec attached) M Hit PCR E l No Hit • Not Required IL PCR Result No PCR alert (Please sec attached) M Hit BIS Ill. Negative Media There was no information found o Yes j No IV. Non- Negative Media There was no information found • Not Required V. Other Language Media There was no information found D&B VI. Q.4 Not required Results? M Yes El No (83 Not Required Smartlinx Remits? 0 Yes 0 No 0 Not Required VU. Smartlinx There was no information found Court Cases El Review bitegal May be Required N No Results 0 Search not required VIII. Court Cases There was no information found Prepared by: Ankita Shah Da e:07120/2017 Research Analyst Instructions: I. Review and confirm that all results arc 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 constnience:Nlartindalc-Flubbellhttp://www.marlindalexonthp/Martindakihome.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 SONY_GIN_00060338 CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0023162 EFTA_00 70876 EFTA01297318 OFAC RESULTS RDC: a 11605345 No Match Found KYC 18045315 PCR: C20170738317863 customised Auto-Closed No-Hit 20/07/2017 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: Not required LEGAL RESULTS: Court Cases: For internal use only 'ITALY Date of 13018227 NCA SDNY_GM_00060339 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0023163 EFTA_OOI 70877 EFTA01297319 Page 1 There was no information found For internal use only SDNY_GM_00060340 CONFIDENTIAL - PURSUANT TO FED. R.Q11:1)N(FIDENTIAL DB-SONY-0023164 EFTA_00I70878 EFTA01297320