EFTA01299185

NAME SEARCHED: Jean Anne Brennan-Wiebracht 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): RUC No Hit MI Not Required I RDC Results No RDC alert (Please sec attached) M Bit PCR No Hit • Not Required U. PCR Results No KR alert (Please sec attached) M Hit Ms IN Yes c No in. Negative Media No Information found K Not Required IV. Non-Nmtive Media No Information found V. Other Language Media Not Required D&B Wilt& Not Required Results? M Yes O No (83 Not Required Smartt Results? O Yes 0 No O Not Required VU. Smartliax No Information found Court Cases El Review by Legal May be Required Egi No Results El Search not required VIII. Court Cases No Information found Prepared by: Urvashi Lavania Date:10/24/2013 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 convenienee:ICIartindale-Hubbellhttp:/Avww.martindale.com/sp/Martindale/home.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 ICYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only S0NY_GIA_000648e2 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DEI-SDNY-0027717 EFTA_00175393 EFTA01299185 OFAC RESULTS RDC: 11527836 No Match Found 6957494 Jean Anne Brennan-NN lebracht Country:Virgin Islands, U.s. Date of Birth: 09/02/1960 PCR: C20131019358795 Jean Anne Brennan-Wiebracht 6957494 NCA customised Auto-Closed No-Hit 24/10/20 13 BIS RESULTS Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: Not Required Public Records: No Information Found D&B: Not Required LEGAL RESULTS: Court Cases: No Information Found For internal use only SDNY_GM_00064893 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0027718 EFTA_00I75394 EFTA01299186