EFTA01363239

NAME SEARCHED: Richard Kahn 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: I Result: , Click here for results: ReVICNI1/4 er Comments (as necessary): ROC M No I III El Not Required I. RDC: Results RDC alert (mail send separate') ) ai ht PCR 0 No I ht lat t lt‘.‘iimed H. PCR Results No PCR alert (Please see mulched) MI l lii BIS III. Negative Media Result Found(please see attached) et Yes 0 No IV. Non-Nestative Media There was no information found E Not Required V. Other Language Media Not Required MB VI. D&111 Not Required Results? U Yes M No El Not Rcquirnd Smarilim VII. Smattling Result Found(please see attached) Results? C4 Yes 0 No MI Not Require(' Court Cases E l Review by Legal May be Required 0 No Results VIII. Court Cases Result Found(please see attached) • Search not required Prepared by: Prachi Pawa Da e: 10/12/2016 Research Analyst Instructions: 1. 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 has c attached the web link below for your convenience:Mart indale-Hubbellhttp://www.martindale.com/xp/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 KYC. Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053169 CONFIDENTIAL SDNY_GM_00199353 EFTA01363239