EFTA01363309

NAME SEARCHED: Erika Kellerha Is 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: RIX' Result: Click here for results: Re% to‘er Comments (as necessary): t'.4 N lilt 0 Not It I. RDC Results No RDC alert (Please sec aiiached) 0 iht PCR IS) NoI In I Li Erb-W)t Rcylock! El II. PCR Results No PCR alert (Please see attached) 131S III. Negative Media There was no information found El Yes No IV. Non-Nestativc Media There was no information found M Not Required V. Other Language Media Not Required D&B D&B Not Required Result! Results? U Yes M No [8:1 Not Required Smartlinx VII. Smartlinx Result Found(please see attached) Results? i:( Yes rj No MI Not Requital Court Cases E l Review by Legal May VIII. Court Cases Result Found(please see attached) be Required • No Results • Search not required Prepared by: Prachi Pawn 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 have attached the web link below for your convenience:Mart indale-Hubbellhttpahrtvw.martindale.comhp/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) CONFIDENTIAL DB-SDNY-0053263 SDNY_GM_00199447 EFTA01363309