EFTA01378382

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: ROC PCR Result: Click here for results: I. RDC Results Re% icy, e r Comments (as necessai)): g'.4 NO lilt 0 Not It No RDC alert (Please see attached) O lin No IS) M Li Erb-W)t Itcynickl O Hit R. PCR Results No PCR alert (Please see attached) BIS El Yes O No M Not Required III. Negative Media Fo Resu t our Please see attached) For Result Found (Please see attached) IV. Non-Neltative Media There was no information found v. Other handmade Media Not Required D&B Results? O Yes O No vi. D&B Not Required Not Required Sinardittx VII. Smanlittx Result Found (Please see attached) Results? Yes O No O Not Required Court Cases VIII. Court Cases Fm C4 Review by Legal May Resu t F•ound (Please see attached) For • Resu t Foun • (Please see attached) be Required O No Results III Search not required Prepared by: Prachi Pawa Date:10/14/2014 Research Analyst Instructions: 1. Review and confirm that all results are 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: Martindale-Hu bbcllhttp://www.martindak.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 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-0075558 CONFIDENTIAL SDNY_GM_00221742 EFTA01378382