Case File
efta-01384803DOJ Data Set 10OtherEFTA01384803
Date
Unknown
Source
DOJ Data Set 10
Reference
efta-01384803
Pages
1
Persons
0
Integrity
Extracted Text (OCR)
EFTA DisclosureText extracted via OCR from the original document. May contain errors from the scanning process.
NAME
PWM
on
Significant
Prepared
Instructions:
SEARCHED: Plan D, L LC
BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches
your subject name(s) in the required databases and have attached the search results under the correct heading below.
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 hem for results:
Reviewer Comments (as necessary):
RDC
C No Hit El Not Required
I. KI)C Results
No RDC Alert
(Please See Attached)
• Hit
FIRCOSOFT
0 No Nit 0 Not Required
0
tin
II. FIRCOSOFT Results
No FIRCOSOFT Alert
(Please See Attached)
BIS
0 Yes
0 No
K Not Required
Ill. Negative Media
No Information Found
IV. Non-Negative Media
No Information Found
V. Other Language Media
No Information Found
D&B
Results? 0
Yes 0 No
0 Not Required
VI. D1411
Information Found
(Please See Attached)
SMARTLINX
Results? 0
Yes 0
No
0 Not Required
VII. Smartlinx
No Information Found
COURT CASES
ID Review by Legal May be
Required
I8I No Results
0
Search not required
VIII. Court Cases
No Information Found
by: Priyanka Sharma Date: 10/01/2018
Research Analyst
Please
I. Review and confirm
2.
Please note that
below fur your
3.
As needed, provide
4. If applicable,
5. Save any changes
note- Submission
that all results are returned for your client.
you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link
convenience:Martindale-Hubbellhttp://www.martindale.comhp/Martindale/home.xml
comment for any negative results.
please obtain clearance from Compliance for all alerts.
you make to this document and attach file to your KYC.
of a signed KYC is your confirmation that you have fully reviewed the research documents.
For Internal use only
For internal use only
CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e)
CONFIDENTIAL
DB-SDNY-0085330
SONY GM_0023151 4
EFTA01384803
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