NAME SEARCHED: Financial Infomatics Inc

NAME SEARCHED: Financial Infomatics Inc PWM 81S-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches on your subject names) 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): RDC No Hit E Not Required I. RDC Results No RDC alert (Please sec attached) ■ i lit FIRCOSOFT No Hit 0 Not Requital Hit II. FIRCOSOFT Results No Fircosoft alert (Please sec attached) • BIS 0 Yes 0 No 0 Not Required III. Negative Media There was no information found IV. Non-Negative Media Not Required V. Other Language Media Not Required D&B Results? vt. D&B There was no information found • Yes No E Not Required Smartlinx Remits? 0 Yes 0 No VII. Smartlinx There was no information found • Not Requiral Court Cases 0 be Review by Legal May Required 0 No Results Search not requirai VIII. Cowl Cases There was no information found • Prepared by: Shanu Gujaria Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc 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-Ilubbellhttpdhavw.manindak.comhp/Martindakihome.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 document& Date 08/23/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) For Internal use only For internal use only CONFIDENTIAL S0NY_GM_00062414 DB-SDNY-0025239 EFTA_00172922 EFTA01255541 OFAC RESULTS RDC: 111638693 Not Alerted FIRCOSOFT: Rem, ID Recced ID ripe line 111 Country:VIRGIN ISLANDS, Financial Infomatics Inc U.S. Details Ccffipr) inn i- 0 BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: For internal use only For internal use only ADM Medi%) PEP ME /Jo Ag , Icx•ft,.,4 %AM SDNY_Gril_00062415 CONFIDENTIAL — PURSUANT TO FED R ctO .NEIDENTIAL DB-SDNY-0025240 EFTA 00172923 EFTA01255542 Page 2 yew. Results List I tAll South: Tee ems: SINK 1 - 17 Et 17S ATAHILLO C0A-LcA'AA>A A A-- 'frs•Barsa U> S.acch ii4,>urs ccraCangalsondel Infornatics Inc) urn% • Stasi e.0100 Red Hook Quarter 83) rad • Select for Oc:atv er r•tv ( F-i t SOW — I Here Aft rind -•Ett.11.011E EYWCIAL 14421441:a. Sic ig:sraaan t api CCeil4LT8.850-.1.237sC :‘ ,..a.aimu>sasc - Meth Ments/L•ratisos Kw te 3) Its....1APC*4 `ft • Witi art STE • t2 CARISILO.C.4 tlet41.171 ny "%FCC COMTV • t•^> AstrAres• Cn ;Ai SIOSEM Vi• 2 1,04,44' g a R aUSAW SS4CN tUILKKO liel MAWASSI3 Irt VE 2:10•44. - MIKE vit,t11:!Mffel- as Leg. DS,: P010-80)3•9505 ;ad)* f.a.ass -spa 'Etat: tuat tern aCtn ¶.1-tSIOICO •;•.)Pattf.• • ile han, 221 1,31,,APCAL taisatattact Match IsamiN/laraissra (els LLi ntisoans• AVOW WS Vat erg All•Wft ft 126•4•1:4, ;tater 0,044,04X comma's LOW0000..0.:: 5149 1LAINN-2 - teEDEIEEtt, nst awl Met: Mg rra 07S5 I Al SY-MISZti 'j 4E? +e• TM* D&B: There was 11O information found LEGAL RESULTS: Court Cases: There was no information found For Internal use only For internal use only SDNY_GM_00062416 CONFIDENTIAL - PURSUANT TO FED. R.ctQN( I DENTIAL DB-SONY-0025241 EFTA_00 172924 EFTA01255543