NAME SEARCHED: Paul S Barrett

NAME SEARCHED: Paul S Barrett 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 Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click hem for results: Reviewer Comments (as necessary): RUC 0 No Ild 0 Not ReluirtA Hit I. RDC Results RDC Alert (Mail sent separately) CI FIRCOSOFT II No Hit U Not Required Hit II. FIRCOSOFT Rcsulta No FIRCOSOFT Alert (Please See Attached) N BIS 0 Yes El No El Not Required Di. Nevative Media No Information Found IV. Non-Negative Media Not Required V. Other Language Media Not Required D&B Remits? VI. D&B Not Required • Yes O14o Not Required SMARTLINX Results? VII. Smanlinx No Information Found D Yes ).7! No 0 Not Required COURT CASES U Required Review by legal May be VIII. Court Cases No Information Found No Results M Search not required Prepared by: Himanshu Khandehval Date: 10/15/2018 Research Analyst Instructions: I. 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-Hubbellhttp://www.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. For internal use only For internal use only CONFIDENTIAL — PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL SDNY_GM_00063885 DB-SDNY-0026710 EFTA_0017439I EFTA01255706 Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00063886 CONFIDENTIAL — PURSUANT TO FED. R. GRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026711 EFTA_00 I 74392 EFTA01255707 Page 3 OFAC RESULTS RDC: Date of 11641987 Alerted Knit 01977695 (Global Search) Birth: Paul S Barrett 3/9/1974 FIRCOSOFT: 31720243 it317202432182 Individual Paul S Barrett No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required D&B: Not Required Public Record: No Information Found LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00063887 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0026712 EFTA_00174393 EFTA01255708