EFTA Document EFTA01295825

NAME SEARCHED: Butterfly Trust 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: RI)C Result: tgl No lilt El Not Raµuwd K lilt Click here for results: I. RUC Results Revitmer Comments (as necessary): No RDC Alert l'CR 0 No Hit O Not Required O Hit II. PCR Results No PCR Alert BIS ID Yes 0 No Not Required III. Negative Media No information found IV. Non-Negative Media Not required V. Other Language Media No information found D&B Results? 0 Yes O No O Not Required VI. DRI3 information found(Please see attached) Smanlinx Results? O Yes (81 No O Not Required VII. Smartlinx No information found Court Cases ■ Review byLegal May be Required bbNo Results VIII. Court Cases No information found O Search not required Prepared by: Akash Manor gomesh Date: 09/30/2016 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:Nlartindak-Hubbellhttp://www.martindale.com/xp/Martindalelbome.sml 3. As needed. pmvide 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 ICYC is your confirmation that you have fully reviewed the research documents. CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) Research Argil) st For internal use only CONFIDENTIAL SDNY_GM I 3 DB-SDNY-0019947 EFTA_00 6769 I EFTA01295825 Page 2 OFAC RESULTS RDC: 111593418 NO Match Fow1cl GUS 00000486426 Butterfly Trust Country:United States PCR: C20160934774293 Butterfly Trust 11985907 NCA customised Closed - No Hit 30/09/2016 BIS RESULTS Negative Media: No information found Non-Negative Media: Not required Other Language Media: No information found Public Record: No information found D&B: Copyright 2016 Dun & Bradstreet. Inc dun&bradstreet Worldbase August 4. 2016 THE BUTTERFLY TRUST For internal use only SDNY_GM_00057124 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0019948 EFTA_00167692 EFTA01295826 Page 2 Worldbase, 07/18/2008, IMPERIO REALTY LLC FORTH HOUSE, 28 RUTLAND SQUARE EDINBURGH EH1 2BW SCOTLAND REGION: EUROPE COMMUNICATIONS CABLE TELEX: NNYNNNP COMPANY IDENTIFIERS DUNS: 21-032-7290 DESCRIPTION INVESTMENT ADVICE MARKET AND INDUSTRY * " * * * * " PRIMARY SIC: 6282 - Investment advisory service SECONDARY SIC: 6732 - Nonprofit trust management LOAD-DATE: September 16, 2016 LEGAL RESULTS: Court Cases: No information found For internal use only SDNY_GM_00057125 CONFIDENTIAL — PURSUANT TO FED. R.cOFNI(E IDENTIAL DB-SDNY-0019949 EFTA_00 I 67693 EFTA01295827