EFTA Document EFTA01296020

NAME SEARCHED: Prytanee, LLC 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: Result: Click here for results: Reviewer Comments (as necessary): RUC CEI No lilt O Not Required O Ilia I. ROC Results No RDC Alert(please see attached) PCR 0 No Hit • Not Required II. PCR Result No PCR Alert(please see attached) O tat BIS III. Negat is c Nledia No Information Found O Yes 0 No Not Required IV. Non-Ncinin c Mesta NO Information Found . V. Other Language media No Information Found D&B VI. D&B No Information Found IttNults? • Yes No O Not Required Snraniaix VII. Smattlinx No Information Found RtavIts? O Yes _rNo O Not Required Cowl Cases O Review by Legal May VIII. Court Cases No Information Found he Required J.71 No Results O Search not required Prepared by: Shrej a parashar Date: 12/29/2016 Research Analyst Instructions: I. 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:Martindale-Hubbellhttp://www.martindale.comhp/Nfartindale/home.tml 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 continuation that you have fully reviewed the research doctunents. For internal use only SDNY_GM_00057477 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0020301 EFTA_00168043 EFTA01296020 Page 2 OFAC RESULTS RDC: l 11596131 No Match Found GCIS 00000550868 UNITED STATES Prytanee, LLC PCR: C20161235948497 Prytanee, LLC 12276786 NCA customised Auto-Closed No- Hit 29/12/2016 BIS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: No Information Found D&B: No Information Found LEGAL RESULTS: Court Cases: No Information Found For internal use only SDNY_GM_00057478 CONFIDENTIAL - PURSUANT TO FED. R.QP .NE I DENTIAL DB-SDNY-0020302 EFTA_00168044 EFTA01296021 For internal use only SDNY_GM_00057479 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SDNY-0020303 EFTA_00I 68045 EFTA01296022