EFTA Document EFTA01296997

NAME SEARCHED: The Haze 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: Result: Click here for results: Reviewer Comments (as necessary): RDC 0 No Hit • Not Required I. RDC Results No RDC alert (Please see attached) ■ l lit PCR ... No lilt • Not Requited II. PCR Results No PCR alert (Please sce attached) • Flit 13IS 0 Yes 0 No III. Negative Media There was no information found IV. Non-Negative Media There was no information found E Not Required v. Other Language Media There was no information found MB Results? 0 NIL D There was no information found El Yes n No Not Required &milli= Results? VII. Smartlinx There was no information found 0 Yes I'D No ID Not Required Court Cases 0 Review by Legal May be Requited 0 No Results 0 Search not required VIII. Court Cases There was no information found Prepared by: Reena Chandwani Date:06/15/2017 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 convenicnce:Manindak-Hubbellhttp://www.martindak.com/sp/Martindaldhome.: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 confirmation that you have fully reviewed the research documents. For internal use only SONCGM_00059853 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0022677 EFTA_00170401 EFTA01296997 OFAC RESULTS RDC: o Match Found kyc A Country:VIRGIN ISLANDS, The Haze Trust U.S. PCR: The Haze Trust MNCA customised Auto-Closed No-Hit 15/06/2017 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GNI_00059854 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0022678 EFTA_00170402 EFTA01296998 For internal use only SDNY_GM_00059855 CONFIDENTIAL - PURSUANT TO FED. R.QC;)N(F IDENTIAL DB-SONY-0022679 EFTA_00I70403 EFTA01296999