EFTA Document EFTA01298107

NAME SEARCHED: LSJ Employees LLC 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 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 invoMng PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary.): RDC ),4 No Nii 0 Not Required I. RDC Results No RDC alert (Please see attached) • I ht FIRCOSOFT No flit U Not Required B. F1RCOSOFT Results No Fircosoll alert (Please sec attached) In Hit BLS III. Negative Media There was no information found 0 Yes 0 No Non-Negative Main Not Required M Not Required IV. V. Other Language Media Not Required D&B VI. D&B There was no information found Results? • Yes No E Not Required Smartlinx Results? 0 Yes 0 No VII. Sniartlinx There was no information found • Not Required Court Cases 0 Review by Legal May be Required 0 No Results VIII. Court Cases There was no information found • Search not required Prepared by: Shanu Gujaria Research Analyst Instructions: 1. 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://wnw.martindak.comhp/Martindakihome.sml 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. Date 08/23/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only For internal use only CONFIDENTIAL SONY_GM_00062071 DB-SDNY-0024896 EFTA 00172581 EFTA01298107 OFAC RESULTS ROC: 11638692 No Match Found. KYC 01977698 FIRCOSOFT: R.q.nl ID Resod lip. Must ;Arty, 111.12V.74'1Ar'.2 Cnapurf I SI Empern LC BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: L.S3 Employees LLC For Internal use only For internal use only U Country:VIRGIN ISLANDS, •I U.S. it;s1 ▪ IN1 PEP SAL Nr, Men .NV' MNni •in Wed SDNY_GNI_00062072 CONFIDENTIAL — PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0024897 EFTA_00172582 EFTA01298108 Page 2 O No Documents Found No documents were found for the search terms entered. You can edit your search and try again, or save it. To edit it you may want to try one or more of the following: • Check for spelling errors. • Remove 1011111 search terms. • Check the "find similar-sounding last names" checkbox. Search: Terms: company(LS) Employees LLC) radius(15) Smartfinx3 Comprehensive Business Report D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only dtt h New Search' SONYGhl_00062073 CONFIDENTIAL - PURSUANT TO FED R.CON(F IDENTIAL DB-SDNY-0024898 EFTA_0O172583 EFTA01298109