EFTA Document EFTA01298292

NAME SEARCHED: Southern Trust Company, Inc. 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 unde 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 here for results: Reviewer Comments (as necessary): RDC No Ilia U Not Required I. RDC Results No RDC alert (Please see attached) • Hit FIRCOSOFT rr No Mt X Not Required II. FIRCOSOFT Results No FIRCOSOFf alert (Please see attached) • lilt BIS III. Negative Media There was no information found ID Yes CI No 0 Not Required IV. Non-Negative Media There was no infonnation found V. Other Language There was no intbnnation found Media MB VI. P•• There was no information found Aeolis? • Yes CI No IN Not Required Smardinx Remits? 0 Yes 0 No ID Not Required VII. Smanlinx There was no information found Court Cases CI Review by Legal May be Required 0 No Results VIII. Cowl Cases There was no information found • Search not required Prepared by: H"manshu Khatwani Datc:08/2 I/2018 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-Hubhell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/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. 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 S0NY_GM_00062451 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0025276 EFTA_D0I 72959 EFTA01298292 Page 1 OFAC RESULTS RDC: 11638464 Not Alert KYC 01977695 . - - - . - . - . . - . - . . - . . - . - . . - . . - . . - FIRCOSOFT: Southern Trust Company, Inc. VIRGIN ISLANDS, U.S. Request ID Record ID Type Name Alert(s) ADM INT PEP SAE 24860751 WR_248607512182 Company Southern Trust Company, Inc. Alert No Alert No Alert False No 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: For Internal use only For internal use only SONYGNI_00062452 CONFIDENTIAL - PURSUANT TO FED R.CONE I DENTIAL DB-SDNY-0025277 EF1'A_00172960 EFTA01298293 Page 2 There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00062453 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0025278 EFTA_00172961 EFTA01298294