EFTA Document EFTA01298670

NAME SEARCHED: Paul S Barrett 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 Comp lance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click hem for results: Reviewer Comments (as necessary): RDC ID No I hi 0 Not Reluirixl Hit I. RDC Results RDC Alert (Mail sent separately) O FIRCOSOFT :4 No Hit U Not Required flit II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) • Ills Yes IS) No El Not Required III. Nevative Media No Information Found • 1V. Non-Negative Media Not Required V. Other Language Media Not Required D&B Remits? VL D&B Not Required • Yes 0 No Not Required SMARTLINX Results? VII. Smattlinx No Information Found D Yes 0 No 0 Not Required COURT CASES U Required Review by Legal May be VIII. fauliam No Information Found No Results M Search not required Prepared by: Himanshu Kliandehval Date: 10/15/2018 Research Analyst Instructions: I. 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://www.martindale.comhp/Martindale./hume.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 KVC. For internal use only For internal use only CONFIDENTIAL - PURSUANT TO FED R. CRIM. P. 6(e) CONFIDENTIAL S0NY_GM_00063589 DB-SDNY-0026414 EFTA_00174097 EFTA01298670 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 SDNY_GM_00063590 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026415 EFTA_00174098 EFTA01298671 Page 3 OFAC RESULTS RDC: 11641987 Alerted KYC 01977695 a (Global Search) Date of Birth: Paul S Barrett 3/9/1974 FIRCOSOFT: dividual Paul S Barrett No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required D&B: Not Required Public Record: No Information Found LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00063591 CONFIDENTIAL - PURSUANT TO FED. R.QPINIF IDENTIAL DB-SDNY-0026416 EF1'A_00174099 EFTA01298672