NAME SEARCHED: Paul S Barrett

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 Compliance management. Also, all accounts involving PEPs must be escalated. Search: d Result: Click here for results: I. RIX. Results Reviewer Comments (as necessary): RDC Alert (Mail sent separately) RUC El No I I ti D N.,1 Required _r Hit FIRCOSOFT - No Hit 0 Not Required 0 Hit II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) BIS El Yes 0 No K Not Required III. jgenti‘s Media No Information Found IV. Non-Negative Media Not Required v. Other Lannuaste Media — Not Required I)ScH VI. D&B Not Required Results? 0 Yes M No Not Required SMARTLINX Results? 0 Yes 0 No 0 Not Required VII. Smartlinx No Information Found COURT CASES 0 Review by lael May be Required 0 No Results Cl Search not required VIII. Quirt COO No Information Found Prepared by: Himanshu Khandelwal Date: 10/15/2018 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you art still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your cons cnience:Martindalc-Ilubbellhttp://www.martindalc.comhp/Martindalc/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. For intemal use only For internal use only SDNY_GM_00064007 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026832 EFTA_00174513 EFTA01298796 ---PAGE BREAK--- Please note: Submission of a signed KYC is your confirmation that you haw fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00064008 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026833 EFTA_00174514 EFTA01298797 ---PAGE BREAK--- Page 3 OFAC RESULTS RDC: if 11641987 Algaggl KYC 01977695 _ (Global Search) FIRCOSOFT: 31720243 WR_317202432182 Individual ,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 2 0 z 0 C0 z w 0 LL z 0 0 CONFIDENTIAL - PURSUANT TO FED. R CRIM. P. 6(e) EFTA01298798