EFTA Document EFTA01299212

NAME SEARCHED: 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 hem for results: Reviewer Comments (as necessary): MX 0 Nolitt 0 Not Requital Hit I. RDC Results No RDC alert (Please see attached) ■ PCR No Ilit • Not Required H. PCR Results No PCR alert (Please see attached) 0 Hit BIS 0 Yes gi No Ill. Negative Media There was no information found IV. Non-Ncgaii‘e. Xlcdia There was no information found MI Not Required v. Other Langone. Media Not Required MB Results? ". pets Not Required 0 Yes • No C4 Not Required Smartlinx Recults? 0 Yes 0 No VII. Smanlinx There was no information found • Not Required Cowl Cases 0 be 0 Review by Legal May VIII. Court Cases There was no information found Required I No Results Search not required Prepared by: Prachi Pawa Date:II/13/2014 Research Analyst Instructions: I. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Mart indale-Hubbellht tp://www.martIndale.comhp/Mart indale/home.s ml 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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SONY_GM_00064967 DB-SDNY-0027792 EFTA_00 I 75467 EFTA01299212 OFAC RESULTS RDC: 11563554 No Match Found DBOI 8756944 States Date of Birth: PCR: C20141124308121 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 Country:United 8756944 NCA customised Auto-Closed No-Hit 13/11/2014 For internal use only SDNY_GM_00064968 CONFIDENTIAL - PURSUANT TO FED. R.C2CIFNIFIDENTIAL DB-SDNY-0027793 EFTA_00I 75468 EFTA01299213 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP LEGAL RESULTS: Court Cases: There was no information found For internal use only SDNY_GM_00064969 CONFIDENTIAL - PURSUANT TO FED. R.QQN(F IDENTIAL DB-SONY-0027794 EFTA_Q() 1 75469 EFTA01299214