EFTA Document EFTA01361568

Deutsche Bank NAME SEARCHED: J. Epstein & Co a 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: ('lick here for results: I. RDC Resnik Reviewer Comments (as necessary): RDC No lilt 0 Not Ranoreit Hit No RDC alert (Please see attached) MI PCR Li No Hit 0 Not Required Hit II. PCR Results No PCR alert (Please see attached) 0 ISIS Ir4 Yes • No III. Negative Media Results found. Please see attached. IV. Non-Negative Media No Results found. E Not Required V. Other Language Media Not Required. D&B Results? 0 VI. ID&B, Results found. Please see attached. Yes • No Not Required Swath= Results? ISI Yes 0 No 0 Not Required VII. Smanlinx Results found. Please see attached. Court Cases El be Review by Legal May Required 0 No Results Search not required VIII. Court Cases Results found. Please see attached. • Prepared by: Deepali Thakur Date: 08/14/2013 Research Analyst Instructions: I. ROVICW and confirm that all results are returned for vour 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.comhpfMartindalefhome.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. ABR Research Protik FM internal use only Last modified 6/18,2007 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0050769 CONFIDENTIAL SDNY_GM_00196953 EFTA01361568