EFTA Document EFTA01363351

NAME SEARCHED: Harry Beller 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: I Click here for results: Reviewer Comments (as necessary): RDC e No Hit P Not Required I. RDC Results M Hit No RDC alert (Please sec attached) PCR No flit • Not Raitured II pck Results MI Hit No PCR alert (Please see attached) BIS El Yes El No Ill. Negative Ntectio There was no information found IV. Non-Negative Ntedig There was no information found II Not Required V. Other Language Media Not Required Din Results? 0 Yes': No n D&B Not Required Not Required Smartlinx VII. Stnattlinx Result Found(please see attached) Results? e Yes 0 No M Not Required Court Cases 0 Review by Legal May be Required 0 No Results VIII. Court Cases Result Found(please see attached) M Search not required Prepared by: Prachi Pawa Da e: 10/12/2016 Research Analyst Instructions: 1. Review and confirm that all results arc 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:Mart indalc-Hubbellhttp://www.martindalc.com/xp/Martindalc/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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053315 CONFIDENTIAL SDNY_GM_00199499 EFTA01363351