EFTA Document EFTA01363841

NAME SEARCHED: Caroline Sophie Camille Lang 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: RIX' Result: Click here for results: Retie %%er Continents (as necessary): to No I lit O Not Required I. RE) : Results No RD(' alert (Please sec attached) O flu PCR IS) No I III Not Ropockl EI I in II. PCR Results No PCR alert (Please see attached) 13IS Ill. Negative Media There was no information found CI Yes No M Not Required IV. Non-Negative Media There was no information found V. Other Language Media Not Required D&B D&B Not Required Result Results? U Yes M No IS Not Required Smartlim VII. Smattlinx Result Found (Please see attached) Results? Ct Yes O No MI Not Requital Court Cases E l Review by Legal May be Required O No Results VIII. Court Cases Result Found (Please see attached) • Search not required Prepared by: Prachi Pawn Da e: 12/30/2016 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 %se)) link below for your convenience:Mart indale-Hubbellhttp://www.martindale.comhpfMart indale/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-0054206 CONFIDENTIAL SDNY_GM_00200390 EFTA01363841