EFTA Document EFTA01399853

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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Results? Yes Not Required Smartlinx Results? Yes Not Required Court Cases be Required Review by Legal May No Results Search not required Prepared by: Prachi Pawa Date: 01/30/2017 Research Analyst Instructions: 1. Review and confirm that all results are 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:Martindale-Hubbellhttp://www.martindale.com/xp/- Martindale/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. No VII. Smartlinx VIII. Court Cases EFTA01399853 Result Found (Please see attached) No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) There was no information found There was no information found V. Other Language Media There was no information found VI. D&B Not Required Result Found (Please see attached) For internal use only EFTA01399854 OFAC RESULTS RDC: No Match Found GCIS Country:UNITED STATES PCR: NCA customised Closed - No Hit 30/01/2017 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: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 1/30/2017 Report processed by: For internal use only EFTA01399855 EFTA01399856 EFTA01399857 EFTA01399858 EFTA01399859 EFTA01399860 EFTA01399861 EFTA01399862 EFTA01399863 EFTA01399864 EFTA01399865 EFTA01399866 EFTA01399867 EFTA01399868 EFTA01399869 EFTA01399870 EFTA01399871 EFTA01399872 EFTA01399873 EFTA01399874 EFTA01399875 EFTA01399876 EFTA01399877 EFTA01399878 EFTA01399879 EFTA01399880 EFTA01399881 EFTA01399882 EFTA01399883 EFTA01399884 EFTA01399885 EFTA01399886 EFTA01399887 EFTA01399888 EFTA01399889 EFTA01399890 EFTA01399891 EFTA01399892 EFTA01399893 EFTA01399894 EFTA01399895 EFTA01399896 EFTA01399897 EFTA01399898 EFTA01399899 EFTA01399900 EFTA01399901 EFTA01399902 EFTA01399903 EFTA01399904 EFTA01399905 EFTA01399906 EFTA01399907 EFTA01399908 EFTA01399909 EFTA01399910 EFTA01399911 EFTA01399912 EFTA01399913 EFTA01399914 EFTA01399915 EFTA01399916 EFTA01399917 EFTA01399918