EFTA Document EFTA01294996

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 here for results: Reviewer Comments (as necessary): RDC El No Hit 0 Not Required El lilt I. RDC Results No RDC Men (Please see attached) PCR -CI No Hit 0 Not Requited II. PCR Results PCR alert (mail sent separately) Li Hit BLS M Yes 0 No III. Negative Media Not Required IV. Non-Negative Media Not Required el Not Required V. Other Language Media Not Required D&B VI. D&B Not Required Results?• Yes III No - Not Required Smartiinx Results? 0 Yes 0 No 121 Not Required VII. Smartlinx Not Required Court Cana 0 Review by Legal May be Required 0 No Results 0 Search not required VIII. Court Cases Not Required Prepared by: Urvashi Lavania Date:02/05/20 IS Research Analyst Instructions: I. 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 coin cnience:Martindak-Hubbellhttp://www.martindale.com/sp/Martindakihome.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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SONY_GM_00053668 DB-SDNY-0016492 EFTA_00164249 EFTA01294996 OFAC RESULTS RDC: 11566692 No Match Found Dboi 9157782 PCR: Hit BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Records: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required For internal use only Country United States SDNY_GM_00053669 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0016493 EFTA_00164250 EFTA01294997