EFTA Document EFTA01295169

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): RUC Z Ito • Not Roattred i lit I. RD(' Results No RDC alert (Please see attached) PCR No Nit • Not Rotiturcd 0 Hit II. pci( Rottits No PCR alert (Please see attached) BIS 0 Yes 0 No III. Negative Media Not Required IV. Non-Negatise Media Not Required /'i1 Not Requinal V. Other Language Media Not Required LAB VI. D&B Not Required Results? 0 Yes • No 0 Not Required Smardinx Results? El Yes 0 No 2:1 Not Required VII. Smanlinx Not Required Court Cases El Review by Legal May be Required 0 No Results 0 Starch not required VIII. Court Cases Not Required Prepared by: Prachi Pawa Da c:10/07/2013 Research Analyst Instructions: 1. Review and confirm that all results arc returned for your client. 2. Please note that you arc 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.comhpThilartindakihome.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 continuation that you have fully reviewed the research documents. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SON Y_GM_00053893 DB-SDNY-0016717 EFTA_00164463 EFTA01295169 OFAC RESULTS RDC: 11527347 No Match Found 6873903 PCR: C20131019119442 873903 NCA customised Auto-Closed No-Hit 07/10/2013 A Country:United States 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 SDNY_GM_00053894 CONFIDENTIAL - PURSUANT TO FED R.QPNE I DENTIAL DB-SDNY-0016718 EFTA_00164464 EFTA01295170