EFTA Document EFTA01295179

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 MI No Hit MI Not Requited I RDC Results RDC alert (Mail sent separately) ®Hit PCR No Hit • Not Required II. KR Results No PCR alert (Please sec attached) M Hit BIS 0 Yes 0 No III. Neu:dive Media Not Required IV. Non-Negative Media Not Required eil Not Required V. Other Language Media Not Required D&B VI.111/a Not Required Results? M Yes El No 0 Not Required Smartlinx Results? 0 Yes 0 No VU. Smartlinx Not Required ..TI Not Required Court Cases El Review by byte] May be Required O No Results El Search not required VIII. Court Cases Not Required Prepared by: Ahsan Manzoor Date: 10/07/2013 Research Analyst Instructions: I. Review and confirm that all results arc returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubhell search (if applicable) on each search subject. We have attached the web link below for your convenience:5lartindale-Hubbellhttp://www.martindale.conilip/Nlartindale/homeaml 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 SDNY_GM_00053907 DB-SDNY-0016731 EFTA_00164477 EFTA01295179 PCR: OFAC RESULTS RDC: Alerted Country:Urilted States C201310191200211 BIS RESULTS Negative Media: Not Required Non-Negative Media: Not Required Other Language Media: Not Required Public Record: Not Required D&B: Not Required LEGAL RESULTS: Court Cases: Not Required CA customised Auto-Closed No-Hit 07/10/2013 For internal use only SDNY_GM_00053908 CONFIDENTIAL - PURSUANT TO FED R.CONE I DENTIAL DB-SDNY-0016732 EF1'A_00164478 EFTA01295180