EFTA Document EFTA01297037

NAME SEARCHED: Erika Kellerhals 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 names) 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 invoMng PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC Er No I lit • Not Required I. RDC Results No RDC alert (Please cee attached) nI I lit PCR No I lit 0 Na Required 0 i iit II. PCR Results No PCR alert (Please sec attached) BIS 0 Yes C E ) No D Not Required Ill. Negative Media There was no information found IV. Non-Negative Media There was no information found V. Other Language Media There was no information found D&B VI. DAB Not required Results? • Yes • No CI Not Required Smartlinx Results? 2 Yes 0 No 0 Not Required VII. Smartlinx Result found(Please see attached) Colin Ca es 0 Review by Legal May be Required z No Results VIII. Can Cases There was no information found • Search not required Prepared by: Shanu Gujaria 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 convenience:Mariindale-Hubbellhttp://www.manindak.comhp/Martindale/home.sml 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. Date: 06115/20I7 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL SONY_GM_00059912 DB-SDNY-0022736 EFTA_00 I 70456 EFTA01297037 OFAC RESULTS RDC: 11602691 No Match Found KYC 1790768 PCR: Erika Kellerhals Country:UNITED STATES C20170637909087 Erika Kellerhalsl NCA customised Auto-Closed No- Hit 15/06/2017 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: Date: 8/15/2017 Report processed by: DEUTSCHE BANK AGII 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. For internal use only SDNY_GNI_00059913 CONFIDENTIAL — PURSUANT TO FED R.QP .NE I DENTIAL DB-SDNY-0022737 EF1'A_00170457 EFTA01297038 EFTA01297039 EFTA01297040 EFTA01297041 EFTA01297042 EFTA01297043 EFTA01297044 EFTA01297045 EFTA01297046 EFTA01297047 EFTA01297048 EFTA01297049 EFTA01297050 EFTA01297051 EFTA01297052 EFTA01297053 EFTA01297054