EFTA Document EFTA01298385

NAME SEARCHED: Financial Infomatics Inc 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 involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary.): RDC No Hit M Not Required I. RDC Results No RDC alert (Please sec attached) ■ i lit FIRCOSOFT = No Hit 0 Na Required liii II. F1RCOSOFT Results No Fircosoll alert (Please sec attached) • BLS o III. Negative Media There was no information found Yes w No El Not Required W. Non-Negative Media Not Required V. Other Language Media Not Required D&B Results? VI. D&B There was no information found • Yes No E Not Required Smartlinx Remits? 0 Yes 0 No VII. Smartlinx There was no information found • Not Required Court Cases 0 be Review by Legal May Required N No Re,ults Search not required VIII. Court Cases There was no information found E Prepared by: 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 Mart indale-Ilubbell search (if applicable) on each search subject. We have attached the web link below for your convenicnce:Martindalc-Ilubbellhttpahans.martindale.comisp/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 08/23/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) For Internal use only For internal use only CONFIDENTIAL Stasr_GM_0006292r DB-SDNY-0025752 EFTA_00 73435 EFTA01298385 OFAC RESULTS RDC: ail Country:VIRGIN ISLANDS, Not Alerted KYC Financial Infomatics Inc U.S. FIRCOSOFT: Ala,Et) Relent ID Recall 0 lip Ns Nulls AWI PEP ME Caper" EnnallNaralicstrit BIS RESULTS Negative Media: There was no information found Non-Negative Media: Not Required Other Language Media: Not Required Public Records: For Internal use only For internal use only 0 Hs :sal Pio At^ Kt, Ak.t t.Utl SDNY_GM_00062928 CONFIDENTIAL - PURSUANT TO FED R.Qc.:INE I DENTIAL DB-SDNY-0025753 EFTA_0O173436 EFTA01298386 Page 2 yew. Results List I tAll South: Tetras: OM 1. 17 o•17 MS Cual*Lki COIT-Ltr'r , i'd. -- ‘ra., .Barn. U > Sttio.1 itfi,ults ccraCanga(ssndel infornatics Inc) urn% • ddresie.0100 Red HOC.. Quarter 83) rad • Select for Ocretv sr r•tv ( 0.H Sew- 14e.1 %to ) rind T. a 4YaNCIAL MOW:a. PC cr.:ast un t ami Y•-•••••et CC4041.TIT-G 50141•23 Meth Mentsitscabsos Kw la 3) C.1 ....1•44C14 PC N• Akan 4.4 ST! • ti) Cita% CA laiM SW rISCICOTUPTV t -nn Aw cry nt SITATTA4 ••• 2 -104-N4` g 315 2-"UWI S4CN 11:141K0 6.15.4 waAssis •••• 2:10•444- MIKE vit4111,MM4TOY- :en Day: 0040-80,3-9505 ;el)* Exii.at -.pm rm.,: Loaf. 474: 4c4•4 TN. Si-NOTIN • ; •.USTTS• * hapstal 3.a is. Lt511•4•ACAL CagsafiteaCt mfr.\ isaussiteraissra Owls 1.4.4 ['WKLY. OM 41Wat eri All•WC ft ITON-1:47 1.$ OTNTTVTAX comma's UNG0000.. ,.: TN* %CNN,. C%'4 - JezINT CaNst awl my -10. : Ow ?as. OM I Al 59 5741 'JP tt: D&B: There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00062929 CONFIDENTIAL - PURSUANT TO FED R.QP .NE I DENTIAL DB-SDNY-0025754 EFTA_00173437 EFTA01298387