EFTA Document EFTA01298526

NAME SEARCHED: Southern Trust Company, 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 name(s) in the required databases and have attached the search results unde the correct heading below. Significant negative media results may require escalation to senior business. Legal and Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC No I lit U Not Required I. RDC Rcstdts No RDC alert (Please see attached) • Hit F1RCOSOFT r4 No Mt X Not Required II. FMCOSOFT Results No PIRCOSOPT alert (Please see attached) • Hit BIS HI. NeRative Media There was no information found O Yes 4:4 No O Not Required IV. Non-Negative Media There was no infonnation found V. Other Language There was no intbnnation found Media D&B VI. PetR There was no information found Result& • Yes _, No IN Not Required Smartlinx Results? O Yes 0 No ID Not Required VII. Stnanlinx There was no information found Court Cases ID Review by Legal May be Requited El No Results VIII. Cowl Cases There was no information found • Search not required Prepared by: Research Analyst Instructions: 1. Review and confirm that all re.sults 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:Martindale-Hubbellhttp://www.mariindale.com/xp/MartindaleJhome.xml 3. As needed, provide comment for any negative results. 3. 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. Datc:08/21/2018 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only For internal use only CONFIDENTIAL S0NY_GM_00063242 DB-SDNY-0026067 EFTA_00173750 EFTA01298526 Page 1 OFAC RESULTS RDC: Not Alerted Ka FIRCOSOFT: Southern Trust Company, Inc. VIRGIN ISLANDS, U.S. Request ID Record ID Type Name Alert(s) ADM INT PEP SAE 24860751 INR 248607512182 Company Southern Trust Company, Inc. No Alert No Alert False No Alert 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: There was no information found D&B: For Internal use only For internal use only SD NY_GM_00063243 CONFIDENTIAL - PURSUANT TO FED R.cONE I DENTIAL DB-SDNY-0026068 EF1'A_0017375 I EFTA01298527 Page 2 There was no information found LEGAL RESULTS: Court Cases: There was no information found For internal use only For internal use only SDNY_GM_00063244 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0026069 EFTA_001 73752 EFTA01298528