EFTA Document EFTA01298768

NAME SEARCHED: Paul S Barrett 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 Comp iance management. Also, all accounts involving PEPs must be escalated. Search: Result: Click hem for results: Reviewer Comments (as necessary): RDC El No flit 0 Not Required Hit I. RDC Results RDC Alert (Mail sent separately) CI FIRCOSOFT Cl No Hit U Not Required flit II. FIRCOSOFT Result1 No FIRCOSOFT Alert (Please See Attached) • BIS Yes El No K Not Required Ill. Nevative Media No Information Found • IV. Non-Negative Media Not Required V. Other Language Media Not Required D&B Remits? VI. ORB Not Required • Yes 0 No Not Required SMARTLINX Results? VII. Smanlinx No Information Found 0 Yes )1! No 0 Not Required COURT CASES U Required Review by Legal May be VIII. Court Cases No Information Found - No Results M Search not required Prepared by: Himanshu Khandehval Date: 10/15/2018 Research Analyst Instructions: I. Review and confirm that all results are 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.martindale.comhp/MartindaleJhome.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. For internal use only For internal use only CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL S0NY_GM_00061952 DB-SDNY-0026777 EFTA_00174458 EFTA01298768 Please note: Submission of a signed KYC is your confirmation that you have fully reviewed the research documents. For internal use only For internal use only SDNY_GM_00063953 CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-0026778 EFTA_00174459 EFTA01298769 Page 3 OFAC RESULTS RDC: 11641987 Alerted KYC a Paul S Barrett Date of (Global Search) Birth: FIRCOSOFT: 31720243 r_317202432182 Individual Paul S Barrett No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: No Information Found Non-Negative Media: Not Required Other Language Media: Not Required D&B: Not Required Public Record: No Information Found LEGAL RESULTS: Court Cases: No Information Found For internal use only For internal use only SDNY_GM_00063954 CONFIDENTIAL - PURSUANT TO FED R.QQN(F IDENTIAL DB-SDNY-0026779 EF1'A_00174460 EFTA01298770