EFTA Document EFTA01358827

NAME SEARCHED: Bradley J Wechsler 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 IA Required NO lid U Not Hit I. RDC Resultfi No RDC Alert(please see attached) • CI No Hit • Not II. FIRCOSOFT Results No FIRCOSOFT Alert(please see attached) FIRCOSOFT Required K Hit BIS 0 Yes (83 No Not Required tit. Negative Media N No Information Found IV. Non-Negative Media Not required V. Other Language Not required Media D&B Results? 0 Yes 0 No El Not Required VI. D&B Not required smardinx Results'? VB. Smartlinx Result found(please see attached) a Yes CI No • Not Required Court Cases C.4 Review by Legal May VIII. Court Cases Result found(please see attached) be Required 0 No Results 0 Search not required Prepared by: Shrcya parashar Date: 07/06/2018 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 Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:Martindale-Hubbellhttp://www.martindale.comhp/Martindak/home.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. 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0046774 CONFIDENTIAL SDNY_GM_00192958 EFTA01358827