EFTA Document EFTA01362478

NAME PWM on Significant Prepared Instructions: SEARCHED: Plan D, L LC BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compliance for your business. We completed thorough searches your subject name(s) in the required databases and have attached the search results under the correct heading below. negative media results may require escalation to senior business, Legal and Compliance management. Also, all accounts involving PEPs must be escalated. Search: I Result: Click hem for results: Reviewer Comments (as necessary): RDC C No Hit El Not Required I. KI)C Results No RDC Alert (Please See Attached) • Hit FIRCOSOFT 0 No Nit 0 Not Required 0 tin II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) BIS 0 Yes 0 No K Not Required Ill. Negative Media No Information Found IV. Non-Negative Media No Information Found V. Other Language Media No Information Found D&B Results? 0 Yes 0 No 0 Not Required VI. 1X¢13 Information Found (Please See Attached) SMARTLINX Results? 0 Yes 0 No 0 Not Required VII. Smartlinx No Information Found COURT CASES ID Review by Legal May be Required I8I No Results 0 Search not required VIII. Court Cases No Information Found by: Priyanka Sharma Date: 10/01/2018 Research Analyst Please I. Review and confirm 2. Please note that below fur your 3. As needed, provide 4. If applicable, 5. Save any changes note- Submission that all results are returned for your client. you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link convenience:Martindale-Hubbellhttp://www.martindale.comhp/Martindale/home.xml comment for any negative results. please obtain clearance from Compliance for all alerts. you make to this document and attach file to your KYC. 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) CONFIDENTIAL DB-SDNY-0051899 SONY GM_00198083 EFTA01362478