EFTA Document EFTA01407359

NAME SEARCHED: 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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Smartlinx Court Cases Results? Yes Not Required Results? Yes Not Required be Required Review by Legal May No Results Search not required Prepared by: Prachi Pawa Date: 10/12/2016 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.com/xp/- Martindale/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. No VII. Smartlinx VIII. Court Cases EFTA01407359 No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) There was no information found There was no information found V. Other Language Media Not Required VI. D&B Not Required Result Found (Please see attached) There was no information found For internal use only EFTA01407360 OFAC RESULTS RDC: No Match Found GCIS Country:United States PCR: NCA customised Auto-Closed No-Hit 12/10/2016 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: Not Required Public Records: 1 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date: 10/12/2016 Report processed by: For internal use only EFTA01407361 Page 2 DEUTSCHE BANK AGI I Full Name ress ADDITIONAL PERSONAL INFORMATION SSN Subject Summary Na 1: DOBs d DOBs: • - • resses Others Using SSN - 0 records found Address Summary - 1 records found No. Address Ad 1: Address Census Data for Geographical Re ion Median Head of Household Age: I= Median Income: III U Median Home Value: MII Median Education: rs Other Associates None Listed Voter Re istrations - 3 records found 1: Voter Registration Registrant Information Name: Resid EFTA01407362 Date of Birth: Gender: Voter In ormation For internal use only Phone None Listed Gender fi l mi l_e) n Dates Phone EFTA01407363 Page 3 Registration Date: 9/27/2013 Party Affiliation: NONE DECLARED Active Status: ACTIVE 2: Voter Registration Name Name: Residential Address: Date of Bir Occupation: Voter Information 3: Voter Registration Regis Name: Residential Address: Date of Birth: Occupation: Voter Information Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 10 records found 1st Degree: 5, 2nd Degree: 5 No. 1 • EFTA01407364 For internal use only EFTA01407365 Page 4 No. Full Name SSN DOB 1.A. SSN DOB: 1.B. SSN: 1.C. SSN: DOB: 1.D. EFTA01407366 EFTA01407367 Page 5 No. Full Name SSN DOB Address/Phone 1.E. SSN: DOB: 2. SSN: 3. SSN: EFTA01407368 Business Associates - 0 records found Person Associates - 0 records found Nei.hbors - 1 records found Name Address Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 1 records found For internal use only EFTA01407369 Page 6 1: Personal Information Name: DUB one um er: Phone Type: Mo'i e Carrier Information Carrier: Carrier City: Carrier State: NY Sources - 10 records found All Sources Email addresses Person Locator 1 Phone PhonesPlus Records Utility Locator Voter Registrations 10 Source Document(s) 1 Source Document(s) 1 Source Document(s) 3 Source Document(s) 1 Source Document(s) 1 Source Document(s) 3 Source Document(s) Key High Risk Indicator. These symbols may prompt you to investigate further. Moderate Risk Indicator. These symbols may prompt you to investigate further. General Information Indicator. These symbols inform you that additional information is provided. The most recent telephone listing as reported by the EDA source. Important: The Public Records and commercially available data sources used on reports have errors. Data is sometimes entered poorly, processed incorrectly and is generally not free from defect. This system should not be relied upon as definitively accurate. Before relying on any data this system supplies, it should be independently verified. For Secretary of State documents, the following data is for information purposes only and is not an official record. Certified copies may be obtained from that individual state's Department of State. Your DPPA Permissible Use is: Debt Recovery/Fraud Your GLBA Permissible Use is: Legal Compliance Copyright© 2016 LexisNexis, a division of Reed Elsevier Inc. All rights reserved. 2 OF 2 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2016 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved EFTA01407370 Date: 10/12/2016 Report processed by: DEUTSCHE BANK AGI I ADDITIONAL PERSONAL INFORMATION SSN DOB Count Phone None Listed Gender LexID(sm) For internal use only EFTA01407371 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Subject Summary 1111.1. Others Using SSN - 0 records found Address Summary - 1 records found No. Address 1: Address Details 1: Address Census Data for Geographical Region Median Head of Household Age: Median Income: Median Home Value: Median Education: Household Members None Listed Other Associates None Listed Voter Registrations - 0 records found Driver Licenses - 0 records found Professional Licenses - 0 records found Health Care Providers - 0 records found Health Care Sanctions - 0 records found Pilot Licenses - 0 records found Sport Licenses - 0 records found Real Property - 0 records found Motor Vehicle Registrations - 0 records found Boats - 0 records found Aircraft - 0 records found Bankruptcy Information - 0 records found Judgments/Liens - 0 records found UCC Liens - 0 records found Fictitious Businesses - 0 records found Notice Of Defaults - 0 records found Potential Relatives - 5 records found 1st Degree: 1, 2nd Degree: 4 No. 1 EFTA01407372 1.A. For internal use only Dates Phone EFTA01407373 Page 3 Worldbase, 11/30/2013, THE RELATED COMPANIES LP No. SSN: DOB: 1.B. SSN: 1.C. 1.D. SSNI Business Associates - 0 records found Person Associates - 0 records found Nei.hbors - 2 records found Name EFTA01407374 one Address/Phone Employment Locator - 0 records found Criminal Filings - 0 records found Cellular & Alternate Phones - 0 records found For internal use only EFTA01407375 Page 4 Worldbase, 11/30/2013, THE RELATED COMPANIES LP Sources - 17 records found All Sources Person Locator 1 Phone Utility Locator 17 Source Document(s) 1 Source Document(s) 15 Source Document(s) 1 Source Document(s) D&B: Not Required LEGAL RESULTS: Court Cases: There was no information found For internal use only EFTA01407376