EFTA Document EFTA01407394

NAME SEARCHED: PWM BIS-RESEARCH per orme ue gence research in accordance with the standards set by AML Compli ance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the cor rect heading below. Significant negative media results may require escalation to senior business, Legal and Compliance m anagement. Also, all accounts involving PEPs must be escalated. Search: Result: RDC PCR BIS Yes No Hit Hit No Hit Hit Not Required Not Required No Not Required DfiB Smartlinx Court Cases Results? Yes Not Required Results? be Required Yes Not Required Review by Legal May No Results Search not required Prepared by: Prachi Pawa Date: 12/30/2016 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 resear ch documents. No VII. Smartlinx There was no information found VIII. Court Cases 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 There was no information found VI. DEB Not Required There was no information found For internal use only EFTA01407394 30/12/2016 BIS RESULTS Negative Media: There was no information Non-Negative Media: There was no information Other Language Media: There was no information Public Records: There was no information For internal use only EFTA01407395 Page 2 Worldbase, 11/30/2013, THE RELATED COMPANIES L? DSB: Not Required LEGAL RESULTS: Court Cases: There was no information found For internal use only EFTA01407396