NAME SEARCHED:

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 invoking PEPs must be escalated. Search: Result: Click here for results: Reviewer Comments (as necessary): RDC 0 No lid 0 Not Requinal I. RDC Results No RDC Alert(please see attached) X Hit PCR • • No Hit 0 Not Rtxpartal II PCR Result< Ill. Negative Media No PCR Alert(please see attached) 0 Hit BIS No Information Found 0 Yes )14 No K Not Required IV. NowNegatne \lecfig No Information Found V. Other Language Meth t No Information Found D&B Reath?? 0 Yes 0 No 0 Not Required VI. D&B Not required Smartlinx Results? 0 Yes 0 No VII. Smartlinx No Information Found le Not Required Court Cases • Review by Legal May VIII. Court Cases No Information Found be Required )7! No Results 0 Search not required Prepared by: Shrcya parashar Date: 06/28/2017 Research Analyst Instructions: 1. Review and confirm that all results are returned for your client. 2. Please note that you arc still required to perform any Martindale-Hubbell search (if applicable) on each search subject. We have attached the web link below for your convenience:filartindale-HubbellhttpdAvww.martindale.cornhip/klartindalehome.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. CONFIDENTIAL — PURSUANT TO FED. R. CRIM. P. 6(e) For internal use only CONFIDENTIAL S0NY_GM_C005B532 DB-SDNY-0021356 EFTA 00169092 EFTA01296301 ---PAGE BREAK--- Page 2 OFAC RESULTS RDC: 111603818 No Match Found KYC 1790739 PCR: C20170638060503 customised Auto-Closed No-Hit 28/06/2017 BITS RESULTS: Negative Media: No Information Found Non-Negative Media: No Information Found Other Language Media: No Information Found Public Record: No Information Found D&B: Not required LEGAL RESULTS: Court Cases: No Information Found For internal use only 294981 NCA SDNY_GM_00058533 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SDNY-0021357 EFTA_00 169093 EFTA01296302