EFTA Document EFTA01298655

NAME SEARCHED: The Haze Trust 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): ItDC O No flit 0 Not Required El Hit I. RDC Results No RDC Alert (Please See Attached) FIRCOSOFT El No Hit 0 Not Required K i tit II. FIRCOSOFT Results No FIRCOSOFT Alert (Please See Attached) Ill S BT. Negative Media No Information Found 0 Yes No Not Required IV. Non-Neptive Media V. Other La tipuwe \um D&B VI. MB Results? M Yes El No E Not Required SMARTLINX Results? 0 Yes 0 No 0 Not Required VII. Smart lim COURT CASES 0 Review by Legal May be VIII. Court Cases Required CC No 1241ilis 0 Search not required Prepared by: Priyanka Sharma Date: 10/01/2018 Research Analyst Instructions: 1. Review and confirm that all results arc 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:51artindalc-Hubbcfihttp://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. S. 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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL S0NY_GM_00063573 DB-SDNY-0026398 EFTA_00174081 PROT0 Page 2 OFAC RESULTS RDC: Inquiry Id Response Type Tracking Id Name Address Date of Birth/Age 11641149 No Match Found KYC 01977694 The Haze Trust Country:VIRGIN ISLANDS, U.S. FIRCOSOFT: Request ID Record ID Type NameDetails Alert(s) ADM INT PEP SAE 30200424 WR_302004242182 Company The Haze Trust No Alert No Alert No Alert No Alert BIS RESULTS: Negative Media: Non-Negative Media: Other Language Media: D&B: Public Record: SDNY_Gra_00063574 CONFIDENTIAL - PURSUANT TO FED R.CONE I DENTIAL DB-SDNY-0026399 EFTA 110174082 PROT1 6 No Documents Found No documents were found for the search terms entered. You can edit your search and try again. or save it. To edt it. you may want to try one or more of the following: • Check for spelling errors. • Remove some search terms. • Check the "find similar-sounding last names en/hob:box. Sseeche SmartUm* Comprehensive Business Report Li Torres: tin(13-7185414) radius(15) ward: Or • Or Crr AO cow I Pa Terse: wal.m.tahe Neu bat) , ada 1 S) • Stied •er balven Gt nu ,t1UC 'LLL:vs=i taslisLb) • • tad 'n• or ch Nit* Staub I Sall: Adana C. o.b.... Won round Y. NA kaa cc,..4 an at m. I' aa ra nn Caw •. tat nab. an va.• F ca. alla s• accOl an. -.16 SklaKaIS num os......n...ner len. 3, Ma •A 'tar laaa f Vac ow KPH Cs. al..11 a a us's= MOM illaintplonliese 6010 WAD,* pun. neorreallr.M.0 nun Mir riblec, n Hari. Willi ...M . O. fttlettrutt•esst ••••••••b...4.••••irs kN ki 9.1 SA= 4•41004 Witt lit .rein. MI' an Wall a ChrarailliCa Plea Nacceacan a le ca at Cala a LEGAL RESULTS: Court Cases: ...an *5.s nc• atICICI ••••al. Swam ..not fay WI, Ca 7i :IC 114 Svada..1 •••, •11. Agsni-nv 44054014-itr. •n.:04413:« M&C.. HMr For Internal use only SONYGfil_00063575 CONFIDENTIAL - PURSUANT TO FED R.QPNE I DENTIAL DB-SDNY-002&400 EFTA_00174083 PROT2