EFTA Document EFTA01356001

NAME SEARCHED: Southern Financial LLC 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 names) 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: Reviewer Comments (as necessary): Click here for results: RDC I. RDC Results Alert found (Mail sent separately) • No I lit • Not Required in Hit F1RCOSOFT ISCI No Hit 0 Not Required ttit 11. FIRCOSOFT Results No Alert (please see attached) BLS 0 Yes 0 No III. Negative Media Not required IV. Non-Negative Media Not required 102 Not Required V. Other Language Media Not required D&B VI. girt& Not required Mulls? 0 Yes E No I.-:i Not Required Smartlinx VII. Smartlinx Not required Results? • Yes 0 No * Not Required Court Cases M Review by Legal May VIII. Court Cases Not required be Required • No Results ):. 4 Search not required Prepared by: Nahid Khan Date: 02/22/2018 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 Of applicable) on each search subject. We lime attached the a eh link below for your convenience:Martindale-Hubbellhttp://www.martindale.com/xp/Martindak/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. For internal use only For internal use only Research Analyst CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0041373 CONFIDENTIAL SDNY_GM_00187557 EFTA01356001