EFTA Document EFTA01363508

NAME SEARCHED: Southern Trust Company, Inc. 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: RDC Result: El No I lit O Not Raporoil Click here for results: I. RDC Results Reviewer Comments (as necessary): No RDC Alert • Hit KR H. PCR Results No PCR Alert • No Hit • Not Required O Hit BIS Ili. Negative Media — No information found M Yes 0 No Not Required IV. Non -Negative Media No information found V. Other Language Media No infom)ation found D&B VI. D&H No information found Results? M Yes El No • Not Required Smarninx Results? O Yes CI No VII. Smartlinx More than 3000 results M Not Required Court Caeca O Review biiLegal May be Required N No Results VIII. Cowl Cases No information found • Search not required Prepared by: Akash kumar gomesh Date: 01/10/2017 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.comkpR1lartindalelhome.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 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0053541 CONFIDENTIAL SDNY_GM_00199725 EFTA01363508