EFTA Document EFTA01372104

NAME SEARCHED: Richard Kahn 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): RDC 0 No Hit PNot Required I. RDC Recoils Hit RDC alert (mail send separately) PCR No Hit • Not Rainued II pcR Recoils MI Hit No PCR alert (Please see attached) BIS 0 Yes El No Ill. Negative Media There was no information found IV. Non-Neitath , Nlectia There was no information found II Not Roquinx1 V. Other Language Media Not Required D&B Results? 0 Yes 0 No VI. D&B Not Required Not Required Smartlinx VII. sinanimx Result Found(please see attached) Results? e Yes 0 No M Not Required Court Cases 0 Review by Legal May be Required 0 No Results VIII. Court Cases Result Found(please see attached) M Search not required Prepared by: Prachi Pawa Date: 06/19/2017 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.martintiale.com/xpfMartindalethome.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-0065708 CONFIDENTIAL SDNY_GM_00211892 EFTA01372104