NAME SEARCHED: LSJE Employees, 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 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 II No Hit U Not Required 0 Hit I. RDC Results No RDC alert (Please see attached) PCR II. -CI No Hit 0 Not Required 0 Hit PCR Results No PCR alert (Please see attached) BIS ID Yes lel No 0 Not Required III. Negative Media There was no information found IV. Non-Negative Media There was no information found V. Other Language Media There was no information found D&B Results? 0 Yes © No 0 Not Required VI. D&B There was no information found Smartlinx Results? 0 Yes 0 No 0 Not Required VII. Smartlinx There was no information found Court Cases U Review by Legal May be Required 0 No Results 0 Search not uired VIII. Court Cases There was no information found Prepared by: Anshu Parashar Date: 02/13/2015 Research Analyst Instructions: I. 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:Martindale-Hubbellhttp://wsw.martindale.com/w/Nlartindak/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 SDNY_GM_00053776 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) CONFIDENTIAL DB-SDNY-00 16600 EFTA 00164346 EFTA01255061 OFAC RESULTS RDC: 11567042 No Match Found DBOI 9200225 LSJE Employees, LLC Country:Virgin Islands, U.s. PCR: C20150225497521 LSJE Employees, LLC, 9200225 NCA customised AutoClosed No-Hit 13/02/2015 BIS RESULTS Negative Media: There was no information found Non-Negative Media: There was no information found Other Language Media: There was no information found Public Records: There was no information found D&B: There was no information found LEGAL RESULTS: For internal use only SDNY_GM_00053777 CONFIDENTIAL - PURSUANT TO FED R.QP .NEIDENTIAL DB-SDNY-0016601 EFTA_00164347 EFTA01255062 Page 2 Court Cases: There was no information found For internal use only SDNY_GM_00053778 CONFIDENTIAL - PURSUANT TO FED. R.CON(F IDENTIAL DB-SONY-0016602 EFTA 00164348 EFTA01255063