Epstein Secrets

ults found I:I Yes 74 No OFAC checks complete RI Yes O No negative results found O Yes @ No BIS searches complete (Lexis/Non, Factiva, Reuters, Dow Jones, D&B) 21Yes • No negative results found • Yes n No Dermal Orders checks compete RI Yes 0 No negative results found Ekes 2 No Martindale-Hubbe

ROVALS Client Facing Professions (CFP): Pall Mark (Signature) Paul Monis 11/14/2014 Office Directorffiusinins Head: Kimberly Hat (Signature) Kimberly Hart 11/17/2014 Regional Office Diener: (Signature) AML Busaness Risk: Melisa Veneges (Signature) Melisa Venegas 12/2/2014 MIL Canpliance: (Sign

gative results found Ova No MC checks complete Ores O No negative results found Ores No BIS Searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, MB) 0 yes O No negative results found Ova 0 No Denial Orders checks complete 0 Yes O No negative results found Oro FA No Martindale-Hubbell

ds ki display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Monk 2 24 :015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart '..26.'015 Regional Office Director (Signature) APIL Business Risk: (Signature) AML Camplw.ce G. Hal oib/o M. Craw

esults found O Yes J No OFAC checks complete 2 Yes O No negative results found O Yes 0 No BIS searches complete (Leds/Nexis, Facttva, Reuters, Dow Jones, DM) gl Yes O No negative results found • Yes FA No Denial Orders checks complete R1Yes 0 No negative results found 0 Yes 0 No Martindale-Hub

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris *Signature) laul Morris 2/13/2015 Deice Director/Business Head: Kimberly Hart :Signature) Kimberly Hart 1/13)201S Regional Mice Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Tccosun Ch

esults found r Yes F No OFAC checks complete r Yes r No negative results found r Yes F No BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r D&B) y Yes F No negative results found F Yes r; No Denial Orders checks complete F Yes F No negative results found F Yes F No Martindale

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 4/23/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 4/23/2014 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Janice FranWin Gwe

esults found r Yes F No OFAC checks complete F Yes r No negative results found F Yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, r yes r- No negative results found F Yes F No D&B) Denial Orders checks complete F yes r No negative results found r yes P. No Martindate-

s to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/13/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/13/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Gwen Hill Yoonsun

results found E yes F No OFAC checks complete F Yes 7 No negative results found F resF NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, F yes r- No negative results found F Yes F No D82) Denial Orders checks complete F Yes r No negative results found r Yes I3 NO Martindale-Hu

ase Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morris 2/24/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2/26/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: G. Hill o/b/o M. Cr

esults found F Yes F No OFAC checks complete F Yes r No negative results found F yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, .--- iv yes F No negative results found F Yes F No OW) Denial Orders checks complete F Yes r No negative results found F Yes F No Martindal

Case Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morris (Signature) Paul Morns 2/10/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimbeily Hart 2/10/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Yocnsun Chung Gwen

results found O Yes 0 No OFAC checks complete 5 Yes O No negative results found O Yes Ono BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, DELB) 0 Yes • No negative results found El YeS Ono Denial Orders checks complete 0 Yes 0 No negative results found 0 Yes @No Marbriciaie-Hub

ds to display. ONSHORE APPROVALS Client Facing Professional (CFP): Paul Moms ,Signature) >aul Morris 2/13/2015 Cffice Director/Buslness Head: Kimberly Hart :Signature) Ombedy Hart 2/13/2015 Regional Office Director: :Signature) N.11 Business Risk: (Signature) AK Compliance: Gwen Hill Yoonsun Ch

ive results found lares ED No OFAC checks complete 5 Yes • No negative results found Oyes END BIS searches complete (Let/Nods, Factva, Reuters, Dow Jones, D&B) ?Med] No negative results found O Yes 0 No Denial Caters checks complete Eyes O No negative results found Oyes Ed No MartindaleHubbel s

. Cs Comments ONSHORE APPROVALS Client Facing Professional (CFP): Paul Morns (Signature) Paul Morris 2/24/2015 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 2126/2015 Regional Office Director: (Signature) AML Business Risk: (Signature) AP% Compliance G. Hill oribio M. Cr

results found arue giNo OFAC checks complete g Yes • No negative results found O Yin TNo BIS searches complete (Lecis/Nexis, Factiva, Reuters, Dow Jones, D&B) 2y. El No negative results found Olt @No Denial Orders checks complete e Yes 0 No negative results found 0 Ye 2 No Marbridaleilubbell

to display. ONSHORE APPROVALS Client Facing Professorial (CFP): Paul Morris (Signature) Paul Morris 11/14/2014 Office Director/Business Head: Kimberly Hart (Signature) Kimberly Hart 11/17/2014 Regional Office Director: (Signature) AML Business Re*: Meksa Venegas (Signature) Hells] Venegas 12/2/