Epstein Secrets

omplete 2 Yes O No negative results found 2 Yes • No OFAC checks complete 2 Yes O No negative results found O yes 0 No BIS searches complete (Lexis/Nexis, Facttva, Reuters, Dow Jones, DU) I21 Yes • No negative results found • Yes No Denial Orders checks complete 2 Yes 0 No negative results found

S Client Facing Professional (CFP): Paul Morris Signature) Paul Moms 11/5/2013 Office Drector/Busmess Head. Bnan M. Biggar :Signature) 3rian M. Biggar 11/5/2013 Regional Mice Director: (Signature) AML Business Risk: (Signature) AML Compliance Janke Franklin Gwen NI (Signature) Janice Frank

mplete F Yes F we negative results found F Yes F NO OFAC checks complete F Yes F No negative results found F Yes F NO BIS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, D&B) 9.-- iv Yes r- No negative results found F Yes F No Denial Orders checks complete F Yes r No negative res

PPROVALS Client Facing Professional (CFP): Paul Morris "Signature) >au! Moms Office Director/Business Head: Brian M. Biggar "Signature) 3rian M. Biggar Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Michael Vila (Signature) Jacquelin

plete F Yes f- No negative results found F Yes F No OFAC checks complete F Yes r No negative results found 1— Yes F No 8IS searches complete (Lexis/Nexis, Factiva, Reuters, Dow Jones, iv r•-• D&B) Yes r No negative results found I— Yes F No Denial Orders checks complete 17 Yes r No negative r

ent Facing Professional (CFP): Paul Moms :5 g atur iii, 'aul Morris 10/22/2": Office Director/Business Head: Brian M. Biggar ;Signature) 3nan M. Biggar 10/23/2013 Regional Office Director: (Signature) AML Business Risk: (Signature) AML Compliance: Jacqueline Lightbody Jance Franklin (Signatu