EFTA01399853
Document Information
Bates Range
EFTA01399853
Pages
66
Original Filename
EFTA01399853.pdf
Document Content
Page 1 - EFTA01399853_001
NAME SEARCHED: 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: RDC PCR Yes BIS No Hit Hit No Hit Hit Not Required Not Required No Not Required D&B Results? Yes Not Required Smartlinx Results? Yes Not Required Court Cases be Required Review by Legal May No Results Search not required Prepared by: Prachi Pawa Date: 01/30/2017 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.com/xp/- Martindale/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. No VII. Smartlinx VIII. Court Cases EFTA01399853
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Result Found (Please see attached) No Click here for results: I. RDC Results II. PCR Results III. Negative Media IV. Non-Negative Media Reviewer Comments (as necessary): No RDC alert (Please see attached) No PCR alert (Please see attached) There was no information found There was no information found V. Other Language Media There was no information found VI. D&B Not Required Result Found (Please see attached) For internal use only EFTA01399854
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OFAC RESULTS RDC: No Match Found GCIS Country:UNITED STATES PCR: NCA customised Closed - No Hit 30/01/2017 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: 1 OF 1 RECORD(S) FOR INFORMATIONAL PURPOSES ONLY Copyright 2017 LexisNexis a division of Reed Elsevier Inc. All Rights Reserved. Date:1/30/2017 Report processed by: For internal use only EFTA01399855
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Entities Mentioned
PP
Prachi Pawa
PERSON
Person referenced in documents
LexisNexis
ORGANIZATION
Corporation providing computer-assisted legal research, as well as business research and risk management services
Martindale-Hubbell
ORGANIZATION
American legal information services company (misclassified as PERSON)
Reed Elsevier Inc.
ORGANIZATION
Reed Elsevier legal and scientific publishing company
Statistics
Pages:66
Entities:4
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