NAME SEARCHED: Southern Financial LLC PWM BIS-RESEARCH performed due diligence research in accordance with the standards set by AML Compli ance for your business. We completed thorough searches on your subject name(s) in the required databases and have attached the search results under the cor rect heading below. Significant negative media results may require escalation to senior business, Legal and Compliance m anagement. Also, all accounts involving PEPs must be escalated. Search: RDC FIRCOSOFT BIS Result: No Hit Not Required Hit No Hit Not Required Hit Yes No Not Required Click here for results: I. RDC Results Reviewer Comments (as necessary): Alert found (Mail sent separately) II. FIRCOSOFT Results No Alert (please see attached) Not required III. Negative Media IV. Non-Negative Media V. Other Language Media D&B Smartlinx Court Cases Results? Yes Not Required Results? Yes Not Required Review by Legal May be Required No Results Search not required Prepared by: Nahid Khan Date: 02/22/2018 VIII. Court Cases 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 resear ch documents. For internal use only For internal use only No VII. Smartlinx Not required No VI. D4B Not required Not required Not required Not required EFTA01406425