Epstein Files Search

EFTA01415518Set 10

2010-07-21102p31,053w

liquidity in respect of the Notes. Effective January 1, 2014, EU Regulation 575/2013 (the CRR) is expected to be implemented by national legislation or rulemaking in the other countries ... European Economic Area (EEA). CRR Articles 405-407 place certain conditions on investments in asset-backed securities by credit institutions and investment firms (together referred to as institutions) regulated ... countries and by affiliates of those institutions. CRR Article 405 requires such institutions not to invest in any securitization position (as defined in CRR) unless the sponsor, originator or original

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01415518.pdf

EFTA01381440Set 10

1p685w

obligation to pay extraordinary contributions and make extraordinary payments shall only apply to CRR credit institutions that were already assigned to the statutory compensation scheme at the beginning ... extraordinary contribution to be paid and the extraordinary payment to be made by the CRR credit institutions required to pay the contribution or make the payment under subsections ... ratio of the most recent full annual contribution payable by the respective CRR credit institution to the aggregate amount of all the most recently payable full annual contributions

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381440.pdf

EFTA01372628Set 10

1p685w

obligation to pay extraordinary contributions and make extraordinary payments shall only apply to CRR credit institutions that were already assigned to the statutory compensation scheme at the beginning ... extraordinary contribution to be paid and the extraordinary payment to be made by the CRR credit institutions required to pay the contribution or make the payment under subsections ... ratio of the most recent full annual contribution payable by the respective CRR credit institution to the aggregate amount of all the most recently payable full annual contributions

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372628.pdf

EFTA01372629Set 10

1p534w

rise to or increase the risk that a compensation event might occur at a CRR credit institution, it shall notify BaFin without undue delay. Part 4 Exclusion from the statutory ... procedures Section 41 Exclusion from the statutory compensation scheme; legal consequences (1) If a CRR credit institution does not comply with its obligations to pay contributions, make payments, or cooperate ... correctly, in full or in good time, the statutory compensation scheme to which the CRR credit institution is assigned shall notify BaFin and the Deutsche Bundesbank. (2) BaFin shall request

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372629.pdf

EFTA01381443Set 10

1p534w

rise to or increase the risk that a compensation event might occur at a CRR credit institution, it shall notify BaFin without undue delay. Part 4 Exclusion from the statutory ... procedures Section 41 Exclusion from the statutory compensation scheme; legal consequences (1) If a CRR credit institution does not comply with its obligations to pay contributions, make payments, or cooperate ... correctly, in full or in good time, the statutory compensation scheme to which the CRR credit institution is assigned shall notify BaFin and the Deutsche Bundesbank. (2) BaFin shall request

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381443.pdf

EFTA01381439Set 10

1998-08-011p562w

other compensation scheme agrees to the requested assignment. (3) BaFin may also assign CRR credit institutions to another statutory compensation scheme if all CRR credit institutions that belong ... made at least six months before the intended change of compensation scheme. (5) A CRR credit institution shall be exempt from assignment to a statutory compensation scheme if it belongs ... compensation scheme (1) During the application period in accordance with section 24 (4), a CRR credit institution shall continue to be required to pay contributions and make payments

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381439.pdf

EFTA01372630Set 10

1p612w

revocation do not have suspensory effect. (2) The institutional protection scheme shall inform the CRR credit institutions that are currently its members about the revocation of recognition and shall notify ... means up to the amount stated in section 17 (2), including claims against the CRR credit institutions on the basis of existing payment commitments under section ... CRR credit institutions concerned are assigned to different statutory compensation schemes, the available financial means shall be divided up in proportion to the amount of covered deposits of the CRR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372630.pdf

EFTA01381445Set 10

1p609w

objections. (3) If a recognised institutional protection scheme has excluded a CRR credit institution from the scheme in accordance with section 41 (2) sentence 3 with the approval of BaFin ... BaFin shall notify the CRR credit institution that it has determined that the CRR credit institution is no longer a member of a deposit guarantee scheme in accordance with section ... with sentence 1 above is immediately enforceable or final and absolute. (4) If a CRR credit institution leaves a recognised institutional protection scheme it shall, in accordance with section

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381445.pdf

EFTA01381444Set 10

1p612w

revocation do not have suspensory effect. (2) The institutional protection scheme shall inform the CRR credit institutions that are currently its members about the revocation of recognition and shall notify ... means up to the amount stated in section 17 (2), including claims against the CRR credit institutions on the basis of existing payment commitments under section ... CRR credit institutions concerned are assigned to different statutory compensation schemes, the available financial means shall be divided up in proportion to the amount of covered deposits of the CRR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381444.pdf

EFTA01381434Set 10

2014-07-021p572w

principal is only repayable under a particular guarantee or agreement provided by the CRR credit institution or a third party. Deposits within the meaning of this Act shall also mean ... liabilities from securities transactions of a CRR credit institution that has also been granted authorisation to conduct banking transactions under section 1 (1) sentence 2 numbers ... numbers 1 to 4 of the Banking Act, provided that the liabilities of the CRR credit institution are designed to obtain possession or ownership of funds for its customers

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381434.pdf

EFTA01372620Set 10

2014-07-021p572w

principal is only repayable under a particular guarantee or agreement provided by the CRR credit institution or a third party. Deposits within the meaning of this Act shall also mean ... liabilities from securities transactions of a CRR credit institution that has also been granted authorisation to conduct banking transactions under section 1 (1) sentence 2 numbers ... numbers 1 to 4 of the Banking Act, provided that the liabilities of the CRR credit institution are designed to obtain possession or ownership of funds for its customers

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372620.pdf

EFTA01381442Set 10

1p565w

this authority to BaFin by way of a statutory order. Part 3 Inspection of CRR credit institutions by statutory compensation schemes Section 34 Obligation for CRR credit institutions to provide ... information (1) The CRR credit institutions shall, without undue delay, submit to the statutory compensation scheme to which they are assigned their adopted annual financial statements together with the associated ... that the compensation scheme needs to perform its functions under this Act. (2) The CRR credit institutions shall inform the compensation scheme of any significant change in their business model

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381442.pdf

EFTA01372632Set 10

1p611w

issued. Chapter 5 Cooperation with other deposit guarantee schemes Section 56 Branches of domestic CRR credit institutions in another state of the European Economic Area (1) A deposit guarantee scheme ... shall protect the deposits of a branch of a member CRR credit institution in another state of the European Economic Area. To enable investors to be compensated by the deposit ... safeguard the effective exchange of information with other deposit guarantee schemes, their member CRR credit institutions, supervisory authorities and with other agencies on a cross-border basis, where appropriate

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372632.pdf

EFTA01372627Set 10

1p592w

powers under this Act, and in particular they shall collect the contributions of the CRR credit institutions that have been assigned to them, they shall invest the funds as provided ... compensation event occurs, they shall compensate the creditors of a CRR credit institution that has been assigned to them for deposits that have not been repaid. (2) Statutory compensation schemes ... such a compensation scheme is liquidated or wound up. Section 24 Assignment of CRR credit institutions to a statutory compensation scheme (1) One of the following groups of institutions shall

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372627.pdf

EFTA01381446Set 10

1p611w

issued. Chapter 5 Cooperation with other deposit guarantee schemes Section 56 Branches of domestic CRR credit institutions in another state of the European Economic Area (1) A deposit guarantee scheme ... shall protect the deposits of a branch of a member CRR credit institution in another state of the European Economic Area. To enable investors to be compensated by the deposit ... safeguard the effective exchange of information with other deposit guarantee schemes, their member CRR credit institutions, supervisory authorities and with other agencies on a cross-border basis, where appropriate

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381446.pdf

EFTA01372624Set 10

1p460w

event within the meaning of this Act occurs if BaFin determines that 1. a CRR credit institution is unable for the time being, for reasons that are directly related ... financial circumstances, to repay deposits that are due and 2. the CRR credit institution has no current prospect of being able to do so. (2) BaFin shall determine that ... event no later than five working days after becoming aware that a CRR credit institution is unable to repay deposits that are due. It shall also determine that a compensation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372624.pdf

EFTA01381436Set 10

1p460w

event within the meaning of this Act occurs if BaFin determines that 1. a CRR credit institution is unable for the time being, for reasons that are directly related ... financial circumstances, to repay deposits that are due and 2. the CRR credit institution has no current prospect of being able to do so. (2) BaFin shall determine that ... event no later than five working days after becoming aware that a CRR credit institution is unable to repay deposits that are due. It shall also determine that a compensation

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381436.pdf

EFTA01381438Set 10

1p540w

available financial means shall be raised by contributions to be made by the CRR credit institutions that are members of the deposit guarantee scheme as provided for under this ... obligation of the CRR credit institutions to make contributions shall not prevent additional financing of a deposit guarantee scheme from other sources. (2) Contributions to deposit guarantee schemes shall ... based on the amount of covered deposits of the CRR credit institutions that are members of the deposit guarantee scheme and the degree of risk incurred by the respective CRR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381438.pdf

EFTA01372618Set 10

1p316w

Section 34 Obligation for CRR credit institutions to provide information Section 35 Inspections of CRR credit institutions Section 36 Performance of inspections Section 37 Report on the results of inspections ... Section 38 Costs of inspections; costs of the compensation procedure Section 39 Obligation of CRR credit institutions to report on rectified deficiencies Section 40 Notification of BaFin Part 4 Exclusion ... legal consequences Part 2 Minimum requirements for the articles of association; withdrawal of a CRR credit institution from a recognised institutional protection scheme Section 47 Requirements for the articles

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372618.pdf

EFTA01372626Set 10

1p540w

available financial means shall be raised by contributions to be made by the CRR credit institutions that are members of the deposit guarantee scheme as provided for under this ... obligation of the CRR credit institutions to make contributions shall not prevent additional financing of a deposit guarantee scheme from other sources. (2) Contributions to deposit guarantee schemes shall ... based on the amount of covered deposits of the CRR credit institutions that are members of the deposit guarantee scheme and the degree of risk incurred by the respective CRR

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372626.pdf