EFTA01079462Set 9
2016-03-3043p14,322w
sent to the client simultaneously with the transmittal of the payment instructions to the
custodian. Some clients prefer to make direct payment after being issued an invoice.
Affiliated Funds generally ... asset classes and includes review
of information about their service providers such as auditors, custodians, administrators and
the like.
Investment Risk Factors
Investing in securities and other assets involves ... Item 15, Rockefeller & Co.
has engaged its affiliate, RTC, to serve as qualified custodian for the limited purpose of
receiving and depositing into client accounts at third party qualified custodians
https://www.justice.gov/epstein/files/DataSet%209/EFTA01079462.pdf
location of the custodian's office responsible for custody of the private fund's assets (city, state and country):
City: State: Country:
NEW YORK New York United States ... custodian a related person of your firm? r a
(f) If the custodian is a broker-dealer, provide its SEC registration number (if any)
8 - 41342
CRD Number ... respond to questions (b) through (f) below for each custodian the private fund uses. If the private fund uses
more than one custodian, you must complete questions (b) through
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358737.pdf
EFTA00286421Set 9
44p14,595w
accounts, or (ii) a related person maintains client funds or securities as a qualified custodian but
you have overcome the presumption that you are not operationally independent (pursuant to
Advisers ... Number of Clients
(a)$ 2661053956 (b) 14
If your related person serves as qualified custodian of client assets, do not include the amount of
those assets and the number ... client funds or securities, check all the following
that apply:
(1) A qualified custodian(s) sends account statements at least quarterly to the investors in r
the pooled investment vehicle
https://www.justice.gov/epstein/files/DataSet%209/EFTA00286421.pdf
Group Capital Paul Barrett
Custody Risk
There are risks involved in dealing with the custodians or prime brokers who settle Partnership
trades. The Partnership maintains accounts with Morgan Stanley ... Morgan Stanley),
and Credit Suisse Securities (USA) LLC ("Credit Suisse"), its prime brokers and custodians (the "Prime
Brokers"). In addition, the Partnership also maintains back-up custodial arrangements with Morgan ... Bank of New York Mellon, an
affiliate of the Administrator (together, the "Custodians"). Although the Investment Manager monitors the
Prime Brokers and the Custodians and believes that they are appropriate
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386192.pdf
EFTA02690010Set 11
2007-02-1326p14,123w
General Partner and the members of its board of managers, the initiators, the Custodian, the domiciliary
agent of the Company, the administrative agent of the Company and their affiliates, officers ... beneficiary.
0095739-O0000041U:4297160.6 22
EFTA_R1_02029780
EFTA02690031
27. ARTICLE 27. - CUSTODIAN
27.1 The Company shall enter into a custodian bank agreement with a bank or savings institution which ... shall satisfy
the requirements of the 2007 Act (the Custodian) who shall assume towards the Company and its shareholders
the responsibilities provided by the 2007 Act. The fees payable
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02690010.pdf
EFTA00295515Set 9
2018-03-1627p14,283w
spreads, mark-ups, interest on margin borrowing, costs relating to short sales,
transfer taxes, custodian fees, etc.); (E) all costs of protecting or preserving any investment held by the
Partnership ... various exchanges (domestic and
foreign) and may be cleared and settled through various clearinghouses, custodians, depositories and
brokers throughout the world. Although the Partnership will attempt to execute, clear ... extent possible, the Partnership's securities will be entrusted to a qualified custodian. The
Partnership's obligations to that firm and any other custodian are secured by a first priority
https://www.justice.gov/epstein/files/DataSet%209/EFTA00295515.pdf
EFTA01660193Set 10
2007-09-19162p27,873w
that routine business
records may be admitted at trial through the declaration of a custodian, if they are provided
sufficiently in advance of trial to allow an opportunity ... EFTA01660211
APPENDIX A
DOCUMENT INVENTORY
The documents submitted are as follows:
Signature of Records Custodian:
EFTA01660212
,,p
U,fl&d States District ourt
SOUTHERN DISTRICT OF FLORIDA
TO: SUBPOENA ... that routine business
records may be admitted at trial through the declaration of a custodian, if they are provided
sufficiently in advance of trial to allow an opportunity
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01660193.pdf
EFTA00806065Set 9
2018-04-0829p11,132w
otherwise may be required by
applicable law, rule or regulation.
(s) Nominees and Custodians. The Investor shall promptly notify the General
Partner in writing (which shall be acknowledged ... General Partner in writing) if the
Investor is acting as nominee, custodian or other type of agent (whether disclosed or
undisclosed). If the undersigned is acting as nominee or custodian ... person, entity or
other organization for which the undersigned is acting as nominee or custodian. Without
limiting the generality of the foregoing, the representations and warranties regarding the status
https://www.justice.gov/epstein/files/DataSet%209/EFTA00806065.pdf