EFTA01479190Set 10
2015-01-273p930w
membership DBSI
COUNTIF($P$23:$P$55,H6)=10
framework and membership review: annually DBNTC COUNTIF($P$23:$P$55,H7)=6
potential sources of information (not limited ... RICHARD RELATIONSHIP Client Y Tazia Smith PB Paller/Gray Los
Angeles >500mm >50mm 2 Y DBNTC
14 PALMER, GEOFFREY RELATIONSHIP Client n Tazia Smith PB Paller/Gray Los
Angeles >500mm >50mm ... DBNTC 0
15 RONALD BURKLE Client Y Tazia Smith PB Susan Burnett Los Angeles >2bn
>50mm >lmm 2 n DBNTC 0
16 LEE, THOMAS H. RELATIONSHIP Client n Tazia Smith
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01479190.pdf
EFTA01399077Set 10
2018-01-0370p4,378w
Third Country Firms:
In order for third country firms (e.g. DBSI, DBTCA, DBNTC and DBTCNA) to
actively target and/or solicit investment services into the EEA, they must
comply with local ... license/branch) and
MiFID II requirements (effective January 3, 2018).
Do's
DBSI, DBTCA, DBNTC and DBTCNA are permitted to provide investment services
(on a case by case basis ... exclusive initiative of the client
("reverse solicitation").
Don'ts
DBSI, DBTCA, DBNTC and DBTCNA employees are prohibited from soliciting
clients or potential clients or promoting or advertising investment services
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399077.pdf