Epstein Files Search

EFTA01399077Set 10

2018-01-0370p4,378w

establishment and citizenship are irrelevant to determine EEA clients/accounts. 7 EFTA01399084 Reverse Solicitation Controls (Excl Germany) 8 Control Name Control Details 1. New EEA Leads / Prospects RM Team completes ... establishment and citizenship are irrelevant to determine EEA clients/accounts. 9 EFTA01399086 Reverse Solicitation Controls (Excl Germany) 10 Control Name Control Details 2. New Accounts BM to obtain/coordinate approvals from Regional ... and/or service? (2) Account Opening Review Groups by Account Type: EFTA01399087 Reverse Solicitation Controls (Excl Germany) 11 3. Transaction Level — Additional Funds to an existing account table: A Cross Border

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399077.pdf

EFTA01356555Set 10

2019-04-301p360w

Date 2019-04-30 Regulator / Auditor NA. Finding Title MIFID II - Remaining EEA Countries (Excl Germany & UK) Corporate GEMS / Finding Division of WM Americas reference ■ Resolution WI Finding Owner ?-, Sign

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356555.pdf

EFTA01399167Set 10

3p417w

MIFID II - Remaining EEA Countries (Excl Germany & UK) — Evidence Document Finding ID: GFMS 90-017/2019 #43 (dbTrack2407699) Evidence # 1: Daily Middle Office Exception Report Description: Daily automated report distributed

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399167.pdf

EFTA01356670Set 10

1p278w

MIFID II - Remaining EEA Countries (Excl Germany & UK) — Evidence Document • Finding ID: Evidence # 1: Daily Middle Office Exception Report • Description: Daily automated report distributed to Middle Office to ensure that

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356670.pdf

EFTA01356553Set 10

2019-04-121p51w

GFMS 90-017/2019 #43 (dbTrack2407699) Finding Title: MIFID II - Remaining EEA Countries (Excl Germany & UK) Finding Owner: Karen Cohen Document Author: Sylvia Escobar Document Date: 04/12/2019 Fa internal

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356553.pdf

EFTA01356551Set 10

2019-04-111p344w

Hart CC: Julie Cataudella ; Karen Cohen Subject: SII Closure: MIFID II - Remaining EEA Countries (Excl Germany r UK FM 17/2019 #43 (dbTrack2407699) Attachments: Finding Owner Closure Pack Template 04.12.2019.docx

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356551.pdf