EFTA01103701Set 9
2014-11-0389p57,380w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenovc is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... FINRA. SIPC and the NFA. JPMorgan Chase Bank, N.A. is a member of FDIC. U.K.: JPMorgan Chase N.A., London
Branch. is authorised by the Prudential Regulation Authority and is subject
https://www.justice.gov/epstein/files/DataSet%209/EFTA01103701.pdf
EFTA00161670Set 9
2019-08-028p5,444w
Morning Risk Report: UniCredit Investigating Data Breach
(lutp://createsend.com/t/d-6241A FEDED?inod=article
U.K. Regulator Fines KPMG for BNY Mellon Reports
(https://vmw.wsj.comfarticles/u-k-regulator-fines-kpmg-for-bny-inellon-reports-1156468,r66)
DOJ, SEC investigating commercial printing company ... replaced by Gavin Hattersley, who
currently serves as CEO of Molson's U.S. subsidiary.
U.K. Regulator Fines KPMG for BNY Mellon Reports
By Nina Trentmann
The U.K.'s Financial Reporting ... according to
the regulator.
The FRC, which oversees audit and accounting firms in the U.K., fined KPMG £5 million and issued a reprimand. The fine was
discounted to £3.5 million
https://www.justice.gov/epstein/files/DataSet%209/EFTA00161670.pdf
EFTA01840698Set 10
2012-03-1333p7,779w
country
called `Europe.'"
I ask him if he can imagine the U.K. ultimately leaving the EU.
He bridles: "I don't think that will happen, because Britain has
already made ... Fiscal Studies, the planned cuts are on a
scale not seen in the U.K. since World War II.
Even before most of the cuts take effect, however, the British
EFTA ... reducing the
deficit has been negligible. Last month Moody's threatened to
strip the U.K. of its AAA status.
From an American vantage point, this is worrying. For
regardless
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01840698.pdf
EFTA02036600Set 10
2012-03-1333p7,781w
country
called `Europe.'"
I ask him if he can imagine the U.K. ultimately leaving the EU.
He bridles: "I don't think that will happen, because Britain has
already made ... Fiscal Studies, the planned cuts are on a
scale not seen in the U.K. since World War II.
Even before most of the cuts take effect, however, the British
EFTA ... reducing the
deficit has been negligible. Last month Moody's threatened to
strip the U.K. of its AAA status.
From an American vantage point, this is worrying. For
regardless
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02036600.pdf
EFTA00629696Set 9
2016-06-214p1,052w
list is not exhaustive and
contains some best practice compliance suggestions.
lyra.)fl11
U.S. & U.K. FATCA - Due Diligence. In general, all financial accounts (including
interests in investment entities) that were ... June 30, 2014 have been classified as "pre-existing accounts" for U.S.
and U.K. FATCA purposes. The due diligence requirements with respect to these pre-
existing accounts have been phased ... quarterly reports from
access persons for their personal securities transactions.
August 10 2016
U.S. & U.K. FATCA - Notification. In general, the Cayman Islands' U.S. and U.K.
FATCA Regulations require the Cayman
https://www.justice.gov/epstein/files/DataSet%209/EFTA00629696.pdf
EFTA00301317Set 9
2014-06-1818p8,334w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINRA, SIPC and the NFA. JPMorgan Chase Bank. N.A. is a member ofFDIC. U.K.: JPMorgan Chase N.A.. London
Branch. is authorised by the Prudential Regulation Authority
https://www.justice.gov/epstein/files/DataSet%209/EFTA00301317.pdf
EFTA00306883Set 9
2014-06-027p4,747w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide... Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINFtA, SIPC and the NFA. JPMorgan Chase Bank. M. is a member ofFDIC. U.K.: JPMorgan Chase M.. London
Branch, is authorised by the Prudential Regulation Authority
https://www.justice.gov/epstein/files/DataSet%209/EFTA00306883.pdf
EFTA00300337Set 9
2014-05-229p5,425w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... FINRA. SIPC and the NFA. JPMorgan Chase Bank, N.A. is a member of FDIC. U.K.: JPMorgan Chase N.A., London
Branch, is authorised by the Prudential Regulation Authority and is subject
https://www.justice.gov/epstein/files/DataSet%209/EFTA00300337.pdf
EFTA00627766Set 9
2011-03-222p534w
Peter Mandelson
Subject:
Bank Leumi Wins $19 Million U.K. Ruling Over
Wachner Trades
By Erik Larson - Mar 22, 2011 6:09 PM GMT
Bank Leumi Le-Israel Ltd., the country ... biggest lender, won a U.K. lawsuit against ex-New York Stock
Exchange board member Linda Joy Wachner over 13.4 million euros ($19 million) she lost in foreign-exchange
trades.
Wachner ... must repay the bank's U.K. unit what she lost in 2008 through dollar-euro transactions that went
"disastrously wrong," Justice Julian Flaux ruled today in the High Court
https://www.justice.gov/epstein/files/DataSet%209/EFTA00627766.pdf
EFTA01148966Set 9
2013-12-1221p10,165w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINRA, SIPC and the NFA. JPMorgan Chase Bank, N.A. is a member ofFDIC. U.K.: JPMorgan Chase N.A.. London
Branch. is authorised by the Prudential Regulation Authority
https://www.justice.gov/epstein/files/DataSet%209/EFTA01148966.pdf
EFTA00598930Set 9
2015-10-025p4,184w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. •
Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINFtA, SIPC and the NFA. JPMorgan Chase Bank, M. is a member ofFDIC. U.K.: JPMorgan Chase M. London
Branch, is authorised by the Prudential Regulation Authority and is subject
https://www.justice.gov/epstein/files/DataSet%209/EFTA00598930.pdf
EFTA00293648Set 9
2014-04-249p5,579w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINRA, SIPC and the NFA. JPMorgan Chase Bank. N.A. is a member ofFDIC. U.K.: JPMorgan Chase N.A., London
Branch. is authorised by the Prudential Regulation Authority and is subject
https://www.justice.gov/epstein/files/DataSet%209/EFTA00293648.pdf
EFTA00295400Set 9
2014-05-0819p10,768w
designation is not a
recommendation or a rating. In our Asia (ex-Australia) and U.K. small- and mid-cap equity research, each stock's expected total return is
compared ... JPMS") and its affiliates worldwide. J.P. Morgan Cazenove is a marketing
name for the U.K. investment banking businesses and EMEA cash equities and equity research businesses of JPMorgan Chase ... NYSE, FINRA, SIPC and the NFA. JPMorgan Chase Bank. N.A. is a member ofFDIC. U.K.: JPMorgan Chase N.A.. London
Branch. is authorised by the Prudential Regulation Authority
https://www.justice.gov/epstein/files/DataSet%209/EFTA00295400.pdf