""the "PRIIPs Regulation"" — Epstein Files Search

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16 results for “"the "PRIIPs Regulation"”

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EFTA01433968Set 10

2018-02-06316p79,179w

Retention Rules" below. Confidential February 2018 EFTA01433978 RIN II - 094 Alpha Group Capital LLC PRIIPS Regulation / Prohibition on Sales to EEA Retail Investors The Preferred Shares are not intended ... Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Refinancing Securities or otherwise making them available to retail ... them available to any retail investor in the EEA may be unlawful under the PRIIPS Regulation. MiFID II product governance / Professional investors and ECPs only target market Solely

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01433968.pdf

EFTA01386809Set 10

Alpha Group Capital LLC PRIIPS Regulation / Prohibition on Sales to EEA Retail Investors The Preferred Shares are not intended to be offered, sold or otherwise made available to and should ... Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Refinancing Securities or otherwise making them available to retail ... them available to any retail investor in the EEA may be unlawful under the PRIIPS Regulation. MiFID II product governance / Professional investors and ECPs only target market Solely

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386809.pdf

EFTA01385723Set 10

2017-12-181p242w

PRIIPs Client Notification (I) Classification: For inbmal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Stewart Oldfield < Cc: Cynthia Rodriguez >; Bradley Gillin < Subject: PRIIPs Client Notification Ill Classification: For Internal use only Hello, Below is list of clients identified by the WM Regulatory team ... clients, hence in scope of the Packaged Retail Investment Product andInsurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01385723.pdf

EFTA01416461Set 10

2017-12-186p574w

PRIIPs Client Notification [I] Classification: For internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Stewart Oldfield ‹ > EFTA01416464 Cc: Cynthia Rodri ; Bradley Gitlin Subject: PRIIPs Client Notification [I] Classification: For internal use only Hello, Below is list of clients identified by the WM Regulatory team ... hence in scope of the Packaged Retail Investment Product and Insurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01416461.pdf

EFTA01385179Set 10

2017-12-181p269w

PRIIPs Client Notification [I) Classification: For Internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Stewart Oldfield <stewart.oldfield®db.com> Cc: Cynthia Rodriguez <cynthia.rodriguez(thdb.com>- Bradley Gitlin <bradlev.gillin@db.com> Subject: PRIIPs Client Notification Ill Classification: For Internal use only Hello, Below is list of clients identified ... hence in scope of the Packaged Retail Investment Product and Insurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01385179.pdf

EFTA01432660Set 10

2017-12-187p663w

PRIIPs Client Notification [I] Classification: For internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Stewart Oldfield Cc: Cynthia Rodrigueza; Bradley Gillin Subject: PRIIPs Client Notification [I] Classification: For internal use only Hello, Below is list of clients identified by the WM Regulatory team ... scope of the Packaged Retail Investment Product and EFTA01432664 Insurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01432660.pdf

EFTA01420322Set 10

2017-12-184p357w

PRIIPs Client Notification [I] EFTA01420322 Classification: For internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Sent: Monday, December 18, 2017 10:53 AM To: Stewart Oldfield Bradley Gitlin Subject: PRIIPs Client Notification [I] EFTA01420323 Classification: For internal use only Hello, Below is list of clients ... hence in scope of the Packaged Retail Investment Product and Insurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01420322.pdf

EFTA01374278Set 10

2017-12-181p196w

clients, hence in scope of the Packaged Retail Investment Product andInsurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374278.pdf

EFTA01418084Set 10

2017-12-182p215w

hence in scope of the Packaged Retail Investment Product and Insurance-based Investment Product (PRIIPs) Regulation. Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01418084.pdf

EFTA01420232Set 10

2017-12-186p542w

PRIIPs lent 1oti ication Classification: For internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated ... Stewart Oldfield Cc: Cynthia Rodriquez Bradley Gitlin Subject: PRIIPs Client Notification [I] Classification: For internal use only Hello, Below is list of clients identified by the WM Regulatory team ... hence in scope of the Packaged Retail Investment Product and Insurance-based Investment Product (PRIIPs) Regulation. EFTA01420235 Clients will be informed of the PRIIPs regulation, which goes live on January

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01420232.pdf

EFTA00796744Set 9

2019-03-07114p64,823w

behalf of any Stabilizing Managers) in accordance with all applicable laws and rules. PRIIPs Regulation/Prospectus Directive/Prohibition of Sales to EEA Retail Investors The Depositary Shares are not intended ... Consequently no key information document required by Regulation (EU) No 1286/2014 (as amended, the "PRIIPs Regulation") for offering or selling the Depositary Shares or otherwise making them available to retail ... them available to any retail investor in the EEA may be unlawful under the PRIIPs Regulation. This prospectus supplement and the accompanying prospectus have been prepared on the basis that

https://www.justice.gov/epstein/files/DataSet%209/EFTA00796744.pdf

EFTA01371333Set 10

2017-12-181p199w

PRIIPs Client Notification [I) Classification: For Internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371333.pdf

EFTA01374277Set 10

2017-12-181p170w

PRIIPs Client Notification [I] Classification: For Internal use only Hi Anna, This entity is a trust set up by Jeffrey Epstein, residing in USVI. This trust is regulated

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374277.pdf

EFTA01399156Set 10

2018-06-125p1,283w

Financial Instruments Directive) Introduction - MIFID II is a package of EU legislation, which regulates firms who provide services to clients linked to financial instruments and the venues where those instruments ... Discretionary as the case needs to be rejected by WM NOC AOG. MIFID II & PRIIPs DPM Control: Important Points: Even if German client is opening a Discretionary account, the supplement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399156.pdf

EFTA01356577Set 10

MIFID II is a package of EU legislation, which regulates firms who provide services to clients linked to financial instruments and the venues where those instruments are traded. Checklist ... Discretionary as the case needs to be rejected by WM NOC AOG. MIFID II & PRIIPs DPM Control: For internal use only CONFIDENTIAL - PURSUANT TO FED. R. CRIM

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356577.pdf

EFTA01399150Set 10

MIFID II & EEA Domiciled Clients The MiFID II (Markets in Financial Instruments Directive) regulation seeks to improve the competitiveness of EU financial markets by creating a single market for investment ... purchase retail instruments in the US for which no Key Information Documents under PRIIPs are available. The attached KOP below defines the process that must be followed to categorize clients

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399150.pdf

Corpus: 1990-03-17 – 2025-12-01

February 2018

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Results by Dataset16 total

Set 9

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Set 10

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