""the EEA Client Type"" — Epstein Files Search

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14 results for “"the EEA Client Type"”

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EFTA01399156Set 10

2018-06-125p1,283w

account, Please check if marked as EEA in Dbforce on customer page (EEA Client type = "Retail or "Professional") and EEA country If EEA country is Germany, proceed with existing requirements ... receives re-opening request and client falls under EEA regulation (EEA Client Type = Retail, EEA Country except Germany) then check if the EEA form already exists. If so, Please provide ... from EEA as list shared mentioned above, and also at the customer page EEA client type should be Retail, only then the process UCITS Undertakings for Collective Investments in Transferable

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

EFTA01356576Set 10

2018-06-121p195w

receives re-opening request and client falls under EEA regulation (EEA Client Type = Retail, EEA Country except Germany) then check if the EEA form already exists. If so, Please provide

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356576.pdf

EFTA01356575Set 10

account, Please check if marked as EEA in Dbforce on customer page (EEA Client type = "Retail or "Professional") and EEA country. If EEA country is Germany, proceed with existing requirements

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356575.pdf

EFTA01356626Set 10

required) g. In case of Custody account : 1. For German clients, when EEA client type is "Retail" then only Accommodation Sell trades are permitted via US WM moreover TAG will ... client name" on "Date" at "Time" 2. For Non-German clients, when EEA client type is "Retail" then Buy/Sell of stocks and bonds are permitted. Bill Payments Process Overview

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356626.pdf

EFTA01356619Set 10

global plus. • In case of Custody accounts : I. For German clients, whenever EEA client type is retail, only Accommodation Sell trades are permitted via US WM moreover as an interim ... Germany, DVP trade can be executed. • 2. For Non-German Client, whenever EEA client type is retail, MutuaVHedge funds- Buy is not permissible, only Sell. Free Receipt Security to Global

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356619.pdf

EFTA01428839Set 10

2013-05-2813p1,643w

Client Since Date Former Client? Portfolio Management Team Covenant Contact Preference Recycle Bin EEA Client Type N/A 8/26/2013 Risk Type Volcker Covered Fund? No Will Appointment Gross Estate * Booking Location

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01428839.pdf

EFTA01362798Set 10

2013-04-181p182w

Volcker Covered Fund? Portfolio AIF N/A Management Team Covenant Contact Will Appointment Preference EEA Client Type N/A Gross Estate EEA Country(ies) * Booking Location Dispensation Switzerland Last KYC-approved Form

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362798.pdf

EFTA01363783Set 10

2013-04-181p180w

Volcker Covered Fund? Portfolio AIF N/A Management Team Covenant Contact Will Appointment Preference EEA Client Type N/A Gross Estate EEA Country(ies) * Booking Location Dispensation Switzerland Last KYC-approved Form

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01363783.pdf

EFTA01408564Set 10

2019-01-108p791w

Trust Murray. Daniel MIA Code Description Risk Suiubillty Sensitivity 0 Risk Suitability Override EEA Client Type N/A EEA Countrylles) Trust Administrator Investment Advisor Agent Name Agent Phone t Daniel Murray

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01408564.pdf

EFTA01356579Set 10

Contact Name. iv) On Contact Page click on Customer Name. v) Check the EEA Client Type and EEA ccowoblziftgaj— if any of these fields are coded the appropriate EEA form

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356579.pdf

EFTA01356569Set 10

customer is deemed as EEA customer, ABR/AFC will update the 'EEA Client Type" field of the customer profile by selecting "Retail", and the EEA Country field should be updated accordingly

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356569.pdf

EFTA01427380Set 10

2017-02-277p691w

Opened Lien Type MIA Code Description Risk Suitability Sensitivity Risk Suitability Override 0 EEA Client Type N/A Market Value Market Value Loan Facility Recycle Bin Loan Facility Purpose Code Loan

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01427380.pdf

EFTA01356642Set 10

EEA Client Type : Retail then TAG will check Two form(Cash management authorization form and KIID from) must be attached to the case . In CASH Management authorization If Banker

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356642.pdf

EFTA01356640Set 10

should look for approval from Business Management (Lisa Combatti/ Jennifer Barker). Note : If "EEA client type is Retail" then "Investment management service Designation" cannot be changed from "Discretionary

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356640.pdf

Corpus: 1990-03-17 – 2025-12-01

June 2018

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Results by Dataset14 total

Set 10

14