Epstein Files Search

EFTA01415518Set 10

2010-07-21102p31,053w

owner must report an investment in Notes for financial reporting purposes. Impact of the Volcker Rule on the Liquidity of the Notes. Section 619 of EFTA01415520 Dodd-Frank Act added ... with the final regulations with respect thereto adopted on December 10, 2013) as the Volcker Rule to federal banking laws to generally prohibit various covered banking entities from engaging ... exempt from registration under the Investment Company Act), subject to certain exemptions. The Volcker Rule also provides for certain supervised nonbank financial companies that engage in such activities or have

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01415518.pdf

EFTA01451608Set 10

1p833w

Southern Financial LLC Secondary Opportunities Fund III. LP Rule'. Among other things, the Volcker Rule generally prohibits "banking entities' from sponsoring, or investing in. 'covered funds' except to the extent ... subsidiaries and affiliates (including the Manager) are "banking entities' for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated that the Fund will ... private placement basis and will constitute a 'covered fund' pursuant to the Volcker Rule. As a consequence. the Manager will be required to comply with the requirements

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451608.pdf

EFTA01451998Set 10

1p833w

Southern Financial LLC Secondary Opportunities Fund III. LP Rule'. Among other things, the Volcker Rule generally prohibits "banking entities' from sponsoring, or investing in. 'covered funds' except to the extent ... subsidiaries and affiliates (including the Manager) are "banking entities' for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated that the Fund will ... private placement basis and will constitute a 'covered fund' pursuant to the Volcker Rule. As a consequence. the Manager will be required to comply with the requirements

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451998.pdf

EFTA01451534Set 10

1p568w

established a new section 13 of the BHC Act, commonly referred to as the "Volcker Rule". Among other things, the Volcker Rule generally prohibits "banking entities" from sponsoring, or investing ... Master Fund Manager and Investment Manager) are "banking entities" for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated that the Master Fund ... residents on a private placement basis and will constitute "covered funds" pursuant to the Volcker Rule. As a consequence, the Master Fund Manager and the Investment Manager will be required

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451534.pdf

EFTA01451909Set 10

1p568w

established a new section 13 of the BHC Act, commonly referred to as the "Volcker Rule". Among other things, the Volcker Rule generally prohibits "banking entities" from sponsoring, or investing ... Master Fund Manager and Investment Manager) are "banking entities" for purposes of the Volcker Rule and, therefore, subject to its requirements. In addition, it is anticipated that the Master Fund ... residents on a private placement basis and will constitute "covered funds" pursuant to the Volcker Rule. As a consequence, the Master Fund Manager and the Investment Manager will be required

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451909.pdf

EFTA00236853Set 9

2013-09-23258p118,414w

MEMORANDUM NO: ALPHAKEYS MILLENNIUM FUND, L.L.C. PURSUANT TO AN EXEMPTION FROM THE CFTC IN CONNECTION

https://www.justice.gov/epstein/files/DataSet%209/EFTA00236853.pdf

EFTA00237816Set 9

2013-09-23258p118,420w

MEMORANDUM NO: ALPHAKEYS MILLENNIUM FUND, L.L.C. PURSUANT TO AN EXEMPTION FROM THE CFTC IN CONNECTION

https://www.justice.gov/epstein/files/DataSet%209/EFTA00237816.pdf

EFTA01451828Set 10

1p570w

offering memorandum. which will be made available to prospective qualified investors on request. Volcker Rule. The Fund. the manager of the Fund and the general partners of the Fund ... Bank Holding Company Act. Within the Bank Holding Company Act there is the Volcker rule which imposes restnctions on covered funds (including the Fund) for which the implementing rules ... exhaustive discussion of the potential risks the Dodd-Frank Act and the Volcker Rule pose for Deutsche Bank. the Fund, Deutsche Asset 8 Wealth Management and the investors. The full

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451828.pdf

EFTA01452291Set 10

1p569w

offering memorandum. which will be made available to prospective qualified investors on request. Volcker Rule. The Fund. the manager of the Fund and the general partners of the Fund ... Bank Holding Company Act. Within the Bank Holding Company Act there is the Volcker rule which imposes restnctions on covered funds (including the Fund) for which the implementing rules ... exhaustive discussion of the potential risks the Dodd-Frank Act and the Volcker Rule pose for Deutsche Bank. the Fund, Deutsche Asset 8 Wealth Management and the investors. The full

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452291.pdf

EFTA00604465Set 9

2017-07-0571p34,740w

Regulation VV of the Board of Governors of the U.S. Federal Reserve System (the "Volcker Rule")). The Investor (is) (is not) (please initial one) a "covered fund" (as defined ... Volcker Rule). If the Investor is a "covered fund", please complete each of the following: For purposes of this item, the term "affiliated person" of another person means ... otherwise "organized and offered" by a "banking entity" (each as defined in the Volcker Rule). 2. The Investor (is) (is not) (please initial one) "controlled" (as defined in the Volcker

https://www.justice.gov/epstein/files/DataSet%209/EFTA00604465.pdf

EFTA00803557Set 9

2017-07-0571p34,778w

Regulation VV of the Board of Governors of the U.S. Federal Reserve System (the "Volcker Rule")). The Investor (is) (is not) (please initial one) a "covered fund" (as defined ... Volcker Rule). If the Investor is a "covered fund", please complete each of the following: For purposes of this item, the term "affiliated person" of another person means ... otherwise "organized and offered" by a "banking entity" (each as defined in the Volcker Rule). 2. The Investor (is) (is not) (please initial one) "controlled" (as defined in the Volcker

https://www.justice.gov/epstein/files/DataSet%209/EFTA00803557.pdf

EFTA01451616Set 10

2012-11-291p859w

make an investment in the Fund in accordance with applicable law, including the Volcker Rule). may be subject to the BHC Act. and thus may be required to limit their ... described above, Dodd-Frank Act amended the BHC Act, including by incorporating the Volcker Rule's restrictions and limitations on banking organisations like Deutsche Bank sponsoring and investing in private ... equity funds. Many provisions of the BHC Act, including the Volcker Rule, have yet to be implemented by regulatory agencies, a process that is expected to continue over the next

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451616.pdf

EFTA01452015Set 10

2012-11-291p859w

make an investment in the Fund in accordance with applicable law, including the Volcker Rule). may be subject to the BHC Act. and thus may be required to limit their ... described above, Dodd-Frank Act amended the BHC Act, including by incorporating the Volcker Rule's restrictions and limitations on banking organisations like Deutsche Bank sponsoring and investing in private ... equity funds. Many provisions of the BHC Act, including the Volcker Rule, have yet to be implemented by regulatory agencies, a process that is expected to continue over the next

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01452015.pdf

EFTA01451591Set 10

1p672w

Fund (each an 'Advance"). 0B investment Subject to the ongoing uncertain implications of the Volcker Rule, Deutsche Bank intends to participate directly or indirectly in the Fund's investment programme ... Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank', also known as the 'Volcker Rule'. Please refer to the risk factor entitled 'Dodd-Frank wall Sheet Reform and Consumer ... Protection Act and the Volcker Rule' in Section 8: Risk Factors of this Memorandum for a discussion of potential limitations on the amount of Deutsche Bank's Confidential Private Placement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451591.pdf

EFTA01451978Set 10

1p672w

Fund (each an 'Advance"). 0B investment Subject to the ongoing uncertain implications of the Volcker Rule, Deutsche Bank intends to participate directly or indirectly in the Fund's investment programme ... Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank', also known as the 'Volcker Rule'. Please refer to the risk factor entitled 'Dodd-Frank wall Sheet Reform and Consumer ... Protection Act and the Volcker Rule' in Section 8: Risk Factors of this Memorandum for a discussion of potential limitations on the amount of Deutsche Bank's Confidential Private Placement

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451978.pdf

EFTA01451997Set 10

2010-07-211p870w

borrowers such as the Fund. In addition, as noted below, under the Volcker Rule (defined below), the Fund may be prohibited from borrowing from Deutsche Bank and its affiliates. Dodd ... Frank Wall Street Reform and Consumer Protection Act and the Volcker Rule Deutsche Bank is subject to a broad array of US and German banking laws and regulations ... ongoing analysis following the recent completion of certain aspects of the rulemaking process. Volcker Rule Section 619 of the Dodd-Frank Act established a new section

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451997.pdf

EFTA01451607Set 10

2010-07-211p870w

borrowers such as the Fund. In addition, as noted below, under the Volcker Rule (defined below), the Fund may be prohibited from borrowing from Deutsche Bank and its affiliates. Dodd ... Frank Wall Street Reform and Consumer Protection Act and the Volcker Rule Deutsche Bank is subject to a broad array of US and German banking laws and regulations ... ongoing analysis following the recent completion of certain aspects of the rulemaking process. Volcker Rule Section 619 of the Dodd-Frank Act established a new section

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01451607.pdf

EFTA01386872Set 10

2016-12-241p736w

Frank Act added a provision to federal banking law, commonly referred to as the 'Volcker Rule", which amends the BHCA and, subject to limited exceptions, prohibits banking entities and their ... loan securitization exclusion or for any other exclusion that might be available under the Volcker Rule and its implementing regulations. If the Issuer were determined to be a "covered fund ... with the Issuer. Investors should consult their own legal advisors in determining whether the Volcker Rule would prohibit or restrict them from acquiring an interest in any Preferred Shares

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386872.pdf

EFTA01144466Set 9

2010-07-2115p7,213w

stocks and bonds. Another focused on efforts to hammer out the so-called Volcker Rule, which would limit the ability of federally insured banks to wager on risky ventures ... assignments and have finalized only 27 percent of its rules. So while a new Volcker Rule might not have prevented an embarrassment like JPMorgan's "London Whale," the bank probably

https://www.justice.gov/epstein/files/DataSet%209/EFTA01144466.pdf

EFTA01256232Set 9

2010-11-151p337w

Summers calling his plays the loudest. Take, for instance, the debate that surrounded the Volcker rule -- the regulatory reform component that curtailed proprietary trading at U.S. banks and limited their ... funds. As Wolffe reports: [Summers') doubts sat there in the West Wing, blocking the Volcker rule for months. Obama had signaled that he wanted the rule to move forward back

https://www.justice.gov/epstein/files/DataSet%209/EFTA01256232.pdf