Epstein File EFTA01356551: Veronica Escobar, Escobar and Solicitation (DS10)

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⚡IMPACT LEVEL 3 — NOTEWORTHY

Epstein File EFTA01356551: Veronica Escobar, Escobar and Solicitation (DS10)

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This document is an email dated April 11, 2019, from Sylvia Escobar, Vice President of Deutsche Bank Securities Inc., to Kimberly Hart regarding SII Closure and MIFID II compliance for remaining EEA countries. The email involves internal bank communications about regulatory matters.

👤 Named in This Document

Veronica Escobar

🔑 Evidence Keywords

solicitation Deutsche Bank client

📋 Key Excerpts3

PersonKeyword

Excerpt 1

From: Sylvia **Escobar** Sent: 4/11/2019 5:05:01 PM To: Kimberly Hart CC: Julie Cataudella ; Karen Cohen Subject: SII Closure: MIFID II - Remaining EEA Countries

Excerpt 2

Regards, Sylvia / Sylvia **Escobar** Vice President Deutsche Bank Securities Inc.

Excerpt 3

EEA relationships/accounts must always be the result of Reverse **Solicitation** (client exclusively initiates the business rather than the other way around