Epstein File EFTA01356555: Solicitation and Documentary (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356555: Solicitation and Documentary (DS10)

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This document discusses compliance procedures for European Economic Area (EEA) clients and wealth management accounts, specifically addressing reverse solicitation requirements under MIFID II regulations. The document outlines requirements for capturing reverse solicitation documentary evidence through banker's attestations or client declaration forms, and specifies that US wealth management must ensure such documentation is available for retained accounts while other accounts must be exited.

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🔑 Evidence Keywords

solicitation documentary client

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Excerpt 1

For remaining EEA countries excluding UK, as long as clients are serviced on a reverse **solicitation** basis no MIFID Il requirements need to be implemented

Excerpt 2

US WM needs to ensure we have reverse **solicitation** documentary evidence available for retained accounts; all other accounts must be exited.

Excerpt 3

EEA retain accounts/remediation - Implement process/controls to capture reverse **solicitation** evidence (banker's attestation or EEA client declaration form