Epstein File EFTA01356571: Solicitation (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356571: Solicitation (DS10)

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This document provides detailed guidelines for handling European Economic Area (EEA) client interactions, emphasizing strict reverse solicitation protocols. It mandates that EEA clients (excluding Germany) must be serviced on a fully reverse solicitation basis, prohibiting any direct recommendations and requiring clients to sign declaration forms documenting the non-solicitation nature of interactions.

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solicitation client

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Excerpt 1

All EEA Clients (excluding Germany) must be serviced on a fully REVERSE SOLICITATION basis. You may not make ANY reccomendations to this customer. 3.

Excerpt 2

All EEA Clients (excluding Germany) must sign the EEA Client Declaration form as evidence of non- solicitation.

Excerpt 3

For each new account opening request, large transactions, and marketing materials, reverse solicitation must be evidenced in a Cross Border Call Note,