Epstein File EFTA01356672: Appointment, Professional and Classified (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356672: Appointment, Professional and Classified (DS10)

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This document is an email dated February 13, 2019, from Victoria Bruce to multiple recipients including Funda Bozkurt, Thomas Klemm, and Kimberly Hart, discussing professional classification requirements under MIFID II regulations for derivative transactions and client population identification. The email addresses remediation procedures for financial compliance purposes.

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appointment professional classified client

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Excerpt 1

Email Original **Appointment** From: Victoria Bruce Sent: Wednesday, February 13, 2019 3:16 PM To: Victoria Bruce; Funda Bozkurt; Thomas Klemm; Kimberly Hart

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include but not limited to - 1- Identifying client population that has derivative transactions need to be classified as per MIFID II. 2- creating an opt up **professional**

Excerpt 3

Remediation should include but not limited to - 1- Identifying client population that has derivative transactions need to be **classified** as per MIFID II