Epstein File EFTA01363003: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01363003: Document from Set 10 (DS10)

Financial RecordDate unavailableEFTA013630030 keyword hits

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This document is an internal compliance note regarding an OTC derivative product trade booked on April 13, 2018, with Trade ID G175714L and Summit Code SOUTHFINANMD. The note identifies a Know Your Customer (KYC) violation, specifically that the client was not adopted for the Frankfurt location, and requests confirmation to obtain missing documents from the client or business as required by Frankfurt location procedures.

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client

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PersonKeyword

Excerpt 1

been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 **Client**

Excerpt 2

We have observed that the **client** is not adopted for Frankfurt location, which results in a KYC violation.

Excerpt 3

Upon your confirmation, we will review the **client** and would request the missing documents to be obtained from the **client**/business as per Frankfurt location