Epstein File EFTA01371152: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01371152: Document from Set 10 (DS10)

General DocumentDate unavailableEFTA013711520 keyword hits

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Compliance guidelines document establishing criteria for client event invitations and wealth management activities. The document specifies that invitees should be limited to wealth management clients or prospects and their family members, excludes sensitive counterparts, and requires compliance review when asset transfers between banks or investment changes are pending with the client.

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asset client

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Compliance As long as you are not aware of any potential issues and the **client** meets the below criteria, you can enter them in compliance direct only if

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Criteria: Invitees should be limited to the wealth management **client** (or prospect) and/or their family members No sensitive counterparts (including public

Excerpt 3

to investment type and amount have occurred and decision or action is pending with **client**, or discussion on moving assets from bank x to DB).