Epstein File EFTA01372615: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01372615: Document from Set 10 (DS10)

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This document contains appendices related to legal entity scope and customer information for a financial services firm, dated December 8, 2016. It includes a client list as of that date, information on excluded counterparties, and a new customer deposit information sheet template from after July 3, 2015. The document appears to be internal compliance or administrative documentation related to client account management.

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client

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PersonKeyword

Excerpt 1

Appendix 1- - Legal Entity Scope -- X Legal Entity Scope v1.0.xlsx Appendix 2 - Customers Excluded W Counterparties Out Of Scope for EinSiG Appendix 3 - " **Client**

Excerpt 2

List (as of December 8th 2016) x EinSiG **Client** List 08122016 FINAL.xisx Appendix 4 - New Customer Deposit Information Sheet (Post 3rd July 2015) PDF DIS