💨IMPACT LEVEL 1 — MEH
Epstein File EFTA01384734: Professional and Nominee (DS10)
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This document outlines compliance procedures for entities introducing nominee accounts, including different requirements based on regulatory status and jurisdiction risk levels.
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Excerpt 1
For a Regulated Entity introducing **nominee** accounts, complete APPENDIX I if the investor is:
i. being introduced by an entity regulated for AML purposes
Excerpt 2
For an entity introducing **nominee** accounts which are located in a Medium Risk jurisdictions or is not
directly regulated for AML purposes, complete APPENDIX
Excerpt 3
For a SEC registered entity introducing **nominee** accounts complete APPENDIX I if the investor is being
introduced by a SEC registered investment advisor
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