Epstein File EFTA01399167: Solicitation and Perform (DS10)

Epstein Index›Documents›EFTA01399167

💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01399167: Solicitation and Perform (DS10)

General DocumentDate unavailableEFTA013991671 keyword hits

0

views

0

shares

0

reactions

0

persons

2

keywords

4

excerpts

This document describes an automated exception report and testing procedures related to brokerage account servicing and compliance. The excerpt references reverse solicitation requirements, Know Your Customer (KYC) approval processes, database field updates, and EEA (Epstein Entity Account) determination and classification testing. The document appears to be an internal compliance or audit report detailing procedures performed on selected records.

👤 Named in This Document

No named persons linked yet

🔑 Evidence Keywords

solicitation perform

📋 Key Excerpts4

PersonKeyword

Excerpt 1

Exception Report Description: Daily automated report distributed to Middle Office to ensure that EEA brokerage accounts are only serviced on a reverse **solicitation**

Excerpt 2

The following testing was performed for the selected record: Confirm if KYC was approved Confirm if EEA fields were updated in dbForce Confirm reverse **solicitation**

Excerpt 3

A sample was selected to perform the following testing: EEA determination EEA classification/tracking Confirmation of reverse **solicitation**, if required