Epstein File EFTA01401031: Client and Deleted (DS10)

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Epstein File EFTA01401031: Client and Deleted (DS10)

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This document is an email dated March 12, 2014, from Amanda Kirby to Vahe Stepanian regarding Private Client Services through Deutsche Bank's Alex Brown division. The email discusses client classification requirements, specifically whether clients are Financial Counter-parties or Non-Financial Counter-parties (NFC+/NFC-), with references to EMIR Regulation Protocol and derivative classifications. Multiple attachments, including 'DB Wealth - DF Protocol Amendment No 1 Final 10.29.13.pdf' and 'EMIR Regulation Protocol Instruction Deck.pdf,' were deleted by Amanda Kirby.

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Excerpt 1

Subject: Re: Fw: Request ID **Private **Client** Services (PWM - Alex Brown) *** [I ] From: Amanda Kirby Date: Wed, 12 Mar 2014 14:59:11 -0400 To: Vahe Stepanian

Excerpt 2

These sections request the **client** to specify whether they Are or Are Not a Financial Counter-party. This is of great importance.

Excerpt 3

Please highlight this to **client**. ii) If a **client** classifies as an "NFC", they are subdivided again into NFC+ and NFC-, based on outstanding derivative