Epstein File EFTA01461129: Client and Booking (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01461129: Client and Booking (DS10)

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This document is a compliance memorandum regarding client account management and booking procedures. It outlines that a client may continue conducting trades and transactions in existing accounts without prior Compliance approval, provided the business has determined appropriate risk parameters. The document addresses monitoring requirements for reputational risk associated with the client relationship and describes procedures for opening accounts to facilitate approved booking activities.

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client booking memorandum

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Excerpt 1

The **client** may continue to conduct trades and transactions in existing accounts without Compliance pre- approval, provided that the business has determined

Excerpt 2

In addition, the business will need to monitor for any further developments in connection with the reputational risk of this **client** relationship and to

Excerpt 3

Consistent with this, CB&S may also "open" accounts to facilitate activity as a **booking** matter where the activity has already been approved in AWM. 3.