Epstein Index›Documents›EFTA01345247
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01345247: Document from Set 10 (DS10)

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A compliance or procedural document outlining due diligence requirements for financial professionals (CFPs). The document establishes that due diligence on clients must be documented, and that CFPs have ongoing responsibility to know their clients both at inception and continuously. It identifies various roles including Relationship Managers, Wealth Advisors, Product Officers, Brokers, and Client Managers as responsible parties.

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🔑 Evidence Keywords
client

📋 Key Excerpts3

PersonKeyword
Excerpt 1
Due diligence obtained on the **client** must be appropriately documented by the CFP.
Excerpt 2
It is the responsibility of CFP's to demonstrate that they know their **client** both at the inception of a relationship and on an ongoing basis.
Excerpt 3
) include: Relationship Managers, Wealth Advisors, Product Officers, Brokers, **Client** Managers, etc.

📄 Original Document

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Source: U.S. Department of Justice

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