Epstein File EFTA01356557: Solicitation (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356557: Solicitation (DS10)

Financial RecordDate unavailableEFTA013565571 keyword hits

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A document discussing financial compliance procedures, specifically referencing reverse solicitation controls. The text mentions obtaining management approval, reviewing compliance evidence, and implementing controls at various levels of financial transactions.

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🔑 Evidence Keywords

solicitation client

📋 Key Excerpts6

PersonKeyword

Excerpt 1

Obtained reverse solicitation evidence (banker's attestation or EEA Client Declaration form) and reviewed with US compliance & DCO. iv.

Excerpt 2

Implemented reverse solicitation controls at the lead/prospect, account, and transaction levels. iii.

Excerpt 3

EEA exit accounts - exceptions to retain Obtained Mgmt approval and obtained reverse solicitation evidence for EEA accounts not meeting the financials