Epstein File EFTA01356577: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01356577: Document from Set 10 (DS10)

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Internal compliance checklist for client account onboarding procedures under MIFID II regulations, addressing requirements for German domiciled clients including agreement supplements, attestations, and best execution disclosures. The document specifies that new account opening requests for German domiciled clients should be rejected.

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client

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PersonKeyword

Excerpt 1

Checklist for **client** account on-boarding: MIFID II DPM & Custody: Confirm German clients filled out agreement supplement specific to German clients (check

Excerpt 2

include additional attestations/checkbox **client** received best ex and starter package.

Excerpt 3

If a new account opening request for a German domiciled **client** is submitted, reject.