Epstein Index›Documents›EFTA01358780
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01358780: Document from Set 10 (DS10)

Financial RecordDate unavailableEFTA013587800 keyword hits
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This document is a compliance or disclosure questionnaire asking whether the financial institution or related persons directly or indirectly compensate others for client referrals, or receive compensation for client referrals, including any bonuses based on the number or amount of referrals. The document appears to be part of regulatory compliance documentation.

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PersonKeyword
Excerpt 1
Do you or any related person, directly or indirectly, compensate any person for **client** referrals? I.
Excerpt 2
Do you or any related person, directly or indirectly, receive compensation from any person for **client** referrals?
Excerpt 3
referrals, including any bonus that is based, at least in part, on the number or amount of **client** referrals.

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