Epstein Index›Documents›EFTA01362167
💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01362167: Document from Set 10 (DS10)

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Internal compliance and due diligence policy document establishing requirements for Client Financial Professionals (CFPs) to document due diligence on clients and maintain ongoing knowledge of client relationships. The document identifies various roles responsible for client management including Relationship Managers, Wealth Advisors, Product Officers, and Brokers.

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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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Read the full document (190 words)

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Source: U.S. Department of Justice

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