Epstein File EFTA01363022: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01363022: Document from Set 10 (DS10)

Financial RecordDate unavailableEFTA013630220 keyword hits

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Internal compliance document dated April 13, 2018, regarding an OTC derivative product trade (Trade ID: G175714L) booked in the Summit application under South Financial MD. The document notes a Know Your Client (KYC) violation due to the client not being adopted for Frankfurt location and requests missing documentation from the client/business.

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client

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PersonKeyword

Excerpt 1

been booked in Summit application for OTC Derivative Product, details as follows: Trade ID: G175714L Summit Code: SOUTHFINANMD Date of Trade: 13/04/2018 **Client**

Excerpt 2

We have observed that the **client** is not adopted for Frankfurt location, which results in a KYC violation.

Excerpt 3

Upon your confirmation, we will review the **client** and would request the missing documents to be obtained from the **client**/business as per Frankfurt location