Epstein File EFTA01381460: Document from Set 10 (DS10)

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💨IMPACT LEVEL 1 — MEH

Epstein File EFTA01381460: Document from Set 10 (DS10)

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This document contains compliance guidelines for wealth management client events or activities, establishing criteria for invitee eligibility. It specifies that invitees should be limited to wealth management clients (or prospects) and their family members, excludes sensitive counterparts, and references compliance procedures for situations where investment decisions or asset transfers are pending with clients.

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asset client

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Compliance As long as the **client** meets the below criteria, you can enter them in compliance direct only if they confirm attendance.

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Criteria: Invitees should be limited to the wealth management **client** (or prospect) and/or their family members No sensitive counterparts (including public

Excerpt 3

to investment type and amount have occurred and decision or action is pending with **client**, or discussion on moving assets from bank X to DB).