Epstein Secrets

Reverse Solicitation Controls (Excluding German Clients) • Account Opening Review Group to ensure EEA Client Declaration form is part of account opening documents and signed by the client, Relationship Manager and Business Manager. If

. • Original stamp is not required on the declaration form. • There will be no exception to open the account without signed declaration form for EEA Client. • If WM NOC receives re-opening request and client falls under EEA regulation (EEA Client Type = Retail, EEA Country except Germany) then check i

ic Area) client, account must not be opened without a signed 'Reverse Solicitation Affirmation Form' on file. Account O .enin • Review Grou Table: Account Opening Review Group Product Type WM NOC Deposits, Custody DPM and Trust • EEA client identified on dbforce Customer page, 'EEA Country' field. For each new account

EA client identified on dbforce Customer page, 'EEA Country' field. For each new account, Please check if marked as EEA in Dbforce on customer page (EEA Client type = "Retail or "Professional") and EEA country. If EEA country is Germany, proceed with existing requirements (MIFID II Regulation). 4,010.0er

counts opened by EEA (European Economic Area) client, account must not be opened without a signed 'Reverse Solicitation Affirmation Form' on file. Account Opening Review Group Table: Account Opening Review Group Product Type WM NOC Deposits, Custody, DPM and Trust EEA client identified on dbforce Customer page, 'EEA Co

there. Original stamp is not required on the declaration form. There will be no exception to open the account without signed declaration form for EEA Client. If WM NOC receives re-opening request and client falls under EEA regulation (EEA Client Type = Retail, EEA Country except Germany) then check if t