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EFTA01372647
Dataset 10
1p
541w
Appendix C
- CRE Assessment 1.1 Quarterly CRE AML/NCA File Assessment - Overview The DBUS AML Compliance Unit ("AML Unit") will conduct Quarterly AMUNCA File Review Assessments ("File Review") on ten (10) randomly selected New Client Adoptions files affected by CRE to evaluate the adequacy of the AML aspects of the new client adoption process. This File Assessment is designed to assess the AML aspects of New Client Adoption processes instituted by CRE as well as review for escalation for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372647.pdf
EFTA00208814
Dataset 9
2011-11-07
4p
344w
Appendix C
EFTA00208814 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA CASE NO. 08-80736-CIV-MARRA JANE DOE #1 and JANE DOE #2, Petitioners, vs. UNITED STATES, Respondent. MOTION TO SEAL The United States of America, by and through the undersigned Assistant United States Attorney, hereby moves to seal its Motion to Stay Discovery Pending Ruling upon Respondent's Motion to Dismiss for the following reasons: 1. The Motion contains information regarding proceedings before West Palm Beach Federal Grand…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00208814.pdf
EFTA00238090
Dataset 9
1p
165w
Appendix C
ANTI-MONEY LAUNDERING DUE DILIGENCE AND IDENTITY VERIFICATION REQUIREMENTS The Subscriber is required to provide the identity verification materials detailed below: Where the Subscriber is an individual: Ix (One of the following)A Copy of a current valid Government issued bearing photo and signature. (Passport, National ID Card, Driver's License, etc...) (One of the following) Bank Reference, Professional Character Reference, Utility Bill or x BankStatement etc. • %;„;::: Where the Subscriber is a company: Certificate or evidence of Incorporation…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00238090.pdf
EFTA01374158
Dataset 10
1p
322w
AGP LP 519 Alpha Group Capital Paul Barrett
APPENDIX C
WORKSHEET Determination of "Investments" for Purposes of Section THIRD of the Agreement When determining ownership in "Investments" the following general rules are applicable: 1. Investments should be valued at either their fair market value as of the most recent practicable date or cost. 2. Investments include investments held jointly with the New Limited Partners spouse. 3. Investments include investments held in any IRA, 401(k) or similar retirement account directed…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374158.pdf
EFTA01386241
Dataset 10
1p
322w
AGP LP 519 Alpha Group Capital Paul Barrett
APPENDIX C
WORKSHEET Determination of "Investments" for Purposes of Section THIRD of the Agreement When determining ownership in "Investments" the following general rules are applicable: 1. Investments should be valued at either their fair market value as of the most recent practicable date or cost. 2. Investments include investments held jointly with the New Limited Partners spouse. 3. Investments include investments held in any IRA, 401(k) or similar retirement account directed…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386241.pdf
EFTA01374139
Dataset 10
1996-04-30
1p
461w
…acting for its own account, the account of another qualified institutional buyer, or the account of a "qualified purchaser (please refer to special instructions in the worksheet attached as
Appendix C
); or ❑ (x) none of the above applies (further information may be required to determine qualified purchaser status). Investor Type: Each New Limited Partner must complete this Item in order for Alkeon Capital Management, LLC (the 'Investment Manager) to be able to fulfill certain reporting requirements under the Investment…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374139.pdf
EFTA01372643
Dataset 10
1p
153w
…or a quarterly basis: • Global Markets, Client Adoption Group (monthly)— see Appendix A • Global Markets, TALF specific (monthly) — see Appendix B • Commercial Real Estate (quarterly) — see
Appendix C
• Global Banking (quarterly) — see Appendix D • MortgagelT, Broker specific (quarterly) — see Appendix E • MortgagelT (quarterly) — see Appendix F The Appendices (A through F) detail requirements for the business lines / account types. The reviews will evaluate the adequacy of the CIP/AML relevant processes performed. These monthly/quarterly File Reviews are designed to…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372643.pdf
EFTA01374159
Dataset 10
1p
201w
…the assets of such a plan will not be deemed to be acting for its own account and, accordingly, will not be deemed to be a qualified purchaser on the basis of "qualified institutional buyer" status if investment decisions with respect to the plan are made by beneficiaries of the plan, except with respect to investment decisions made solely by the fiduciary, trustee or sponsor of such plan.
Appendix C
-2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374159.pdf
EFTA01384719
Dataset 10
1p
90w
…LP GENERAL ELIGIBILITY REPRESENTATIONS III. TAX INFORMATION (A) If the Investor is exempt from U.S. Federal income tax, please indicate the basis for the exemption: (B) Form W-9 For All Investors: Please complete Form W-9: Request for Taxpayer Identification Number and Certification (attached hereto as
Appendix C
). This Subscription Agreement will not be deemed complete until a completedForm W-9 is received by the Administrator. DOC ID - 9978674.66 24 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384719.pdf
EFTA01386227
Dataset 10
1p
564w
…In order to complete the following information, New Limited Partners should refer to the worksheet attached as
Appendix C
for the definition of "Investments" (which includes cash or cash equivalents held for investment purposes) and for information regarding the valuation of Investments. The New Limited Partner is as of the Admission Date check off one of the following ❑ (i) an individual who owns not less than 55,000,000 in "Investments;" ❑ (ii) an IRA or a self-directed…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386227.pdf
EFTA01386242
Dataset 10
1p
201w
…the assets of such a plan will not be deemed to be acting for its own account and, accordingly, will not be deemed to be a qualified purchaser on the basis of "qualified institutional buyer" status if investment decisions with respect to the plan are made by beneficiaries of the plan, except with respect to investment decisions made solely by the fiduciary, trustee or sponsor of such plan.
Appendix C
-2 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386242.pdf
EFTA01386228
Dataset 10
1996-04-30
1p
461w
…acting for its own account, the account of another qualified institutional buyer, or the account of a "qualified purchaser (please refer to special instructions in the worksheet attached as
Appendix C
); or ❑ (x) none of the above applies (further information may be required to determine qualified purchaser status). Investor Type: Each New Limited Partner must complete this Item in order for Alkeon Capital Management, LLC (the 'Investment Manager) to be able to fulfill certain reporting requirements under the Investment…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01386228.pdf
EFTA02468993
Dataset 11
2016-03-18
1p
175w
Subject:
RE: Emailing - Apo-01.pdf
From:
Ada Clapp <
[email protected]
>
To:
jeffrey E.
…the same page. I am putting together the binders you=asked for with all the estate planning documents that will include (i) the=document summary (ii) full document and (iii) the balance sheet. What we are asking is whether the format of the b=lance sheets we attached as
Appendix C
of the Estate Overview (and which J=e attached to his email) is adequate for purposes of the estate document b=nders. Thanks. -Ada./p> From: Joe Avantario Sent: Friday, March 18, 2016 4…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02468993.pdf
EFTA02471510
Dataset 11
2016-03-19
2p
337w
Subject:
Fwd: Emailing - Apo-01.pdf
From:
jeffrey E. <
[email protected]
>
To:
Brad Wechsler
…putting together the binders y=u asked for with all the estate planning documents that will include (i) t=e document summary (ii) full document and (iii) the balance sheet. What we are asking is whether the format of the b=lance sheets we attached as
Appendix C
of the Estate Overview (and which 1=e attached to his email) is adequate for purposes of the estate document b=nders. </=pan> Thanks. =/span> </=pan> -Ada </=pan> From: Joe Avantario Sent: Friday…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02471510.pdf
EFTA02704352
Dataset 11
2016-03-19
2p
639w
Subject:
Fwd: Emailing - Apo-01.pdf
From:
jeffrey E. <
[email protected]
>
To:
Jeffrey Epstein
…y=u asked for with all the estate planning documents that will include (i) t=e document summary (ii) full document and (iii) the balance sheet. What we are asking is whether the format of the b=lance sheets we attached as
Appendix C
of the Estate Overview (and which J=e attached to his email) is adequate for purposes of the estate document b=nders. </roan> Thanks. =/span> </=pan> EFTA_R1_02089781 EFTA02704352 -Ada </=pan> From: Joe Avantario Sent: Friday…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02704352.pdf
EFTA00831302
Dataset 9
2016-03-18
2p
404w
Subject:
Fwd: Emailing - Apo-01.pdf
From:
"Jeffrey E." <
[email protected]
>
To:
Jeffrey Epstein <
[email protected]
>
…same page. I am putting together the binders you asked for with all the estate planning documents that will include (i) the document summary (ii) full document and (iii) the balance sheet. What we are asking is whether the format of the balance sheets we attached as
Appendix C
of the Estate Overview (and which Joe attached to his email) is adequate for purposes of the estate document binders. Thanks. -Ada From: Joe Avantario Sent: Friday, March 18, 2016 4…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00831302.pdf
EFTA01851906
Dataset 10
24p
8,749w
…the following: ▪ Obligations of the U.S. Government (including its agencies and instrumentalities) Short-term corporate debt securities of domestic and foreign corporations ▪ Obligations of domestic and foreign commercial banks, savings banks, and savings and loan associations ▪ Commercial paper 12.06.12 Page 9 of 10 EFTA_R1_00246328 EFTA01851915
Appendix C
- Alternative Investment Guidelines Alternative investments include private equity, real estate, commodities and hedge funds. In general, alternatives will only be considered if the investment in…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01851906.pdf
EFTA02687149
Dataset 11
26p
6,253w
…we have conducted a full and thorough review of existing literature and put in place a new improved process for new literature. We have worked closely with the FSA throughout and co-operated fully with their investigation." Cagera 22 Strictly Private & Confidential EFTA_R1_02014075 EFTA02687170
Appendix C
: investors are vulnerable to a lack of data and control on investments Pain Ideal solution Requirements of solution Distribution • Increased competition. Impact of open Offer end-clients superior products and • Framework to…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02687149.pdf
EFTA02705326
Dataset 11
19p
6,253w
…Every aspect of its necessary to upgrade the battery ground wire. operation has been optimized for low-frequency (See page 5 for important notice). amplification. For detailed specifications, please 7) Securely mount the amplifier. refer to
Appendix C
(page 13). 8) Connect the positive and negative power wires to the amplifier. A fuse near TYPICAL INSTALLATION SEQUENCE the amplifier is not necessary if the The following represents the sequence XD600/1 is the only device being run for a typical…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02705326.pdf
EFTA00236853
Dataset 9
2013-09-23
258p
118,414w
…2013, and such disclosure is annexed hereto as
Appendix C
. Potential Investors should pay particular attention to the information under the "CERTAIN RISK FACTORS" and "POTENTIAL CONFLICTS OF INTEREST" sections of this Memorandum. Investment in the AlphaKeys Fund is suitable only for sophisticated investors and requires the financial ability and willingness to accept the high risks and lack of liquidity inherent in an investment in the AlphaKeys Fund. Investors in the AlphaKeys Fund must be prepared to bear such risks…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236853.pdf
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