esc
Search documents
go
Browse entities
go
Corpus stats
go
About the data
go
AI settings
go
EFTA
Search
Search
Entities
About
Stats
Settings
⌘K
search
Search
Search syntax help
Dataset
Set 1
Set 2
Set 3
Set 4
Set 5
Set 6
Set 7
Set 8
Set 9
Set 10
Set 11
Set 12
Sort
Relevance
Most pages
Most words
Dataset
Newest
Oldest
Status
All
Extracted
Failed
DOJ Status
All
Removed
Available
Modified
Date Range
Undated only
–
Email Headers
Page Count
–
Saved Searches
+
303 results for “
"CFP"
”
Export
Keyboard Shortcuts
/
Focus search
Esc
Blur input
O
Open PDF
←
→
Paginate
Corpus: 1990-03-17 – 2025-12-01
←
July 2019
→
Mo
Tu
We
Th
Fr
Sa
Su
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
29
30
31
Undated
(150,429)
None
Light
Medium
Heavy
EFTA01425535
Dataset 10
2019-07-10
5p
310w
Subject:
FA News:
CFP
Board Considers Postponing Enforcement Of Fiduciary
From:
Financial Advisor Magazine
Subject: FA News:
CFP
Board Considers Postponing Enforcement Of Fiduciary Code From: Financial Advisor Magazine Date: Wed, 10 Jul 2019 09:39:38 -0400 To: View in browser July 10, 2019
CFP
Board Considers Postponing Enforcement Of Fiduciary Code The new standards could impact thousands of CFPs at broker-dealers and hybrid firms. The 10 Best States For Your Summer Road Trips More than $761 billion is spent on leisure travel every year. EFTA01425535 Why Clients Should Discuss Their DAF…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425535.pdf
EFTA01379104
Dataset 10
2019-07-10
1p
124w
Subject:
FA News:
CFP
Board Considers Postponing Enforcement Of Fiduciary Code
From:
Financial Advisor Magazine [
[email protected]
)
From: Financial Advisor Magazine [
[email protected]
) Sent: 7/10/2019 9:39:38 AM To: Subject: FA News:
CFP
Board Considers Postponing Enforcement Of Fiduciary Code View in browser July 10, 2019
CFP
Board Considers Postponing Enforcement Of Fiduciary Code The new standards could impact thousands of CFPs at broker-dealers and hybrid firms. The 10 Best States For Your Summer Road Trips More than $761 billion is spent on leisure travel every year. Why Clients Should Discuss…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379104.pdf
EFTA01372830
Dataset 10
2018-09-25
1p
320w
…find the names searched to be on any sanctions ists. Mayur Rathod 9/3/118 3:17 AM No material changes confirmation 'email" attached in the case. ONSHORE APPROVALS Client Facing Professional (
CFP
): Stewart Oldfield (Signature) 9/5/2018 Stewart Oldfield Office Director/Business Head: Steven Mattus (Signature) 9/6/2018 Steven Mattus Regional Office Director: (Signature) AK Business Risk: (Signature) AML Compliance: (Signature) KPH]) Golan' Kshitn Golan 9/25/2018 LATAMWERNATIONAL APPROVALS Client Facing Professional (
CFP
): (Signature) Account Manager: …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372830.pdf
EFTA01372848
Dataset 10
2013-10-03
1p
266w
…relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I have followedall the procedures relating to account opening as described in the PWM Americas Procedures and the PWMGlobalKYCPolicy (I) Client Facing Professionals (
CFP
&) include: Relationship Managers. Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372848.pdf
EFTA01372870
Dataset 10
2015-02-10
1p
270w
…relationship and on an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and beliefthe above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I have followedall the procedures relating to account opening as described in the PWM Americas Procedures and the PWMGlobalKYCPolicy (I) Client Facing Professionals (
CFP
&) include: Relationship Managers. Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372870.pdf
EFTA01372919
Dataset 10
1p
197w
…basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that 1havefollowed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (1) Client Facing Professionals (
CFP
k) include: Relationship Managers. Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372919.pdf
EFTA01356745
Dataset 10
2018-12-04
1p
215w
…inception ofa relationship andon an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all the procedures relating to account openingas described in the PWMAmericas Procedures and the PWM GlobalKYCPolicy (1) Client FacingProfessionals (
CFP
's) include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356745.pdf
EFTA01356009
Dataset 10
1p
199w
…the inception ofa relationship anion an ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowedall the procedures relating to account opening as describedin the PWMAmericas Procedures and the PWM GlobalKYC Policy (I) Client FacingProfessionals (
CFP
' include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356009.pdf
EFTA01345316
Dataset 10
2018-07-30
1p
203w
…DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345316.pdf
EFTA01345208
Dataset 10
2018-07-30
1p
203w
…DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345208.pdf
EFTA01345247
Dataset 10
2018-08-02
1p
189w
…basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepart ofthe client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors, Product Officers…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345247.pdf
EFTA01362392
Dataset 10
2018-07-30
1p
203w
…DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362392.pdf
EFTA01356265
Dataset 10
1p
185w
…7 2 3 4 16 Low Risk 6 2 3 2 13 Moderate Risk 1 1 2 High Risk 1 1 Grand Total 166 53 22 109 350 Please note there are certain customers that appear to have outstanding ACUs for several months and even years. This may be due to either a system glitch or some other circumstance out of the
CFP
's control. I am working on these cases with the CFPs on a one to one basis…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01356265.pdf
EFTA01362434
Dataset 10
2018-08-02
1p
189w
…basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct andup to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on thepart ofthe client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWMGlobal KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors, Product Officers…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362434.pdf
EFTA01382029
Dataset 10
2013-07-17
1p
255w
…ongoing basis. DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best ofmy knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part ofthe client(s) and that I havefollowed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: RelationshipManagers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01382029.pdf
EFTA01358810
Dataset 10
2018-05-18
1p
203w
…OF THIS FORM: To the best of my knowledge and belief the above Wormation is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I have followed all the procedures relating to account opening as described in the PWM Americas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors, Product Officers…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01358810.pdf
EFTA01460568
Dataset 10
1p
288w
CFP
STRICTLY PRIVATE & CONFIDENTIAL, FOR INTERNAL DISTRIBUTION ONLY Key Decision Criteria Proposed Due Diligence Framework for CF Mandated Deals ■ Key criteria that drive decision to add products and transactions to the AWM platform. ■ Exceptions handled by committee. Criterion Remarks Full due diligence of legal and technical (e.g., infrastructure) aspects, lo the standard required by in-house AWM Due Diligence (legal & technical) AWM funds (ARA TRC, AFS IC etc.) Analysis of Capital Structure How is asset tinanced, stability…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01460568.pdf
EFTA01425424
Dataset 10
2016-12-31
4p
454w
…Family Sub-GMT: New York Booking Centre: New York Relationship Manager: Stew Oldfield Investment Advisor: Name 2
CFP
: Name 3 WM Snr Client Executive: WM ExCo 1 CIB Snr Client Executive (if relevant): n/a MB Sponsor n/a Additional DB relationship holders (if relevant): n/a Financials Product financials & opportunities Revenue AuM CBV NNA Discretionary Advisory Deposits Lending Alternatives Cap Mkts
CFP
/Cross Bank KCP 2015 n/a n/a n/a n/a Revenue YtD (€k) 2016 YtD…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01425424.pdf
EFTA01345284
Dataset 10
2018-07-30
1p
203w
…DECLARATION FOR ALL SIGNERS OF THIS FORM: To the best of my knowledge and belief the above information is correct and up to date. I confirm that I have no suspicions relating to the money laundering or unethical activities on the part of the client(s) and that I havefollowed all the procedures relating to account opening as described in the PWMAmericas Procedures and the PWM Global KYC Policy (I) Client Facing Professionals (
CFP
's) include: Relationship Managers, Wealth Advisors…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345284.pdf
EFTA01362167
Dataset 10
2015-08-10
1p
174w
…Print Page 13 of 13 Management (PWNO worldwide is committed toprofessionally serve the interests ofits clients. To do so, Client Facing Professionals1(1) (
CFP
's) should establish andmaintain business relationships only with persons who satisfy our high standards ofsuitability, backgroundand character. Due diligence obtained on the client must be appropriately documented by the
CFP
. It is the responsibility ofCFP's to demonstrate that they know their client both at the inception ofa relationship andon an ongoing basis. DECLARATIONFOR ALL SIGNERS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362167.pdf
1–20 of 303 results · page 1 of 16
«
←
1
2
…
16
→
»
Results by Dataset
303 total
Set 8
2
Set 9
84
Set 10
203
Set 11
14