""Client Risk Program"" — Epstein Files Search

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22 results for “"Client Risk Program"”

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Corpus: 1990-03-17 – 2025-12-01

December 2025

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EFTA01377441Dataset 10

Deutsche Bank Wealth Management Client Risk Program — Affirmation and Escalation Guideline Account Holder Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted together with the Self…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01377441.pdf

EFTA01357092Dataset 10

Deutsche Bank Wealth Management Client Risk Program - Guideline Account Holder Name(s): /I/0 41-7/ 1 C Account Number s : Ultimate Beneficial Owner(s) (1180), if different from Account Holder This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted together…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357092.pdf

EFTA01460277Dataset 10

Deutsche Bank Wealth Management Client Risk Program — Affirmation and Escalation Guideline Account Holder Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted together with the Self…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01460277.pdf

EFTA01357088Dataset 10

Deutsche Bank Wealth Management Client Risk Program Affirmation and Es .--aiton Guideline Account Holder Name(s): (7-rvss- 2-e 61- Account Number(s): Ultimate Beneficial Owner(s) (UBO). if different from Account Holder, This document is designed to assist the Relationship Manager (RMyInvestment Advisor (IA) In reviewing the certifications provided by the Account Holder. any Controlling Persons and any Ultimate Beneficial Owners as pan of the Client Risk Program. This form should be completed by the RM / IA and…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357088.pdf

EFTA01345289Dataset 10

Deutsche Bank ' ealth Managernc.nt Client Risk Program - Affirmation an -:alation Guideline • C ANNAn Account Hol er Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345289.pdf

EFTA01298589Dataset 10

…If the account holder is a non VS indoedual and has a VS individual as POA, tax experts, Peed Sherpa and Rich larosl. need to be informed at this c considered a US ind Kia 0 Client ariator UBO from EU (refer to Tab 3- EU Country List) - am ncte caw pion- Footnotes: 0 Client Risk Program (CRP) Form for at newloans (CRP Lamy are required at KYC la) State Occupabon, Employers Name and Mellen". Esb re 4,0 Income…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298589.pdf

EFTA01298890Dataset 10

…persons he an onshore PIC 0 Chen a ndffior UBO from EU (refer to Tab 3. EU Country Usti • add note to dent grotto Client Risk Program (CRP) Form Ice all Ate...loans (CRP forms are required at NYC stage became loans do not go through inde NON US CLIENTS ONLY 0 Cross Border Approval 0 CRP Escalation Body Approval - ExCeptalS10 iccal exit country list permitted. NO EXCEPT CPS for Global exit courrtnes (x) Evidence of source of wealth 0…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298890.pdf

EFTA01298889Dataset 10

…win an of/Mom PC 0 Clime andlor U80 from EU (refer to Tab 3. EU Country USN. OM note tO Chant DrcOle 0 Client Risk Program (CRP) Form to all new loans (CRPfarmare he:Wired at KYC *tage beosjo.)roa. ns do not go through Inca* • NON US CLIENTS ONLY 0 Cross Border Approval 0 CRP Escalabon Body Approval • Erocipbons so local ore courCry list pannirdad. NO EXCEPT *NS roe Global earl countries (a) Evidence of source of wealth…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298889.pdf

EFTA01298052Dataset 10

… nexus) AML Compliance a ORM Approval to US porSCOS WM an olThhore PIC 0 Client anaor UBO from EU (refer to Teb 3 • EU Country List) - add MOD to client Peale a Client Risk Program (CRP) Form tor at nee bar»(CRP forme are reduced at KYC stage Octavio oane Co not go through India - NON US CLIENTSONLY 0 Cross Border Approval 0 CRP Escalation Body Approval- Exag0Xen to ballMI Camas Mt permitted NO EXCEPTIONS for Global exit countries 113…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298052.pdf

EFTA01478399Dataset 10

Client Risk Program — Affirmation and Escalation Guideline Account Holder Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UB0), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted together with the Self-Certification as described in…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01478399.pdf

EFTA01362360Dataset 10

Deutsche Bank 'Wealth Managernc.nt Client Risk Program - Affirmation an -:alation Guideline C ANNAn Account Hol er Name(s): Account Number(s): Ultimate Beneficial Owner(s) (USD), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362360.pdf

EFTA01345258Dataset 10

Deutsche Bank 'Wealth Managernc.nt Client Risk Program - Affirmation an -:alation Guideline C ANNAn Account Hol er Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345258.pdf

EFTA01345325Dataset 10

Deutsche Bank 'Wealth Managernc.nt Client Risk Program - Affirmation an -:alation Guideline C ANNAn Account Hol er Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345325.pdf

EFTA01345183Dataset 10

Deutsche Bank 'Wealth Managernc.nt Client Risk Program - Affirmation an -:alation Guideline C ANNAn Account Hol er Name(s): Account Number(s): Ultimate Beneficial Owner(s) (UBO), if different from Account Holder: This document is designed to assist the Relationship Manager (RM)/Investment Advisor (IA) in reviewing the certifications provided by the Account Holder, any Controlling Persons and any Ultimate Beneficial Owners as part of the Client Risk Program. This form should be completed by the RM / IA and submitted…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01345183.pdf

EFTA01298715Dataset 10

…Compliance a SRN Appears, fa US persons wet an cleshore RC O Cleent andlor UE10 Ran EU (refer to Tab 3. EU Country List) • add nole to cheat prate (I Client Risk Program (CRP) Form for al new bans (CRPforms are mound at NYC Mom beau*, tend do not po theOlit lode - NON US CUENTS CMLY. 0 Croat Baler Approsel 0 CRPEscalation Body Approval • Exam:Caro to local ea country let perinMed. NO EXCEPTIONS for Clonal exit courdrles (YES) Evidence…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298715.pdf

EFTA01298881Dataset 10

…holder IS a POP US intiNklual and Na a US Individual as PO& tar opens Pena Sherpa and Rich Largo. need to be Informed as the rs considered a US unchain 0 ChM and.. U00 from EU (refer to Tab EU Country Lie) -add note lo cart Veda FOORIOMS: Client Risk Program (CRP) Form lot at flew loans (CRP forms are required at NYC (a) State Occupation. Employers Name and Address. Etta/late," income Net Worth -ay elcai.SC roan…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298881.pdf

EFTA01399265Dataset 10

2018-12-2039p1,583w

… 1 training delivered remotely EFTA01399267 EFTA01399268 Relationship Manager - Hiring Statistics 3 cid:[email protected] EFTA01399269 New Clients / New Accounts 4 EFTA01399270 Latin America Business 5 Observations: Client Risk Program (CRP) issues raised for Venezuelan clientele BIU reports have been ordered to maintain these relationships LatAm clientele with domicile (either UBO or POA) in Netherlands DBSI surrendering broker dealer license in Netherlands 3 Fraud issues raised in 2018 Mons internal fraud identified in 2018 For the last 2-3…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01399265.pdf

EFTA01298462Dataset 10

…3) It the account holder is a non US individual and has a US individual as POA, tax exports, Thema soiree and Rich lams). need to be informed as this is considered a US tridnia 0 Client and UE1O hem EU (rater to Tab S - EU Country UM) add note b dent probe Footnotes: 0 Client Risk Program (CRP) Fenn for et row loons (CRP tonne are required at KYC )al State O«vpaton. Employers Name and Address. Estimated Income…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01298462.pdf

EFTA01394817Dataset 10

2018-12-2012p1,146w

…Americas USO 216 714 382 1312 Grand Total 354 755 438 154i Row Labels - Count of Account Id Latam 235 Geneva 23 Miami 51 NY 161 Observations: • Client Risk Program (CRP) issues raised for Venezuelan clientele • BIU reports have been ordered to maintain these relationships • LatAm clientele with domicile (either UBO or POA) in Netherlands • DBSI surrendering broker dealer license in Netherlands • 3 Fraud issues raised in 2018 • Mons internal fraud identified in 2018 • For the last 2-3 years…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01394817.pdf

EFTA01255744Dataset 9

…tan *vows. Perna Sherpa end Rich larosi. need to be informed at this is cone:tweet a US indica 0 Client andlor UBO from EU (refer to TM, 3 EU Country LIM) - add note to dent tad ,e Footnotes: Client Risk Program (CRP) Form for al nee loans (CRP tonna are required at KYC (a) State Occupation. Employer's Name and Address. Eshmated Income. Net Worth stye gene bare do net go through Inds • NON USCLIENTSMY 0 Cross Border Approval…

https://www.justice.gov/epstein/files/DataSet%209/EFTA01255744.pdf

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