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29 results for “
"Conditional Approval"
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Corpus: 1990-03-17 – 2025-12-01
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EFTA01417606
Dataset 10
2016-01-14
3p
388w
2015 2015 Short Term
Conditional Approval
Granted Deal ID/Name Client/Project Name Responsbile Party Date of
Conditional Approval
Name of Conditional Approver Conditional Details Approval Target Completion Date Completed Date Verified By Comments ONB-270584 INKA Procura FI HY Glob HEUR Fund devendra- Manikandan Muralidharan, Pankaj Kumar-Mehra October 14th, 2015 Wayne Salit IM and Fund are fully regulated by BaFin, clients are adopted by DB Frankfort and DB London, Fund is Low risk entity. October 16th, 2015 October…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01417606.pdf
EFTA01343865
Dataset 10
1p
489w
…to a decision, robust debate prior to the decision is expected. Members on the losing side of an issue will have their positions recorded in the minutes. 4.2
Conditional Approval
When approval is given subject to conditions, the ARRC will set a timeframe for such conditions to be met. If the responsible party fails to report back to the Secretary by the set follow-up date or when a condition has not been met on time, the Secretary will…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01343865.pdf
EFTA01372560
Dataset 10
2016-07-26
1p
328w
Subject:
FW: KYC Corporate Finance
From:
Laura Kang
To:
Wayne Salit I; Maria Pedulla I; Dmitri Saks
… AML_NCA Assessment Desktop Procedures.doc; Assessment Form - Blank.docx; 2015 Q4 GCF File Assessment.pdf;
Conditional Approval
Tracking Sheet.xlsx; FW_ Q1 Sample for AFC Review II) (43.0 KB).msg Importance: High All, Attached please find the documents I've compiled for Christy's request. The only one missing is the 2016 Q1 GCF File Assessment because it hasn't been completed yet. Still waiting for the population and files from the Jax COB team. Please let me…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372560.pdf
EFTA01420399
Dataset 10
2015-01-16
4p
1,149w
Subject:
FW: Southern Financial LLC - EDD [C]
From:
Wayne Salit ‹ >
To:
Jan Bornebusch
…Salit ‹ > Date: Fri, 16 Jan 2015 16:31:08 -0500 To: Jan Bornebusch Cc: Carlos-A Garcia Kerrian Gordon Alina Amanci John-A Lynch Peggy McGarve Dmitri Saks Classification: Confidential
Conditional Approval
- I approve this EDD with the condition that it be reviewed by yourself. Jan - As with the Global Markets Enhanced Due Diligence procedures, the EDD of Southern Financial LLC requires both yours and my approval from an AML perspective as the entity is a Private Investment Vehicle…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01420399.pdf
EFTA01371022
Dataset 10
2018-10-04
1p
315w
Subject:
Your KYC has been rejected
From:
Kshitij Golan
…Jeffrey Epsteins research. (KG - UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: Investors Claim Jeffrey Epstein Built $473m Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01371022.pdf
EFTA01374406
Dataset 10
2015-01-16
1p
500w
Subject:
FW: Southern Financial LLC EDD IC)
From:
Wayne Salit
To:
Jan Bornebusch I
…Gordon ; Alina Amanci I; John-A Lynch [
[email protected]
]; Peggy McGarvey ; Dmitri Saks Subject: FW: Southern Financial LLC EDD IC) Classification: Confidential
Conditional Approval
- I approve this EDD with the condition that it be reviewed by yourself. Jan - As with the Global Markets Enhanced Due Diligence procedures, the EDD of Southern Financial LLC requires both yours and my approval from an AML perspective as the entity is a Private Investment Vehicle, which is High Risk. In addition…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01374406.pdf
EFTA01384767
Dataset 10
1p
287w
…(KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01384767.pdf
EFTA01415117
Dataset 10
2018-10-15
1p
214w
Subject:
Mon 15 Oct 2018 15:37:04 Conversation
From:
[email protected]
…Jeffrey Epsteins research. (KG - UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01415117.pdf
EFTA01415661
Dataset 10
2018-10-04
1p
308w
Subject:
Your KYC has been re'ected
From:
Kshitij Golani
…Jeffrey Epsteins research. (KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01415661.pdf
EFTA02514624
Dataset 11
2018-07-03
2p
203w
Subject:
Re: DRAFT v3 EC Cond
From:
Nicholas Ribis
To:
Jeffrey E.
…=span dir="ltr"> <maiko: wrote: For ur info Sent from my iPhone Begin forwarded message: From: "Quinn, Jeffry" Date: July 3, 2018 at 10:04:08 AM EDT To: Nicholas Ribis <mailto: > Subject: DRAFT v3 This is the press release we intend to release tomorrow when we confir= receipt of the
conditional approval
. Any suggestions from your perspectiv=. Jeff EFTA_R1_01648446 EFTA02514624 please note The information contained in this communication is confidential, may be attorney-client privileged…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02514624.pdf
EFTA02516618
Dataset 11
2018-07-03
2p
202w
Subject:
Re: DRAFT v3 EC Cond
From:
jeffrey E. <
[email protected]
>
To:
Nicholas Ribis
…Begin forwarded message: From: "Quinn, Jeffry" < <mailto >> Date: July 3, 2018 at 10:04:08 AM EDT To: Nicholas Ribis < <rnalltc Subject: DRAFT v3 EC Cond This is the press release we intend to release tomorrow when we confir= receipt of the
conditional approval
. Any suggestions from your perspectiv=. Jeff =AO please note The information contained i= this communication is confidential, may be attorney-client privileged,=may constitute inside information, and is intended only for the use…
https://www.justice.gov/epstein/files/DataSet%2011/EFTA02516618.pdf
EFTA00867820
Dataset 9
2018-07-03
1p
81w
Subject:
Fwd: DRAFT v3 EC Cond
From:
Nicholas Ribis
To:
Jeffrey Epstein <
[email protected]
>
…Subject: Fwd: DRAFT v3 EC Cond Date: Tue, 03 Jul 2018 14:30:18 +0000 Attachments: DRAFT v3 EC Cond.docx; ATT00001.htm For ur info Sent from my iPhone Begin forwarded message: From: "Quinn, Jeffry" < Date: July 3, 2018 at 10:04:08 AM EDT To: Nicholas Ribis Subject: DRAFT v3 EC Cond This is the press release we intend to release tomorrow when we confirm receipt of the
conditional approval
. Any suggestions from your perspective. Jeff EFTA00867820
https://www.justice.gov/epstein/files/DataSet%209/EFTA00867820.pdf
EFTA01370775
Dataset 10
2018-10-16
1p
474w
Subject:
RE: Your KYC has been rejected fij
From:
Mayur Rathod
To:
Kshitij Golani
…Jeffrey Epsteins research. (KG - UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: Investors Claim Jeffrey Epstein Built 5473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370775.pdf
EFTA01372343
Dataset 10
2018-10-08
1p
385w
Subject:
Assistance required in resolving Rejection Points - KYC ■
From:
Vijay-A Sawant
To:
Bradley Gillin ; Stewart Oldfield
…(KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01372343.pdf
EFTA01379615
Dataset 10
1p
365w
Subject:
Assistance required in resolving Rejection Points -
…(KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01379615.pdf
EFTA02143854
Dataset 10
7p
1,691w
From:
MI
…and begin the challenge of trying to form a government. The US Fed released its CCAR stress test review after the close yesterday (link and approved the capital plans of 14 banks, granted two others
conditional approval
(GS & JPM), and rejected the other two (BBT & Ally Financial). GS & JPM will be required to submit new capital plans by the end of Q3 to address weaknesses in their capital planning processes (summary in the ID. After-hours trading: BAC+3.2%…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA02143854.pdf
EFTA01381381
Dataset 10
2018-10-08
1p
410w
Subject:
Assistance required in resolving Rejection Points - KYC 01977695
From:
Vijay-A Sawant
To:
Bradley Gillin Stewart Oldfield <
…(KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire and convicted…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01381381.pdf
EFTA01435896
Dataset 10
2018-10-09
3p
479w
Subject:
RE: Assistance re uired in resolving Rejection Points - KYC 01977695
From:
Vijay-A Sawant
To:
Bradley Gillin
…Epsteins research. (KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this Investors Claim Jeffrey Epstein Built $473M Ponzi Scheme: Shareholders filed a putative class action against financier, billionaire…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01435896.pdf
EFTA01412389
Dataset 10
2018-03-05
44p
3,914w
… (Tick as many as required)
Conditional Approval
false SRC Nexus: Name List Screening Screening system Google false Volcker Super 23A Restricted list false Please provide details Adoption Information Initiator Location of Initiator Request Type Business Sponsors & Approvers Business Approver Joe Aglione Joe Aglione Joe Aglione Adoption Entity Product DB AG (London) Business Sponsor BA Location OTC Derivatives (Rates) Matthew OConnor DB AG (London) Commodities DB AG (London) FX Options DB AG (London) FX Cash Martin Zeman Joe Aglione Xavier Avila…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412389.pdf
EFTA01387857
Dataset 10
2018-10-09
1p
377w
Subject:
RE: Assistance required in resolving Rejection Points - KYC 01977695
From:
Vijay-A Sawant
To:
Bradley Gillin >; Stewart Oldfield <
…Al V. The Financial Trust Company Et Al" lawsuit under Jeffrey Epsteins research. (KG — UNRESOLVED. As per the email from Kim Hart, the
conditional approval
was based on "so long as nothing further is identified through KYC and AML client adoptions". The below is what this lawsuit is about. Please have the business escalate to Kim Hart to see if this poses any further risk and may need to be captured: - Please provide this CONFIDENTIAL - PURSUANT TO FED. R. CRIM…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01387857.pdf
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