""ECP Questionnaire"" — Epstein Files Search

esc

Search documentsgo
Browse entitiesgo
Corpus statsgo
About the datago
AI settingsgo

Search Entities About Stats Settings

Dataset

Sort

Status

DOJ Status

Date Range

–

Email Headers

Page Count

–

12 results for “"ECP Questionnaire"”

Keyboard Shortcuts

/

Focus search

Esc

Blur input

O

Open PDF

←→

Paginate

EFTA01368381Dataset 10

…Client has duly completed the ECP Questionnaire in the Swap Addendum Annex and the information contained therein is true and correct. If the obligations of Client in its swaps with DB are guaranteed by another person or persons (each, a "Guarantor"), Client will cause each Guarantor to complete the ECP Questionnaire for Guarantors provided as Part 6 of this Protocol confirming it is an ECP to DB as a condition precedent to discussing additional swaps and/or swap trading strategies…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368381.pdf

EFTA01368412Dataset 10

…Client has duly completed the ECP Questionnaire in the Swap Addendum Annex and the information contained therein is true and correct. If the obligations of Client in its swaps with DB are guaranteed by another person or persons (each, a "Guarantor"), Client will cause each Guarantor to complete the ECP Questionnaire for Guarantors provided as Part 5 of this Protocol confirming it is an ECP to DB as a condition precedent to discussing additional swaps and/or swap trading strategies…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368412.pdf

EFTA01368423Dataset 10

… El YES viNO If yes, then please provide the following information regarding Client's guarantor. Legal Name: Legal Address- Each Guarantor must also complete the ECP Questionnaire for Guarantors provided in Part Sot this Protocol and return the completed Questionnaire to DB. I The CFTC Interim Compliant Identifier (or "ClCE), which will ultimately be replaced by a Legal Entity Identifier (or "LEV), is a unique customer identification number used by swap dealers as pan of their repotting obligations under the…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368423.pdf

EFTA01376699Dataset 10

…Security-Based Swap Dealer, Major Swap Participant or a Major Security-Based Swap Participant. 1.3 Eligible Contract Participant. Client is an Eligible Contract Participant ("ECP"). Client has duly completed the ECP Questionnaire in the Swap Addendum Annex and the information contained therein is true and correct. If the obligations of Client in its swaps with DB are guaranteed by another person or poisons (each, a "Guarantor"), Client will cause each Guarantor to complete the £CP Questionnaire for Guarantors provided…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376699.pdf

EFTA01389094Dataset 10

… ❑ YES ❑ NO If yes, then please provide the following information regarding Client's guarantor. Legal Name: Legal Address: Each Guarantor must also complete the ECP Questionnaire for Guarantors provided in Part 6 of this Protocol and return the completed Questionnaire to DB. The CFTC Interim compliant Identifier (or "cicn, which will ultimately he replaced by a Legal Entity Identifier (or "Len, is a unique customer identification number used by swap dealers as part of their reporting obligations under…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389094.pdf

EFTA01376694Dataset 10

2014-01-291p96w

…DIVISION SWAPS PROTOCOL Index 1. Introduction 2. Part A - Reporting Consent and US Person Certification 3. Part B - Swap Trading Addendum with Annex (US Person Only) 4. Part C -Provisions' for Non-US Person Comiterparties S. Swap Agent Statement (US Person Only, if applicable) 0. ECP Questionnaire for GvaraptorS.(0$ Person Only, if:applicable) 7. Eod-User. Exception Self-Certification (US Person Only, if applicable) 8. Portfolio Reconciliation Procedures WS Persons Only) 9. Glossary VarsIga: January 29, 2014 CONFIDENTIAL - PURSUANT…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376694.pdf

EFTA01412704Dataset 10

… ❑ yes ^no If yes, then please provide the following information regarding Client's guarantor. Legal Name: Legal Address: Each Guarantor must also complete the ECP Questionnaire for Guarantors provided in Part 5 of this Protocol and return the completed Questionnaire to DB. 1 The CFTC Interim Compliant Identifier (or "CICI"), which will ultimately be replaced by a Legal Entity Identifier (or "LEI"), is a unique customer identification number used by swap dealers as part of their reporting obligations under…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412704.pdf

EFTA01368394Dataset 10

… ❑ YES IIINO If yes, then please provide the following information regarding Client's guarantor. Legal Name: Legal 4d.M.S.1 Each Guarantor must also complete the ECP Questionnaire for Guarantors provided in Part 6 of this Protocol and return the completed Questionnaire to DR 'Me CFTC iniclim Compliant Identifier (or"Cler), which will ultimately be replaced by a Legal Entity identifier is a unique customer identification number used by swap dealers as pert of (heir mooning obligations (or…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368394.pdf

EFTA01376711Dataset 10

… 0 YES a NO If yes, then please provide the following information regarding Client's guarantor. 1.1122thidlEti Legal Address: Each Guarantor must also complete the ECP Questionnaire for Guarantors provided in Part 6 of this Protocol and return the completed Questionnaire to DB. I lly CFTC interim compliapl idemiticr (or -(3cn, vehichirilluninsately In replied Mtn Legal IIdliry Icksidifser (or "LEP), ha Unique onion= identification number used swap renders as pan of their reporting obiternions under the CFTC Reguktdous. 611…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376711.pdf

EFTA01412643Dataset 10

2014-01-2953p9,023w

…WEALTH MANAGEMENT DIVISION SWAPS PROTOCOL Index 1 Inti*oductioii 2. Part A - Reporting Consent and US Pei-son Certification Part B — Swap Trading Addendum with Annex (US Person Only) 4. Part C -Provisions for Npn-US Person Counterparties 5. Swap Agent Statement (US Person Only, if applicable) 6. ECP Questionnaire for Guarantors (US Person Only, if applicable) 7. End-User Exception Self-Certification (US Person Only, if applicable) 8. Portfolio Reconciliation Procedures (US Persons Only) 9. Glossary Version: January 29…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01412643.pdf

EFTA01368395Dataset 10

…such entity. Leval Name: al vIsidass • 5. ELIGIBLE CONTRACT PARTICIPANT ("ECP") QUESTIONNAIRE (Capitalized terms usedIn this Questionnaire are defined in the attached Glossy) Please check all that appip Client is MOM for its 0lsta accotga and is: it an imestrnent Company ❑ a Commodity Pool ECP vie a Large Entity ECP ❑ a Fledging Entity ECP ❑ an Eligible Individual ECP • a Hedging Individual ECP 6. FINANCIAL ENTITY QUESTIONNAIRE (Capitalized tennsnsedin this Questionnaire a•e defined in the attached Glossary…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368395.pdf

EFTA01376695Dataset 10

2012-07-041p475w

…do not complete Pant • The Swap Agent .Statement must be completed by any client that is a US person and that has: swaps executed by a Swap Agent. • The ECP Questionnaire for Guarantors must be completed' by each person that guarantees the swaps of any clientthat is a US person. A client that is a US person may also belt:quire:Ito cbmplete the End-User Self-Certification as a ronditionpreeedem of relying on the End-User Exception from mandatory…

https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376695.pdf

Corpus: 1990-03-17 – 2025-12-01

December 2025

Mo

Tu

We

Th

Fr

Sa

Su

None

Light

Medium

Heavy

Results by Dataset12 total

Set 10

12