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43 results for “
"Financial Entity"
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EFTA00083980
Dataset 9
2021-09-29
1p
142w
Subject:
financial exhibits
…JP Morgan subpoena returns? I just have the JP Morgan bates ranges — I don't know the corresponding discovery bates numbers. • JPM-SDNY-00001937 (
financial entity
account application for Financial Trust Company) (attached) • JPM-SDNY-00036863 through JPM-SDNY-00036869 (1999 account statement for Financial Trust Company) (attached) • JPM-SDNY-00005512 (2002 wire transfer record) (attached) (please pull and mark the full 9 page document — JP end I have been discussing one additional financial transaction from 2007, and we'll…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00083980.pdf
EFTA01368397
Dataset 10
1p
362w
…is either: (I) nor a
Financial Entity
(notwithstanding any exemptions or exclusions from such definition provided in Section 2(h) of the CEA or related CFTC Regulations); (ii) exempt from the definition of
Financial Entity
as an Exempt Small Financial Institution; or (iii) excluded from the definition of
Financial Entity
because it only uses swaps to hedge or mitigate the commercial risk of an affiliated person that is itself ;IN a
Financial Entity
. (b) such swap is being.usai for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368397.pdf
EFTA01368427
Dataset 10
1p
373w
…it is either: (I) not a
Financial Entity
(notwithstanding any exemptions or exclusions from such definition provided in Section 2(h) of the CEA or related CFTC Regulations); (ii) exempt from the definition of
Financial Entity
as an Exempt Small Financial Institution; or (iii) excluded from the definition of
Financial Entity
because it only uses swaps to hedge or mitigate the commercial risk of an affiliated person that is itself not a
Financial Entity
. (b) such swap is being used…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368427.pdf
EFTA01376712
Dataset 10
1p
358w
…a) it is either. (i) not a
Financial Entity
(notwithstanding any exemptions or exclusions from such definition provided in Section 2(h)of the CEA or related CFTCRegulations); (ii) exempt from the defmition of
Financial Entity
as an Exempt Small Financial Institution; or (iii) excluded from the definition of
Financial Entity
because it only uses swaps to hedge or mitigate the commercial risk of an- affiliated perstm that is itself not
Financial Entity
. (b) such swap is being.used for…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376712.pdf
EFTA01357141
Dataset 10
1p
331w
…Or Part 2 (b) — Non Financial Entities - NFE 7. If this entity is a Financial Institution (FI). please select the 8. If the Entity is not a Financial Institution (i.e. a Non F1's status from one of the options below.
Financial Entity
. NFE). please select the Entity's status from one of the options below. ❑ i. Depository Institution. Custodial Institution or Specified Insurance Company oi. Active NFE - a corporation the stock of which is regularly traded on…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01357141.pdf
EFTA01389694
Dataset 10
1p
500w
GLDUS132 EverWatch
Financial entity
. directly or indirectly, in the Underlying Fund, to the extent practicable. In particular, the General Partner or the Investment Manager will form Glendower Access Secondary Opportunities IV (International), L.P. (the "Offshore Access Fund", and together with the Access Fund, the "Access Funds") for certain qualified U.S. Tax-Exempt Investors not willing to receive material amounts of UBTI and certain qualified Non- U.S. Investors. The Offshore Access Fund is expected to be a Cayman…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389694.pdf
EFTA01368434
Dataset 10
1p
499w
…that is based, in whole or in part, upon the agreement of Client that DB need not disclose pre-trade mid-market marks, including but not limited to the relief from such requirements provided in CFTC Letters No. 12-42 and 12-58. "
Financial Entity
" has the meaning ascribed to it in Section 2(h)(7)(CXI) of the CEA and includes a Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, Major Security-Based Swap Participant, a Commodity Pool…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368434.pdf
EFTA01449314
Dataset 10
2013-07-30
1p
353w
30 July 2013 Exchange Rate Perspectives: FX and the Financial Transaction Tax transaction. For example, where a dealer provides liquidity to a
financial entity
and simultaneously hedges the same transaction with a third counterpany, afl three entities are likely to be caught. The FX industry would be impacted by this cascade effect. FX is an intermediated market, with several potential stages between the client and ultimate liquidity provider. These stages have evolved in response to demand for tighter pricing and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01449314.pdf
EFTA01449213
Dataset 10
2013-07-30
1p
361w
30 July 2013 Exchange Rate Perspectives: FX and the Financial Transaction Tax transaction. For example, where a dealer provides liquidity to a
financial entity
and simultaneously hedges the same transaction with a third counterpany, afl three entities are likely to be caught. The FX industry would be impacted by this cascade effect. FX is an intermediated market, with several potential stages between the client and ultimate liquidity provider. These stages have evolved in response to demand for tighter pricing and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01449213.pdf
EFTA01368381
Dataset 10
1p
607w
…or to manage the risk associated with an asset or liability owned or incurred, or reasonably likely to be owned or incurred, by Client in the conduct of Client's business.
Financial Entity
. Client D is / El IS NOT a
Financial Entity
. If Client is a
Financial Entity
under Dodd Frank. Client has duly completed the
Financial Entity
Questionnaire in the Swap Addendum Annex, and the information contained therein is true and correct. O.) Dania' Entity. Client C IS / IS…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368381.pdf
EFTA01368433
Dataset 10
1p
504w
…is not a
Financial Entity
in respect of a swap being used for purposes of Hedging or Mitigating Commercial Risk, and such person either provides an End-User Filing to the CFTC or an End-User Self-Certification to DB. "End-User Filing" means a filing made pursuant to CFTC Regulation 50.50(bX2) containing the information listed in CFTC Regulation 50.50(b)(I)(iii), which includes the following: (i) whether the submitting counterparty is a
Financial Entity
and…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01368433.pdf
EFTA01376699
Dataset 10
1p
606w
…or to manage the risk associated with an asset or liability owned or incurred, or reasonably likely to be owned or incurred, by Client in the conduct of Client's business.
Financial Entity
. Client 0 IS i ai IS NOT a
Financial Entity
. If Client is a
Financial Entity
under Dodd frank, Client has duty completed the
Financial Entity
Questionnaire in the Swap Addendum Annex, and the information contained therein is true and correct, CI) Special Entity. Client 0 IS / …
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01376699.pdf
EFTA01464308
Dataset 10
2013-07-30
105p
15,379w
…in the Area of Financial Transaction Tax, 14th February 2013 Page 8 Deutsche Bank Securities Inc. EFTA01464322 30 July 2013 Exchange Rate Perspectives: FX and the Financial Transaction Tax transaction. For example, where a dealer provides liquidity to a
financial entity
and simultaneously hedges the same transaction with a third counterparty, all three entities are likely to be caught. The FX industry would be impacted by this cascade effect. FX is an intermediated market, with several potential stages between the…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01464308.pdf
EFTA01369100
Dataset 10
1p
565w
…DBAG (tick as applicable): (a) You are a US person as defined in PR Reg. _.9(b)(1) (a "PR US Person")° (b) You are a PR US Person and you are an exempt entity that will enter all non- cleared swaps with DBAG in reliance on and compliance with one of the following exemptions: (i) CFTC Non-
Financial Entity
Exemption? (ii) CFTC Small Bank Exemptions (Iii) CFTC Captive Finance Company Exemptions (iv) CFTC Exempt Cooperative Exemption 10 or…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01369100.pdf
EFTA01370670
Dataset 10
1p
621w
…OECD Common Reporting Standard (CRS) Appendix 1 Controlling Persons Contrciling Persons are defined as natural persons and exercise control over the entity or the shareholders of the entity based on local Anti- Money Lawdering (AML) reqtirements. Where that entity is treated as a Passive Non
Financial Entity
(Passive NFE) then a Financial Institution is required to determine whether or not these Controlling Persons are Reportable Persons. In the case of a Trust this means the settlor(s), the trustee(s)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01370670.pdf
EFTA01373560
Dataset 10
2017-04-10
1p
569w
…1) (a "PR US Person")° (b) You are a PR US Person and you are an exempt entity that will enter all non- cleared swaps with DBAG in reliance on and compliance with one of the following exemptions: () CFTC Non-
Financial Entity
Exemption' (i) CFTC Small Bank Exemptions (iii) CFTC Captive Finance Company Exemptions (iv) CFTC Exempt Cooperative Exemption 1° or (v) CFTC Treasury Affiliate Exemption" (c) You are not a US Person but your obligations receive a guarantee…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01373560.pdf
EFTA01388677
Dataset 10
2017-10-06
1p
214w
Subject:
Question
From:
Paul Barrett
To:
Martin Zeman
…Subject: Question Martin My question for Sebastian regards the definition of a
Financial Entity
. My understanding of a Private Fund is typically a hedge fund or private equity fund. Southern Financial LLC is wholly owned by the Principal and does not take outside money. The sole purpose is to hold some of his assets. Therefore we are inclined to say that we are not a Private Fund and therefore not a
Financial Entity
for the purpose of the Swap Protocol…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01388677.pdf
EFTA01389105
Dataset 10
1p
553w
…that is based. in whole or in part. upon the agreement of Client that DB need not disclose pre-trade mid-market marks, including but not limited to the relief from such requirements provided in CFTC Letters No. 12-42 and 12-58. "
Financial Entity
" has the meaning ascribed to it in Section 2(h)(7)(C)(1) of the CEA and includes a Swap Dealer, Major Swap Participant, Security-Based Swap Dealer, Major Security-Based Swap Participant. a Commodity…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01389105.pdf
EFTA01438169
Dataset 10
2017-10-06
2p
131w
Subject:
Question
From:
Paul Barrett ‹ >
To:
Martin Zeman
…Martin My question for Sebastian regards the definition of a
Financial Entity
. My understanding of a Private Fund is typically a hedge fund or private equity fund. Southern Financial LLC is wholly owned by the Principal and does not take outside money. The sole purpose is to hold some of his assets. Therefore we are inclined to say that we are not a Private Fund and therefore not a
Financial Entity
for the purpose of the Swap Protocol. Please let…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01438169.pdf
EFTA01362748
Dataset 10
1p
480w
…Information and the OECD Common Reporting Standard (CRS) Appendix 1 Controlling Persons Controlling Persons are defined as natural persons and exercise control over the entity or the shareholders of the entity based on local Anti- Money Laundering (AML) requitement. Where that entity is treated as a Passive Non
Financial Entity
(Passive NEE, then a Financial Institution is required to determine whether or not these Controlling Persons are Reportable Persons. In the case of a Trust this means the setof(s)…
https://www.justice.gov/epstein/files/DataSet%2010/EFTA01362748.pdf
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