EFTA00237177Dataset 9
3p1,380w
…representative or nominee for one or more investors, is any of such investors a Government Entity) 0 yes t(No (ii) If the answer to question (ii) is "Yes", please indicate the names of any such investor ML281817-MAXWELL Private and Confidential 9 CONFIDENTIAL UBSTERRAMAR00001533 EFTA00237178 Investor Application Form (continued) NFA Bylaw 1101 Certification (Please initial as appropriate.) Individual, IRA and Foundation Investors: The Investor represents and warrants that it is an individual. IRA or a foundation and that it…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237177.pdf
EFTA00237385Dataset 9
2014-07-0120p14,608w
…the client and I have properly placed such form on file pursuant to internal UBS policy. (4) confirmed, with reasonable due inquiry, including my review of relevant account documentation, that the client's representations provided in the NFA Bylaw 1101 Certification (if applicable). Regarding Item 2;b) above, in the event that the client is an entity isuch as a trust or partnership; that does not itself meet the minimum investment requirements (such as net worth), I have ascertained from…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237385.pdf
EFTA00236323Dataset 9
2014-07-0118p10,892w
…H. Government Entity Status (0 Is the Investor a Government Entity' ❑ Yes 67 1o (a) If the Investor is acting as agent, representative or nominee for one or more investors, is any of such investors a Government Entity' ❑ YeS 6/ No If the answer to question is please indicate the names of any such investor EF236556 Private and Confidential 9 CONFIDENTIAL UBSTERRAMAR00000632 EFTA00236331 Investor Application Form (continued) I. NFA Bylaw 1101 Certification (Please initial as appropriate.; Individual, IRA…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00236323.pdf
EFTA00237364Dataset 9
2p1,962w
…client and I nave Properly placed such form on Me pursuant to internal Les PolicY. and (4) confirmed, with reasonable due floury, texhideo my rearm of relevant aCCOsest CCCUreentatiCr. that the client's representations provided in the NFA Bylaw 1101 Certification (if appaCahlth Regarding Item 2(b) above, in the event that the client d an ent ty isqrh as a trust a partnership; :hat does not itself meet the minimum nwstment requirements (suer' as net won!') I have ascertained…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237364.pdf
EFTA00237169Dataset 9
6p3,091w
…V, If* kneSIOr a 601.1•Pliter. I 0 Vas /No d Path-west& s ears as agent, tepresentame a natant* to one a rope irdeStal. d any d sucr investors a Gmettvnent trete CI 'Ms /No (at: if the mover to question .* as ' Yee, please akar/ the navies <A any such Ireton Private and Centidennal CONFIDENTIAL UBSTERRAMAR00001525 EFTA00237170 Investor Application Form (continued) I. NFA Bylaw 1101 Certification (Please Initial as appropriate. Individual. MA and Foundation Marston: p:(purl.. And…
https://www.justice.gov/epstein/files/DataSet%209/EFTA00237169.pdf