EFTA Document EFTA01387041

As long as you are not aware of any potential issues and the client meets the below criteria, you can enter them in compliance direct only if they confirm attendance. Questions or concerns should be directed to the ABC group. Criteria: • Invitees should be limited to the wealth management client (or prospect) and/or their family members • No sensitive counterparts (including public officials, regulatory agencies, etc.) • DB payment of client travel & accommodation is not permitted • P