This document is a questionnaire related to financial advisory services, focusing on soft dollar benefits, client referrals, and custody of client assets. It includes questions about compensation for referrals, custody of client funds and securities, and related custodial practices.
doj/DataSet10/EFTA01372465.pdf
{"document_type":"legal","document_subtype":"questionnaire","reference_numbers":["DB-SDNY-0066174","SDNY_GM_00212358","EFTA01372465"]}