1109002 Informal Interpretation

Date:
Rule:
Item 4(d)
Staff:
Kathryn Walsh
Response/Comments:

  – You need to include all of those pitch books. The best place to do it is probably in response to 4(d)(ii).

Question

From: (Redacted)
Sent: Thursday, September 08, 201110:50 AM
To: Walsh,Kathryn
Subject: Banker Material

HiKate,

Theclient in my transaction interviewed a number of bankers before selecting thosewith which it would deal. Would the banker pitch books for the bankers who werenot selected be responsive to Item 4? The books may include material that isresponsive from a subject matter basis. Thanks very much.

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