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sd-10-EFTA01356626Dept. of Justice

EFTA Document EFTA01356626

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Trading Fixed Income HRM Rules applies- No Supporting Document -NO Check points: a. TAG verifies Cusip and holdings for the Security. b. For Trading Equity cases following comment should be there in description: "All security and account restriction review passed" c. If for buy trade balance is not sufficient in Global plus then we check incoming funds reason should be mentioned in the description. e. In case if the teas is created from account number then approval from Jennifer Barker/

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Dept. of Justice
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sd-10-EFTA01356626
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