EFTA Document EFTA01356670

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MIFID II - Remaining EEA Countries (Excl Germany & UK) - Evidence Document • Finding ID: Evidence # 1: Daily Middle Office Exception Report • Description: Daily automated report distributed to Middle Office to ensure that EEA brokerage accounts are only serviced on a reverse solicitation basis. The report contains 4 worksheets described below: o Sheet 1: The accounts on this worksheet are coded EEA on dbForce, but are not coded EEA on NetX. Must code EEA on NetX o Sheet 2: The account

Date

Unknown

Source

Dept. of Justice

Reference

sd-10-EFTA01356670

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