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sd-10-EFTA01356555Dept. of Justice

EFTA Document EFTA01356555

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1. Background (Populate from GFMS) Finding Rating F3 !Significant IS F2 : Important 0 Ft (not GA or SI!) 0 Finding Type GA Finding LI Sit (excl. RTC raised) Z SII (RTC raised) Li Supervisory Authority Finding - trilateral 0 Supervisory Authority Finding - other 0 Obligation 0 Statutory external audit 0 Target Date 2019-04-30 Regulator / Auditor NA. Finding Title MIFID II - Remaining EEA Countries (Excl Germany & UK) GEMS / Finding reference ■ Corporate Division of WM Ameri

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Dept. of Justice
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sd-10-EFTA01356555
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