EFTA Document EFTA01399148

Monthly Reverse Solicitation Review On a monthly basis on or about the 15th of each month, review "inflow" transactions above $1M from identified EEA accounts (non-Germany) to confirm if appropriate "Cross Border Call Note" is available in dbForce with details of reverse solicitation evidence. If not available, will escalate to BM Team for further research and resolution. (X:\BSOPWM\RIA Surveillance\Reverse Solicitation - Monthly) Update dbinsight "New EEA Clients (excluding Germany)" lis