EFTA Document EFTA01399167

MIFID II - Remaining EEA Countries (Excl Germany & UK) - Evidence Document Finding ID: GFMS 90-017/2019 #43 (dbTrack2407699) 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: Sheet 1: The accounts on this worksheet are coded EEA on dbForce, but are not coded EEA on NetX. Must code EEA o