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er 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 Americas Resolution Finding Owner Sign-off WI ?-, l.ilon Cohen I road Apptoval_4 II
y 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 Americas Resolution Finding Owner Sign-off WI ?-, l.ilon Cohen I r
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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 Middl
MIFID II - Remaining EEA Countries (Excl Germany & UK) — Evidence Document • Finding ID: Evidence # 1: Daily Middle Office Exception Report • Description: Daily automated report d
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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 autom
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 Descr
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Entities connected to both Excl Germany & UK and EEA Countries
