Finding Closure Paper Finding ID: GFMS 90-017/2019 #43 (dbTrack2407699) Finding Title: MIFID II - Remaining EEA Countries (Excl Germany & UK) Finding Owner: Karen Cohen Document Author: Sylvia Escobar Document Date: 04/12/2019 Fa internal use oat Page 1N12 CONFIDENTIAL - PURSUANT TO

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

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: GFMS 90-017/2019 #43 (dbTrack2407699) Evidence # 1: Daily Middle Office Exception Report Description: Daily autom