: Sylvia Escobar Sent: 4/11/2019 5:05:01 PM To: Kimberly Hart CC: Julie Cataudella ; Karen Cohen Subject: SII Closure: MIFID II - Remaining EEA Countries (Excl Germany r UK FM 17/2019 #43 (dbTrack2407699) Attachments: Finding Owner Closure Pack Template 04.12.2019.docx; EEA Remaining CLients_SII_Evi

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

MIFID II - Remaining EEA Countries (Excl Germany & UK) — Evidence Document • Finding ID: Evidence # 1: Daily Middle Office Exception Report • Description: Daily automated report d

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