ar 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_Evidence_Document

ntities country of establishment and citizenship are irrelevant to determine EEA clients/accounts. 7 EFTA01399084 Reverse Solicitation Controls (Excl Germany) 8 Control Name Control Details 1. New EEA Leads / Prospects RM Team completes Non-target Lead form in dbForce(1). RM reviews and submits Non-t