if yes, confirm HNW Company Exemption form is on file. The following CSG CA Numbers are excluded: DOL, GGC, EHM, WAM, L6S, EMP, EIS, MUR, A3B, EEA, AlD. Accounts coded "EEA Exception Approved" on NetX are excluded o Sheet 4: Brokerage accounts where NetX is not coded "UK HNW Company" and dbForce reflects EE