A daily automated report distributed to the Middle Office to ensure that EEA brokerage accounts are serviced on a reverse solicitation basis. It contains four worksheets addressing discrepancies in EEA coding between dbForce and NetX systems, and checks for compliance with UK HNW Company exemptions.
documents/vol00010-efta01356670-pdf.pdf
{"title":"Daily Middle Office Exception Report","document_type":"tabular","key_locations":["EEA","UK"],"document_subtype":"report","key_organizations":["Middle Office"],"reference_numbers":["DB-SDNY-0042649","SDNY_GM_00188833","EFTA01356670"]}