The document outlines the compliance requirements for MIFID II for US WM servicing EEA clients, excluding Germany and the UK. It details the action plans for confirming account scope, determining accounts to retain or exit, and implementing processes for reverse solicitation evidence.
documents/vol00010-efta01356555-pdf.pdf
{"title":"MIFID II - Remaining EEA Countries (Excl Germany & UK)","key_people":["Karen Cohen"],"document_date":"2019-04-11","document_type":"correspondence","key_locations":["EEA","Germany","UK"],"document_subtype":"internal memo","key_organizations":["US WM","WM Americas"],"reference_numbers":["2409355","DB-SDNY-0042462","SDNY_GM_00188646","EFTA01356555"]}