The document outlines procedures and restrictions for trading and transferring securities, particularly focusing on custody accounts and EEA retail clients. It specifies conditions under which trades can be executed, especially for German and non-German clients, and highlights the need for documentation and verification in certain cases. It also mentions internal security transfers and the prohibition of buying mutual funds or ETFs for custody accounts.
documents/vol00010-efta01356619-pdf.pdf
{"document_date":"2018-12-26","document_type":"correspondence","key_locations":["Germany"],"key_organizations":["TAG","US WM","WM Germany","State Street"]}