This document provides evidence related to the servicing of EEA brokerage accounts on a reverse solicitation basis, as per MIFID II regulations. It includes daily reports and compliance checks to ensure proper coding and approvals for EEA accounts. The document contains four main pieces of evidence: 1) Daily Middle Office Exception Report, 2) Mismatch EEA Report, 3) EMEA Legal & Compliance approvals, and 4) Sample of KYCs approved from Feb 1 through April 10. Each piece of evidence is accompanied by specific worksheets and reports to verify compliance and proper account handling.
documents/EFTA01399167.pdf
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