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COMPLIANCE PART ONE (To be completed by the Compliance Department only)

Date Part one received by Compliance *

Name of Compliance team member handling report *

Pricing Error analysis

Reportable to custodian? *

DMS reference of notification *

Reportable to GFSC? *

DMS reference of notification *

Complaints

Classification of Complaint *

Reportable to GFSC? *

Date *

Complaint Analysis

Part one Date received *

Type Code * Year (numerical Sequence) * Information *

Reference given to report *

Date Breach Register Updated:

Date Complaints Register Updated:

Was report sufficiently detailed to enable clear understanding?

Is this indicative of a theme?

Further Action Recommended?

Further Information: (If required, form to be resubmitted to sender for this box to be completed:

Comments for Register Ref :DMS - 210719

13:10

Complaince Officer

Some Conversation about the breach report Questions asked by Compliance officer

14:12

Employee

Some Conversation about the breach report Questions answered by Employee

13:10

Complaince Officer

Some Conversation about the breach report Questions asked by Compliance officer

14:12

Employee

Some Conversation about the breach report Questions answered by Employee

13:10

Complaince Officer

Some Conversation about the breach report Questions asked by Compliance officer

14:12

Employee

Some Conversation about the breach report Questions answered by Employee

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Compliance Breach Report - Part I

COMPLIANCE PART ONE (To be completed by the Compliance Department only)

Pricing Error analysis

Complaints

Complaint Analysis

Complaince Officer

Employee

Complaince Officer

Employee

Complaince Officer

Employee