ASSET MANAGEMENT (Wholesale)

ASSET MANAGEMENT (Retail)

US BROKER DEALER PROFILE

COMMERCIAL BANKING

INVESTMENT BANKING

INVESTMENT FIRM

RETAIL BANKING

THOMSON REUTERS REGULATORY SECURITIES I INTELLIGENCE MYUPDATES SECTOR GUIDELINES

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

ASSET MANAGEMENT (Retail) The following document provides several template MyUpdates sectors for the Thomson Reuters Regulatory Intelligence solution. In order to use this guide, please select a profile of interest listed down the right hand side of the page. Using the information provided you will be able to generate a MyUpdate profile by selecting the Sectors and Themes listed and then selecting the organisations which are relevant to your subscription. US BROKER DEALER PROFILE For more information on MyUpdates and how to configure them, please consult theThomson Reuters Regulatory Intelligence User Guide.

COMMERCIAL BANKING

INVESTMENT BANKING

INVESTMENT FIRM

RETAIL BANKING

SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

ASSET MANAGEMENT (WHOLESALE) ASSET MANAGEMENT (Retail) SECTOR • Belgian and Markets Authority • Securities and : wholesale / institutional – • Central of Ireland • Comision Nacional del Mercado de Valores (CNMV) investment management US BROKER DEALER PROFILE • Comité consultative du secteur financier (CCSF) THEMES • Commission de Surveillance du Secteur Financier • Corporate governance (Luxembourg) • Internal controls • Commissione Nazionale per le Società e la Borsa COMMERCIAL BANKING • AML, CFT and international sanctions (CONSOB) • Conflicts of interest and anti-bribery • Council of the European Union • Recordkeeping • Cyprus Securities and Exchange Commission INVESTMENT BANKING • Collective investment schemes / funds • Danish Financial Supervisory Authority (Finanstilsynet) • Client assets / accounts • De Nederlandsche Bank (DNB) • Supervision • European Banking Authority (formerly CEBS) • Enforcement • European Commission (DG Internal Market) INVESTMENT FIRM • European Securities and Markets Authority (formerly EUROPE PROFILE CESR) The following organisations – select all documents • Federal Authorities of the Swiss Confederation RETAIL BANKING • Association for Financial Markets in Europe (AFME) • Financial Action Task Force (FATF) • Austrian Authority • Financial Conduct Authority • Austrian Takeover Commission • Financial Reporting Council (UK) SECURITIES I • Autorité de contrôle prudentiel et de résolution (ACPR) • Financial Stability Board • Autorité des Marchés Financiers • Finland Financial Supervisory Authority (FIN-FSA) • BaFin (German Federal Financial Supervisory Authority) • Gibraltar Financial Services Commission SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Greek Capital Market Commission ASIA PROFILE ASSET MANAGEMENT (Retail) • Guernsey Financial Services Commission The following organisations – select all documents • HM Treasury • Securities and Exchange Commission () • Hedge Fund Standards Board • Asia Securities Industry & Financial Markets Association • Hungarian Financial Supervisory Authority US BROKER DEALER PROFILE • Asset Management Association of (AMAC) • International Capital Markets Association • Association of Mutual Funds in • Isle of Man Financial Supervision Commission • Bank Negara • Jersey Financial Services Commission • China Banking Regulatory Commission COMMERCIAL BANKING • Malta Financial Services Authority •  and Money Market And Derivatives • Ministry of Economics and () Association of India (FIMMDA) • Netherlands Authority for Financial Markets (AFM) • Hong Kong Monetary Authority (HKMA) INVESTMENT BANKING • Norway Financial Supervisory Authority (Finanstilsynet) • Hong Kong Securities and Investment Institute • Portuguese Securities Market Commission (CMVM) • Indonesian Financial Services Authority (OJK) • Prudential Regulation Authority • Indonesian Financial Transaction Reports and Analysis • State Secretariat for Economic Affairs (SECO) Centre (Pusat Pelaporan dan Analisis Transaksi INVESTMENT FIRM Keuangan) • Swedish Financial Supervisory Authority (Finansinspektionen) • Islamic Financial Services Board • Swiss Federal Banking Commission • Financial Services Agency RETAIL BANKING • Swiss Financial Market Supervisory Authority (FINMA) • Korea Financial Investment Association • Swiss Funds & Asset Management Association • Korea Financial Services Commission • Swiss Takeover Board • Korea Financial Supervisory Service • The Takeover Panel • Labuan Financial Services Authority SECURITIES I • UK Serious Fraud Office • Ministry of Finance () • Monetary Authority of Singapore (MAS)

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• National Association of Financial Market Institutional US/ PROFILE Investors (NAFMII) ASSET MANAGEMENT (Retail) The following organisations – select all documents • Office of the Privacy Commissioner (Hong Kong) • Personal Data Protection Commission (Singapore) • Securities and Exchange Commission • Philippines Securities and Exchange Commission • Investment Industry Regulatory Organisation of Canada US BROKER DEALER PROFILE • Securities Commission (Malaysia) • Canadian Securities Administrators • Securities and Exchange Commission (Thailand) • Financial Transaction and Reports Analysis Centre of Canada • Securities and Futures Commission (Hong Kong) • Investment Funds Institute of Canada • Financial Supervisory Commission COMMERCIAL BANKING • Investment Industry Association of Canada • Taiwan Securities Association MIDDLE EAST PROFILE AUSTALASIA PROFILE The following organisations – select all documents INVESTMENT BANKING The following organisations – select all documents • of Bahrain • Australian Government - The Treasury • Central Bank of Kuwait • Australian Prudential Regulation Authority • Capital Market Authority INVESTMENT FIRM • Australian Securities and Investments Commission • Qatar Financial Centre Authority • Financial Markets Authority (formerly Securities Commission New Zealand) • Qatar Financial Centre Regulatory Authority • Banking Regulation and Supervisory Agency • Financial Planning Association of Australia RETAIL BANKING • Financial System Inquiry • Financial Services Authority • Ministry of Economic Development (New Zealand)

SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

ASSET MANAGEMENT (RETAIL) ASSET MANAGEMENT (Retail) SECTOR • Autorité des Marchés Financiers • Securities and commodities: retail – investment • BaFin (German Federal Financial Supervisory Authority) management • Belgian Financial Services and Markets Authority US BROKER DEALER PROFILE THEMES • Central Bank of Ireland • Internal controls • Comision Nacional del Mercado de Valores (CNMV) • AML, CFT and international sanctions • Comité consultative du secteur financier (CCSF) COMMERCIAL BANKING • Conflicts of interest and anti-bribery • Commission de Surveillance du Secteur Financier (Luxembourg) • Employees and associated persons • Commissione Nazionale per le Società e la Borsa • Recordkeeping (CONSOB) INVESTMENT BANKING • Collective investment schemes / funds • Council of the European Union • Conduct of business • Cyprus Securities and Exchange Commission • Communications • Danish Financial Supervisory Authority (Finanstilsynet) INVESTMENT FIRM • Client assets / accounts • De Nederlandsche Bank (DNB) • Dispute resolution and redress • European Banking Authority (formerly CEBS) • Supervision • European Commission (DG Internal Market) • Enforcement • European Securities and Markets Authority (formerly RETAIL BANKING CESR) EUROPE PROFILE • Financial Action Task Force (FATF) The following organisations – select all documents • Financial Conduct Authority • Association for Financial Markets in Europe (AFME) SECURITIES I • Financial Ombudsman Service (UK) • Austrian Financial Market Authority • Financial Reporting Council (UK) • Austrian Takeover Commission • Financial Services Compensation Scheme • Autorité de contrôle prudentiel et de résolution (ACPR) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Financial Services Consumer Panel • Swiss Takeover Board • Financial Stability Board • The Law Commission ASSET MANAGEMENT (Retail) • Finland Financial Supervisory Authority (FIN-FSA) • The Takeover Panel • Gibraltar Financial Services Commission • UK Serious Fraud Office • Greek Capital Market Commission • Wealth Management Association (formerly the US BROKER DEALER PROFILE Association of Private Client Investment Managers and • Guernsey Financial Services Commission Stockbrokers) • HM Treasury • Hedge Fund Standards Board ASIA PROFILE COMMERCIAL BANKING The following organisations – select all documents • Hungarian Financial Supervisory Authority • Securities and Exchange Commission (Philippines) • International Capital Markets Association • Asia Securities Industry & Financial Markets Association • Isle of Man Financial Supervision Commission • Asset Management Association of China (AMAC) INVESTMENT BANKING • Jersey Financial Services Commission • Association of Mutual Funds in India • Malta Financial Services Authority • Bank Negara Malaysia • Ministry of Economics and Finance (France) • China Banking Regulatory Commission • Netherlands Authority for Financial Markets (AFM) INVESTMENT FIRM • Fixed Income and Money Market And Derivatives • Norway Financial Supervisory Authority (Finanstilsynet) Association of India (FIMMDA) • Portuguese Securities Market Commission (CMVM) • Hong Kong Monetary Authority (HKMA) • Prudential Regulation Authority • Hong Kong Securities and Investment Institute RETAIL BANKING • State Secretariat for Economic Affairs (SECO) • Indonesian Financial Services Authority (OJK) • Swedish Financial Supervisory Authority • Indonesian Financial Transaction Reports and Analysis (Finansinspektionen) Centre (Pusat Pelaporan dan Analisis Transaksi • Swiss Federal Banking Commission Keuangan) SECURITIES I • Swiss Financial Market Supervisory Authority (FINMA) • Islamic Financial Services Board • Swiss Funds & Asset Management Association • Japan Financial Services Agency SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Korea Financial Investment Association • Financial System Inquiry • Korea Financial Services Commission • Ministry of Economic Development (New Zealand) ASSET MANAGEMENT (Retail) • Korea Financial Supervisory Service US/ CANADA PROFILE • Labuan Financial Services Authority The following organisations – select all documents • Ministry of Finance (Singapore) • Securities and Exchange Commission US BROKER DEALER PROFILE • Monetary Authority of Singapore (MAS) • Investment Industry Regulatory Organisation of Canada • National Association of Financial Market Institutional • Canadian Securities Administrators Investors (NAFMII) • Financial Transaction and Reports Analysis Centre of • Office of the Privacy Commissioner (Hong Kong) COMMERCIAL BANKING Canada • Personal Data Protection Commission (Singapore) • Investment Funds Institute of Canada • Philippines Securities and Exchange Commission • Investment Industry Association of Canada • Securities Commission (Malaysia) INVESTMENT BANKING • Mutual Fund Dealers Association • Securities and Exchange Commission (Thailand) • Ombudsman for Banking Services and Investments • Securities and Futures Commission (Hong Kong) MIDDLE EAST PROFILE • Taiwan Financial Supervisory Commission INVESTMENT FIRM The following organisations – select all documents • Taiwan Securities Association • Central Bank of Bahrain AUSTALASIA PROFILE • Central Bank of Kuwait The following organisations – select all documents • Capital Market Authority RETAIL BANKING • Australian Government - The Treasury • Qatar Financial Centre Authority • Australian Prudential Regulation Authority • Qatar Financial Centre Regulatory Authority • Australian Securities and Investments Commission • Banking Regulation and Supervisory Agency SECURITIES I • Financial Markets Authority (formerly Securities • Dubai Financial Services Authority Commission New Zealand) • Financial Planning Association of Australia

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

US BROKER DEALER PROFILE ASSET MANAGEMENT (Retail) SECTOR CONTENT TYPE • Retail – Securities • Regulatory materials: SRO / Exchange Materials, Enforcements, Announcements and News Releases, • Commodities Trading and Wholesale US BROKER DEALER PROFILE Public Notices, Policy documents, Guidance and • Institutional - Securities interpretation, Discussion and consultation documents, • Commodities Trading [depending on your profile it might comments and feedback, Pending regulations, be one or the other or both] Regulations. • Editorial summaries and analysis: Reuters and Accelus COMMERCIAL BANKING GEOGRAPHY News, Expert Analysis, Latest Updates • of America ORGANIZATIONS THEMES Financial Industry Regulatory Authority, Securities and INVESTMENT BANKING • Internal Oversight >Internal controls > Conflicts of Exchange Commission, National Futures Association, interest and anti-bribery: Employee trading / Gifts Commodities Futures Trading Commission, Office of Foreign and entertainment / Information barriers / Research / Assets Control. And various exchanges (depending on those Trading with directors, officers and shareholders / Watch the client trades on). and restricted list procedures INVESTMENT FIRM • Internal Oversight >Internal controls > Recordkeeping: Transactional records • Business activities > Trading RETAIL BANKING • Business Conduct Standards > Conduct of business: Best execution / fair pricing / client / customer categorization / Investment advice / recommendations • Regulatory Structure and Oversight: Enforcement / SECURITIES I Offenses / violations and Penalties and remedies

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

COMMERCIAL BANKING ASSET MANAGEMENT (Retail) SECTOR • Commission de Surveillance du Secteur Financier (Luxembourg) • Banking > Wholesale / Institutional • Commissione Nazionale per le Società e la Borsa • Securities and Commodities > (CONSOB) US BROKER DEALER PROFILE THEMES • Council of the European Union • Entity Establishment and Governance > Capital and • Cyprus Securities and Exchange Commission accounting •Danish Financial Supervisory Authority (Finanstilsynet) COMMERCIAL BANKING • Internal Oversight > Internal controls / Risk / Conflicts of • De Nederlandsche Bank (DNB) interest and anti-bribery • Deutsche Bundesbank • Business activities > Banking > Commercial lending • European Commission (DG Internal Market) • Regulatory Structure and Oversight > Offences / INVESTMENT BANKING violations • Financial Conduct Authority • Financial Stability Board EUROPE PROFILE • Finland Financial Supervisory Authority (FIN-FSA) The following organisations – select all documents INVESTMENT FIRM • Gibraltar Financial Services Commission • Austrian Financial Market Authority • Greek Capital Market Commission • Autorité de contrôle prudentiel et de résolution (ACPR) • Guernsey Financial Services Commission • Autorité des Marchés Financiers • Hungarian Financial Supervisory Authority RETAIL BANKING • BaFin (German Federal Financial Supervisory Authority) • Isle of Man Financial Supervision Commission • Belgian Financial Services and Markets Authority • Jersey Financial Services Commission • Central Bank of Ireland • Malta Financial Services Authority • Comision Nacional del Mercado de Valores (CNMV) SECURITIES I • Netherlands Authority for Financial Markets (AFM) • Comité consultative du secteur financier (CCSF)

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

ASSET MANAGEMENT (Retail) • Norway Financial Supervisory Authority (Finanstilsynet) • Central Bank of • Portuguese Securities Market Commission (CMVM) • Central Bank of the • Prudential Regulation Authority • Dubai Financial Services Authority • State Secretariat for Economic Affairs (SECO) • Qatar Financial Centre Authority US BROKER DEALER PROFILE • Swedish Financial Supervisory Authority • Qatar Financial Centre Regulatory Authority (Finansinspektionen) • Saudi Arabian Monetary Agency • Swiss Financial Market Supervisory Authority (FINMA) ASIA PROFILE COMMERCIAL BANKING US/ CANADA PROFILE The following organisations – select all documents The following organisations – select all documents • Securities and Exchange Commission (Philippines) • Office of the Superintendant of Financial Institutions • Asia Securities Industry & Financial Markets Association INVESTMENT BANKING (OSFI) • Bank Negara Malaysia • Office of the Comptroller of the Currency • China Banking Regulatory Commission • Federal Reserve • China Securities Regulatory Commission • Federal Deposit Insurance Corporation INVESTMENT FIRM • Financial Services and the Treasury Bureau • Financial Industry Regulatory Authority (FINRA) • Hong Kong Monetary Authority (HKMA) • Financial Stability Oversight Council (FSOC) • Indonesian Financial Services Authority (OJK) RETAIL BANKING MIDDLE EAST PROFILE • Japan Financial Services Agency The following organisations – select all documents • Korea Deposit Insurance Corporation (KDIC) • Banking Regulation and Supervision Agency (Turkey) • Korea Financial Intelligence Unit (KFIU) • Capital Market Authority (Oman) • Korea Financial Investment Association SECURITIES I • Capital Markets Board of Turkey • Korea Financial Services Commission • Central Bank of Bahrain • Korea Financial Supervisory Service • Central Bank of Kuwait SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Labuan Financial Services Authority AUSTRALASIA PROFILE ASSET MANAGEMENT (Retail) • Monetary Authority of Singapore (MAS) The following organisations – select all documents • National Securities Depository Limited • Australian Government - The Treasury • Perbadanan Insurans Deposit Malaysia (PIDM) • Australian Prudential Regulation Authority • Philippines Securities and Exchange Commission • Australian Securities and Investments Commission US BROKER DEALER PROFILE • Securities Commission (Malaysia) • Financial Markets Authority (formerly Securities • Securities and Futures Commission (Hong Kong) Commission New Zealand) • State Administration for Industry and Commerce (China) • Ministry of Economic Development (New Zealand) COMMERCIAL BANKING • State Securities Commission of Vietnam • Reserve Bank of Australia • Taiwan Financial Supervisory Commission • Reserve Bank of New Zealand • Type II Financial Instruments Firms Association INVESTMENT BANKING

INVESTMENT FIRM

RETAIL BANKING

SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

INVESTMENT BANKING ASSET MANAGEMENT (Retail) SECTOR • Central Bank of Ireland • Banking: Wholesale / Institutional • Comision Nacional del Mercado de Valores (CNMV) • Comité consultative du secteur financier (CCSF) • Securities and commodities: Corporate Finance US BROKER DEALER PROFILE • Commission de Surveillance du Secteur Financier THEMES (Luxembourg) • Capital and accounting • Commissione Nazionale per le Società e la Borsa (CONSOB) • Internal controls COMMERCIAL BANKING • Risk • Council of the European Union • Conflicts of interest and anti-bribery • Cyprus Securities and Exchange Commission • Recordkeeping • Danish Financial Supervisory Authority (Finanstilsynet) INVESTMENT BANKING • Offerings • De Nederlandsche Bank (DNB) • Banking • European Banking Authority (formerly CEBS) • Supervision • European Commission (DG Internal Market) • Enforcement • European Securities and Markets Authority (formerly INVESTMENT FIRM CESR) EUROPE PROFILE • Financial Conduct Authority The following organisations – select all documents • Financial Reporting Council (UK) RETAIL BANKING • Association for Financial Markets in Europe (AFME) • Financial Stability Board • Austrian Financial Market Authority • Finland Financial Supervisory Authority (FIN-FSA) • Austrian Takeover Commission • Gibraltar Financial Services Commission • Autorité de contrôle prudentiel et de résolution (ACPR) • Greek Capital Market Commission SECURITIES I • Autorité des Marchés Financiers • Guernsey Financial Services Commission • BaFin (German Federal Financial Supervisory Authority) • HM Treasury • Belgian Financial Services and Markets Authority SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Hungarian Financial Supervisory Authority • Hong Kong Securities and Investment Institute • International Capital Markets Association • Indonesian Financial Services Authority (OJK) ASSET MANAGEMENT (Retail) • Isle of Man Financial Supervision Commission • Islamic Financial Services Board • Jersey Financial Services Commission • Japan Financial Services Agency • Malta Financial Services Authority • Korea Financial Investment Association US BROKER DEALER PROFILE • Ministry of Economics and Finance (France) • Korea Financial Services Commission • Netherlands Authority for Financial Markets (AFM) • Korea Financial Supervisory Service • Norway Financial Supervisory Authority (Finanstilsynet) • Labuan Financial Services Authority COMMERCIAL BANKING • Portuguese Securities Market Commission (CMVM) • Ministry of Finance (Singapore) • Prudential Regulation Authority • Monetary Authority of Singapore (MAS) • State Secretariat for Economic Affairs (SECO) • National Association of Financial Market Institutional Investors (NAFMII) INVESTMENT BANKING • Swedish Financial Supervisory Authority (Finansinspektionen) • Philippines Securities and Exchange Commission • Swiss Federal Banking Commission • Securities Commission (Malaysia)

• Swiss Financial Market Supervisory Authority (FINMA) • Securities and Exchange Commission (Thailand) INVESTMENT FIRM • Swiss Takeover Board • Securities and Futures Commission (Hong Kong) • The Takeover Panel • Taiwan Financial Supervisory Commission • Taiwan Securities Association ASIA PROFILE RETAIL BANKING The following organisations – select all documents AUSTALASIA PROFILE • Securities and Exchange Commission (Philippines) The following organisations – select all documents • Asia Securities Industry & Financial Markets Association • Australian Government - The Treasury SECURITIES I • Bank Negara Malaysia • Australian Prudential Regulation Authority • China Banking Regulatory Commission • Australian Securities and Investments Commission • Hong Kong Monetary Authority (HKMA) • Financial Markets Authority (formerly Securities SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

Commission New Zealand) MIDDLE EAST PROFILE ASSET MANAGEMENT (Retail) • Financial System Inquiry The following organisations – select all documents • Ministry of Economic Development (New Zealand) • Central Bank of Bahrain US/ Canada profile • Central Bank of Kuwait The following organisations – select all documents • Capital Market Authority US BROKER DEALER PROFILE • Securities and Exchange Commission • Qatar Financial Centre Authority • Federal Reserve • Qatar Financial Centre Regulatory Authority • FINRA • Banking Regulation and Supervisory Agency COMMERCIAL BANKING • Canadian Securities Administrators • Dubai Financial Services Authority • Department of Finance, Canada • Office of the Superintendant of Financial Institutions INVESTMENT BANKING • Investment Funds Institute of Canada • Investment Industry Association of Canada

INVESTMENT FIRM

RETAIL BANKING

SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

INVESTMENT FIRM ASSET MANAGEMENT (Retail) SECTOR • Prudential Regulation Authority • Insurance > Retail • The Pensions Regulator • Insurance > Wholesale/ Institutional • European Insurance and Occupational Pensions Authority US BROKER DEALER PROFILE • European Commission (DG Internal Market) THEMES • European Systemic Risk Board • Entity establishment and governance • Financial Stability Board • Internal oversight COMMERCIAL BANKING • Autorite de Contrôle des Assurances et des Mutuelles • Business activities > insurance underwriting • Dirección General de Seguros y Fondos de Pensiones • Business conduct standards (DGSFP) • Regulatory structure and oversight • BaFin INVESTMENT BANKING EUROPE PROFILE • Belgian Financial Services and Markets Authority The following organisations – select all documents • Central Bank of Ireland • Commissariat aux Assurances • Association of British Insurers INVESTMENT FIRM • British Insurance Brokers’ Association • International Association of Insurance Supervisors (IAIS) • Chartered Insurance Institute • Swiss Financial Market Supervisory Authority (FINMA) • Financial Conduct Authority US/ CANADA PROFILE RETAIL BANKING • Financial Ombudsman Service (UK) The following organisations – select all documents • Financial Reporting Council • Alberta Insurance Council • HM Treasury • Canadian Council of Insurance Regulators SECURITIES I • Department for Work and Pensions • Canadian Life & Health Insurance Association • HM Revenue and Customs • Financial and Consumer Affairs Authority (Saskatchewan) • Office of Fair Trading (UK) • Financial Consumer Agency of Canada (FCAC) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Insurance Council of British Columbia: News release • Hong Kong Federation of Insurers ASSET MANAGEMENT (Retail) • Insurance Council of Manitoba: Amendment/ Bulletin / • Hong Kong Monetary Authority (HKMA) Consultation • Office of the Commissioner of Insurance (Hong Kong) • Office of the Superintendant of Financial Institutions • Professional Insurance Brokers Association (Hong Kong) (OSFI) US BROKER DEALER PROFILE • Monetary Authority of Singapore • Consumer Financial Protection Bureau (CFPB) • Life Insurance Association (Singapore) • Department of Financial Services – New York (DFS) • Federal Reserve AUSTRALASIA PROFILE COMMERCIAL BANKING • Federal Reserve – Bank of Boston The following organisations – select all documents • Federal Reserve – Bank of New York • Australian Government - The Treasury • Financial Stability Oversight Council (FSOC) • Australian Prudential Regulation Authority • Financial Markets Authority (formerly Securities INVESTMENT BANKING MIDDLE EAST PROFILE Commission New Zealand) The following organisations – select all documents • Ministry of Economic Development (New Zealand) • Dubai Financial Services Authority (DFSA) • Reserve Bank of Australia • Insurance Authority of the UAE INVESTMENT FIRM • Reserve Bank of New Zealand • Qatar Financial Centre Regulatory Authority (QFCRA) ASIA PROFILE The following organisations – select all documents RETAIL BANKING • China Insurance Regulatory Committee • Hong Kong Confederation of Insurers Brokers SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

RETAIL BANKING ASSET MANAGEMENT (Retail) SECTOR • Financial Stability Board • Banking > Retail – Mortgage lending • Financial Reporting Council • HM Treasury • Banking > Retail – Consumer banking US BROKER DEALER PROFILE • Independent Commission on Banking THEMES • Information Commissioners Office • Entity establishment and governance • Norway Financial Supervisory Authority (Finanstilsynet) • Internal oversight • Prudential Regulation Authority COMMERCIAL BANKING • Business activities > banking • Swedish Financial Supervisory Authority • Business conduct standards (Finansinspektionen) • Regulatory structure and oversight • Swiss Financial Market Supervisory Authority (FINMA) INVESTMENT BANKING EUROPE PROFILE US/ CANADA PROFILE The following organisations – select all documents The following organisations – select all documents • British Bankers Association • Bank Acts (Canada) INVESTMENT FIRM • Basel Committee for Banking Supervision (BCBS) • Canada Deposit Insurance Corporation • BaFin (German Federal Financial Supervisory Authority) • Canadian Bankers Association • Belgian Financial Services and Markets Authority • Canadian Payments Association RETAIL BANKING • Danish Financial Supervisory Authority (Finanstilsynet) • Financial and Consumer Affairs Authority (Saskatchewan) • De Nederlandsche Bank (DNB) • Financial Consumer Agency of Canada (FCAC) • European Commission (DG Internal Market) • Office of the Superintendant of Financial Institutions • European Banking Authority (formerly CEBS) (OSFI) SECURITIES I • Financial Conduct Authority • Ombudsman for Banking Services and Investments (OBSI) • Financial Ombudsmen Service • Futures Trading Commission (CFTC) • Financial Service Compensation Scheme SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

•Consumer Financial Protection Bureau (CFPB) ASIA PROFILE ASSET MANAGEMENT (Retail) • Department of Financial Services – New York (DFS) The following organisations – select all documents • Federal Reserve • China Banking Regulatory Commission • Federal Reserve – Bank of Boston • Hong Kong Monetary Authority (HKMA) US BROKER DEALER PROFILE • Federal Reserve – Bank of New York • Indonesian Financial Services Authority (OJK) • Financial Crimes Enforcement Network (FinCEN) • Japan Financial Services Agency • Federal Deposit Insurance Corporation (FDIC) • Korea Financial Services Commission COMMERCIAL BANKING • Financial Industry Regulatory Authority (FINRA) • Korea Financial Supervisory Service • Financial Stability Oversight Council (FSOC) • Monetary Authority of Singapore (MAS) • National Future Associations (NFA) • Securities and Exchange Board of India • Office of Foreign Assets Control (OFAC) Australasia profile INVESTMENT BANKING • Office of the Comptroller of the Currency (OCC) The following organisations – select all documents • Office of Thrift Supervision (OTS) • Australian Government - The Treasury • Options Corporation (OCC) • Australian Prudential Regulation Authority INVESTMENT FIRM • Securities & Exchange Commission (SEC) • Australian Securities and Investments Commission MIDDLE EAST PROFILE • Financial Markets Authority (formerly Securities Commission New Zealand) The following organisations – select all documents RETAIL BANKING • Ministry of Economic Development (New Zealand) • Banking Regulation and Supervision Agency (Turkey) • Reserve Bank of Australia • Central Bank of Bahrain • Reserve Bank of New Zealand • Dubai Financial Services Authority SECURITIES I • Qatar Financial Centre Authority • Qatar Financial Centre Regulatory Authority • Saudi Arabian Monetary Agency SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

SECURITIES I ASSET MANAGEMENT (Retail) SECTOR • Chi-x • Securities and commodities > Retail – Securities / • Comision Nacional del Mercado de Valores (CNMV) Commodities Trading • Comité consultative du secteur financier (CCSF) US BROKER DEALER PROFILE • Securities and commodities > Wholesale / Institutional – • Commission de Surveillance du Secteur Financier Securities / Commodities Trading (Luxembourg) TOPICS • Commissione Nazionale per le Società e la Borsa (CONSOB) COMMERCIAL BANKING • Internal Oversight >Internal controls / Conflicts of interest and anti-bribery / Employees and associated persons • Council of the European Union • Business activities > Trading • Cyprus Securities and Exchange Commission • Business Conduct Standards > Conduct of business • Danish Financial Supervisory Authority (Finanstilsynet) INVESTMENT BANKING • De Nederlandsche Bank (DNB) EUROPE PROFILE • Deutsche Boerse The following organisations – select all documents • Deutsche Bundesbank • Association for Financial Markets in Europe (AFME) INVESTMENT FIRM • Dusseldorf • Austrian Financial Market Authority • EDX • Autorité de contrôle prudentiel et de résolution (ACPR) • Eurex • Autorité des Marchés Financiers • European Commission (DG Internal Market) RETAIL BANKING • BaFin (German Federal Financial Supervisory Authority) • European Energy Exchange • Belgian Financial Services and Markets Authority • European Securities and Markets Authority (formerly • Berlin Stock Exchange CESR) SECURITIES I • Bolsa de Madrid • Federation of European Securities Exchanges • Borsa Italiana • Financial Conduct Authority • Central Bank of Ireland • Financial Stability Board SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Finland Financial Supervisory Authority (FIN-FSA) • NASDAQ OMX Nordic • Gibraltar Financial Services Commission • NYSE ASSET MANAGEMENT (Retail) • Greek Capital Market Commission • NYSE • Guernsey Financial Services Commission • Netherlands Authority for Financial Markets (AFM) • Hedge Fund Standards Board • Norway Financial Supervisory Authority (Finanstilsynet) US BROKER DEALER PROFILE • Hungarian Financial Supervisory Authority • OMIP • ICAP Securities & Derivatives Exchange (formerly • Oslo Bors Markets) • Polish Power Exchange • ICE Benchmark Administration Limited COMMERCIAL BANKING • Portuguese Securities Market Commission (CMVM) • ICE Clear Europe • Power Exchange Central Europe • ICE Endex • Powernext • ICE Futures INVESTMENT BANKING • Prudential Regulation Authority • International Capital Markets Association • SIX Swiss Exchange • International Organisation of Securities Commissions • SWX Europe (IOSCO) • Service d’Information et de Controle sur les Circuits INVESTMENT FIRM • Irish Stock Exchange Financiers • Isle of Man Financial Supervision Commission • State Secretariat for Economic Affairs (SECO) • Jersey Financial Services Commission • Stuttgart Stock Exchange • LCH.Clearnet RETAIL BANKING • Swedish Financial Supervisory Authority • Metal Exchange (Finansinspektionen) • • Swiss Financial Market Supervisory Authority (FINMA)

• Luxembourg Stock Exchange • Swiss Funds & Asset Management Association SECURITIES I • Malta Financial Services Authority • Turquoise • Mercado Espanol de Futuros Financieros • Wiener Borse • NASDAQ OMX Commodities (formerly Nordpool) • Xetra SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

US/ CANADA PROFILE • Manitoba Securities Commission ASSET MANAGEMENT (Retail) The following organisations – select all documents • MarketAxess • Alberta Securities Commission • MATCH Now (TriAct) • Alpha Exchange • Natural Gas Exchange (NGX) US BROKER DEALER PROFILE • Alpha Group: Notice • New Brunswick Securities Commission • Autorité des marchés financiers (AMF) (Quebec securities • Nova Scotia Securities Commission regulator) • Office of the Superintendant of Financial Institutions (OSFI) • Montreal Exchange COMMERCIAL BANKING • British Columbia Securities Commission • Omega ATS • Canadian Depository for Securities • Ontario Securities Commission • Canadian Derivatives Clearing Corp (CDCC) • Pure Trading INVESTMENT BANKING • Canadian National Stock Exchange (CNSX) • Superintendent of Securities, New Foundland and Labrador • Canadian Securities Administrators (CSA) • Superintendent of Securities, Northwest Territories • Canadian Securities Transition Office • Superintendent of Securities, Nunavut • CanDeal INVESTMENT FIRM • Superintendent of Securities, Prince Edward Island • Chambre de la sécurité financière • Superintendent of Securities, Yukon • Equilend Canada Corp. • TMX Select • ICE Futures Canada RETAIL BANKING • Toronto Stock Exchange (TSX) • Instinet Canada Cross (ICX) • TSX Venture Exchange • Investment Funds Institute of Canada • American Stock Exchange (AMEX) • Investment Industry Association of Canada • BATS BYX SECURITIES I • Investment Industry Regulatory Organization of Canada (IIROC) • BATS BZX • Liquidnet Canada • BGC Derivatives Market SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Bloomberg SEF • GFI Swaps Exchange • Board of Trade of the City of , Inc (CBOT) • ICAP SEF ASSET MANAGEMENT (Retail) • Boston Stock Exchange (BSE) • ICE US • Boston Stock Exchange Clearing Corporation (BSECC) • International Securities Exchange (ISE) • BOX Options Exchange (BOX) • ISE Gemini US BROKER DEALER PROFILE • C2 Options Exchange • Javelin SEF • CBOE , LLC (CFE) • Kansas City Board of Trade (KCBT) • Chicago Board Options Exchange (CBOE) • LatAm SEF COMMERCIAL BANKING • Chicago Mercantile Exchange (CME) • MarketAxess SEF • Chicago Stock Exchange (CHX) • MIAX Options Exchange • CME Group • Minneapolis Grain Exchange (MGEX) INVESTMENT BANKING • CME SEF • Municipal Securities Rulemaking Board (MSRB) • COMEX (Commodity Exchange, Inc.) • NASD • Commodity Futures Trading Commission (CFTC) • NASDAQ OMX BX • EDGA Exchange • NASDAQ OMX PHLX INVESTMENT FIRM • EDGX Exchange • NASDAQ LLC (NASDAQ) • ELX Futures • National Future Associations (NFA)

• Federal Energy Regulatory Commission (FERC) • National Securities Clearing Corporation (NSCC) RETAIL BANKING • Federal Trade Commission • National Stock Exchange (NSX ) • Financial Crimes Enforcement Network (FinCEN) • New York Mercantile Exchange (NYMEX) • Financial Industry Regulatory Authority (FINRA) • (NYSE) SECURITIES I • Financial Stability Oversight Council (FSOC) • North American Securities Administrators Association (NASAA) • Fixed Income Clearing Corporation (FICC) • NYSE Arca, Inc (NYSE Arca) • Fxall Thomson Reuters SEF SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• NYSE Arca Eur • Dubai Gold & Commodities Exchange • NYSE MKT • Dubai Mercantile Exchange (DME) ASSET MANAGEMENT (Retail) • OneChicago LLC (OC): • Emirates Securities And Commodities Authority • Options Clearing Corporation (OCC) • NASDAQ Dubai • Securities & Exchange Commission (SEC) • US BROKER DEALER PROFILE • Stock Clearing Corporation of Philadelphia (SCCP) • Qatar Financial Centre Authority • SwapEx • Qatar Financial Centre Regulatory Authority • TeraExchange SEF • Saudi Arabian Monetary Agency COMMERCIAL BANKING • Tradeweb SEF • TurkDEX • Tradition SEF ASIA PROFILE • Tullett Prebon SEF The following organisations – select all documents INVESTMENT BANKING • trueEX SEF • Securities and Exchange Commission (Philippines) MIDDLE EAST PROFILE • Asia Securities Industry & Financial Markets Association The following organisations – select all documents • Bank Negara Malaysia INVESTMENT FIRM • Abu Dhabi Securities Exchange • Bapepam-LK • Banking Regulation and Supervision Agency (Turkey) • • Capital Market Authority (Oman) • • Capital Markets Board of Turkey • China Banking Regulatory Commission RETAIL BANKING • Central Bank of Bahrain • China Beijing Equity Exchange • Central Bank of Kuwait • China Financial Futures Exchange

• Central Bank of Oman • China Futures Association (CFA) SECURITIES I • Central Bank of the United Arab Emirates • China Insurance Regulatory Commission • • China Securities Regulatory Commission • Dubai Financial Services Authority • Clearing Corporation of India (CCIL) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Dalian Commodity Exchange • National Securities Depository Limited • Financial Services and the Treasury Bureau • National Stock Exchange of India ASSET MANAGEMENT (Retail) • Fixed Income and Money Market And Derivatives • OTC Exchange of India Association of India (FIMMDA) • Osaka Securities Exchange • GreTai Securities Market • Perbadanan Insurans Deposit Malaysia (PIDM) US BROKER DEALER PROFILE • Hochiminh Stock Exchange • Philippines Securities and Exchange Commission • Hong Kong Exchange & Clearing Ltd • Professional Insurance Brokers Association (Hong Kong) • Hong Kong Monetary Authority (HKMA) • Securities Association of China • Hong Kong Securities and Investment Institute COMMERCIAL BANKING • Securities Commission (Malaysia) • Indonesian Financial Services Authority (OJK) • Securities and Exchange Board of India • Japan Commodities Fund Association • Securities and Exchange Commission (Thailand) • Japan Financial Services Agency INVESTMENT BANKING • Securities and Futures Commission (Hong Kong) • Japan Securities Dealers Association • Shanghai Futures Exchange • Japan Securities and Exchange Surveillance Commission • Shanghai Gold Exchange • Korea Deposit Insurance Corporation (KDIC) • INVESTMENT FIRM • Korea Financial Intelligence Unit (KFIU) • • Korea Financial Investment Association • • Korea Financial Services Commission • State Administration for Industry and Commerce (China) RETAIL BANKING • Korea Financial Supervisory Service • State Securities Commission of Vietnam • Korea Securities Dealers Association • Taiwan • Korea Stock Exchange • Taiwan Depository & Clearing Corporation • Labuan Financial Services Authority SECURITIES I • Taiwan Financial Supervisory Commission • Monetary Authority of Singapore (MAS) • • National Association of Financial Market Institutional • Taiwan Securities Association Investors (NAFMII) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• ASSET MANAGEMENT (Retail) • The Financial Futures Association of Japan • Tokyo Commodity Exchange, Inc • Tokyo Financial Exchange • US BROKER DEALER PROFILE • Type II Financial Instruments Firms Association • Zhengzhou Commodity Exchange AUSTRALASIA PROFILE COMMERCIAL BANKING The following organisations – select all documents • Australian Government - The Treasury • Australian Prudential Regulation Authority INVESTMENT BANKING • Australian Securities Exchange • Australian Securities and Investments Commission • Financial Markets Authority (formerly Securities INVESTMENT FIRM Commission New Zealand) • Ministry of Economic Development (New Zealand) • New Zealand Exchange • Reserve Bank of Australia RETAIL BANKING • Reserve Bank of New Zealand

SECURITIES I

SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

SECURITES (DERIVATIVES) ASSET MANAGEMENT (Retail) SECTOR • Chi-x • Securities and commodities > Retail – Securities / • Comision Nacional del Mercado de Valores (CNMV) Commodities Trading • Comité consultative du secteur financier (CCSF) US BROKER DEALER PROFILE • Securities and commodities > Wholesale / Institutional – • Commission de Surveillance du Secteur Financier Securities / Commodities Trading (Luxembourg) TOPICS • Commissione Nazionale per le Società e la Borsa (CONSOB) • Internal Oversight >Internal controls / Conflicts of interest COMMERCIAL BANKING and anti-bribery / Employees and associated persons • Council of the European Union • Business activities > Offerings - Securitization • Cyprus Securities and Exchange Commission • Business activities > Trading • Danish Financial Supervisory Authority (Finanstilsynet) INVESTMENT BANKING • Business Conduct Standards > Conduct of business • De Nederlandsche Bank (DNB) • Deutsche Boerse EUROPE PROFILE • Deutsche Bundesbank The following organisations – select all documents • Dusseldorf Stock Exchange INVESTMENT FIRM • Association for Financial Markets in Europe (AFME) • EDX • Austrian Financial Market Authority • Eurex • Autorité de contrôle prudentiel et de résolution (ACPR) • European Commission (DG Internal Market) • Autorité des Marchés Financiers RETAIL BANKING • European Energy Exchange • BaFin (German Federal Financial Supervisory Authority) • European Securities and Markets Authority (formerly • Belgian Financial Services and Markets Authority CESR) • Berlin Stock Exchange • Federation of European Securities Exchanges SECURITIES I • Bolsa de Madrid • Financial Conduct Authority • Borsa Italiana • Financial Stability Board • Central Bank of Ireland • Finland Financial Supervisory Authority (FIN-FSA) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Gibraltar Financial Services Commission • NYSE Euronext • Greek Capital Market Commission • NYSE Euronext Lisbon ASSET MANAGEMENT (Retail) • Guernsey Financial Services Commission • Netherlands Authority for Financial Markets (AFM) • Hedge Fund Standards Board • Norway Financial Supervisory Authority (Finanstilsynet) • Hungarian Financial Supervisory Authority • OMIP US BROKER DEALER PROFILE • ICAP Securities & Derivatives Exchange (formerly Plus • Oslo Bors Markets) • Polish Power Exchange • ICE Benchmark Administration Limited • Portuguese Securities Market Commission (CMVM) • ICE Clear Europe COMMERCIAL BANKING • Power Exchange Central Europe • ICE Endex • Powernext • ICE Futures • Prudential Regulation Authority • International Capital Markets Association INVESTMENT BANKING • SIX Swiss Exchange • International Organisation of Securities Commissions • SWX Europe (IOSCO) • Service d’Information et de Controle sur les Circuits • Irish Stock Exchange Financiers INVESTMENT FIRM • Isle of Man Financial Supervision Commission • State Secretariat for Economic Affairs (SECO) • Jersey Financial Services Commission • Stuttgart Stock Exchange • LCH.Clearnet • Swedish Financial Supervisory Authority • (Finansinspektionen) RETAIL BANKING • London Stock Exchange • Swiss Financial Market Supervisory Authority (FINMA) • Luxembourg Stock Exchange • Swiss Funds & Asset Management Association

• Malta Financial Services Authority • Turquoise SECURITIES I • Mercado Espanol de Futuros Financieros • Wiener Borse • NASDAQ OMX Commodities (formerly Nordpool) • Xetra • NASDAQ OMX Nordic SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

US/ CANADA PROFILE • MarketAxess The following organisations – select all documents • MATCH Now (TriAct) ASSET MANAGEMENT (Retail) • Alberta Securities Commission • Natural Gas Exchange (NGX) • Alpha Exchange • New Brunswick Securities Commission • Alpha Group: Notice • Nova Scotia Securities Commission US BROKER DEALER PROFILE • Autorité des marchés financiers (AMF) (Quebec securities • Office of the Superintendant of Financial Institutions regulator) (OSFI) • Montreal Exchange • Omega ATS • British Columbia Securities Commission • Ontario Securities Commission COMMERCIAL BANKING • Canadian Depository for Securities • Pure Trading • Canadian Derivatives Clearing Corp (CDCC) • Superintendent of Securities, New Foundland and Labrador • Canadian National Stock Exchange (CNSX) INVESTMENT BANKING • Superintendent of Securities, Northwest Territories • Canadian Securities Administrators (CSA) • Superintendent of Securities, Nunavut • Canadian Securities Transition Office • Superintendent of Securities, Prince Edward Island • CanDeal • Superintendent of Securities, Yukon INVESTMENT FIRM • Chambre de la sécurité financière • TMX Select • Equilend Canada Corp. • Toronto Stock Exchange (TSX) • ICE Futures Canada • TSX Venture Exchange RETAIL BANKING • Instinet Canada Cross (ICX) • American Stock Exchange (AMEX) • Investment Funds Institute of Canada • BATS BYX • Investment Industry Association of Canada • BATS BZX • Investment Industry Regulatory Organization of Canada SECURITIES I (IIROC) • BGC Derivatives Market • Liquidnet Canada • Bloomberg SEF • Manitoba Securities Commission • Board of Trade of the City of Chicago, Inc (CBOT) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Boston Stock Exchange (BSE) • ICE US • Boston Stock Exchange Clearing Corporation (BSECC) • International Securities Exchange (ISE) ASSET MANAGEMENT (Retail) • BOX Options Exchange (BOX) • ISE Gemini • C2 Options Exchange • Javelin SEF • CBOE Futures Exchange, LLC (CFE) • Kansas City Board of Trade (KCBT) US BROKER DEALER PROFILE • Chicago Board Options Exchange (CBOE) • LatAm SEF • Chicago Mercantile Exchange (CME) • MarketAxess SEF • Chicago Stock Exchange (CHX) • MIAX Options Exchange COMMERCIAL BANKING • CME Group • Minneapolis Grain Exchange (MGEX) • CME SEF • Municipal Securities Rulemaking Board (MSRB) • COMEX (Commodity Exchange, Inc.) • NASD INVESTMENT BANKING • Commodity Futures Trading Commission (CFTC) • NASDAQ OMX BX • EDGA Exchange • NASDAQ OMX PHLX • EDGX Exchange • NASDAQ Stock Market LLC (NASDAQ) • ELX Futures • National Future Associations (NFA) INVESTMENT FIRM • Federal Energy Regulatory Commission (FERC) • National Securities Clearing Corporation (NSCC) • Federal Trade Commission • National Stock Exchange (NSX )

• Financial Crimes Enforcement Network (FinCEN) • New York Mercantile Exchange (NYMEX) RETAIL BANKING • Financial Industry Regulatory Authority (FINRA) • New York Stock Exchange (NYSE) • Financial Stability Oversight Council (FSOC) • North American Securities Administrators Association (NASAA) • Fixed Income Clearing Corporation (FICC) • NYSE Arca, Inc (NYSE Arca) SECURITIES I • Fxall Thomson Reuters SEF • NYSE Arca Eur • GFI Swaps Exchange • NYSE MKT • ICAP SEF SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• OneChicago LLC (OC): • Dubai Mercantile Exchange (DME) ASSET MANAGEMENT (Retail) • Options Clearing Corporation (OCC) • Emirates Securities And Commodities Authority • Securities & Exchange Commission (SEC) • NASDAQ Dubai • Stock Clearing Corporation of Philadelphia (SCCP) • Qatar Exchange • SwapEx • Qatar Financial Centre Authority US BROKER DEALER PROFILE • TeraExchange SEF • Qatar Financial Centre Regulatory Authority • Tradeweb SEF • Saudi Arabian Monetary Agency • Tradition SEF • TurkDEX COMMERCIAL BANKING • Tullett Prebon SEF Asia profile • trueEX SEF The following organisations – select all documents • Securities and Exchange Commission (Philippines) MIDDLE EAST PROFILE INVESTMENT BANKING • Asia Securities Industry & Financial Markets Association The following organisations – select all documents • Bank Negara Malaysia • Abu Dhabi Securities Exchange • Bapepam-LK • Banking Regulation and Supervision Agency (Turkey) • Bombay Stock Exchange INVESTMENT FIRM • Capital Market Authority (Oman) • Bursa Malaysia • Capital Markets Board of Turkey • China Banking Regulatory Commission • Central Bank of Bahrain • China Beijing Equity Exchange • Central Bank of Kuwait RETAIL BANKING • China Financial Futures Exchange • Central Bank of Oman • China Futures Association (CFA) • Central Bank of the United Arab Emirates • China Insurance Regulatory Commission • Dubai Financial Market SECURITIES I • China Securities Regulatory Commission • Dubai Financial Services Authority • Clearing Corporation of India (CCIL) • Dubai Gold & Commodities Exchange • Dalian Commodity Exchange SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Financial Services and the Treasury Bureau • National Securities Depository Limited ASSET MANAGEMENT (Retail) • Fixed Income and Money Market And Derivatives • National Stock Exchange of India Association of India (FIMMDA) • OTC Exchange of India • GreTai Securities Market • Osaka Securities Exchange • Hochiminh Stock Exchange • Perbadanan Insurans Deposit Malaysia (PIDM) US BROKER DEALER PROFILE • Hong Kong Exchange & Clearing Ltd • Philippines Securities and Exchange Commission • Hong Kong Monetary Authority (HKMA) • Professional Insurance Brokers Association (Hong Kong) • Hong Kong Securities and Investment Institute • Securities Association of China COMMERCIAL BANKING • Indonesian Financial Services Authority (OJK) • Securities Commission (Malaysia) • Japan Commodities Fund Association • Securities and Exchange Board of India • Japan Financial Services Agency • Securities and Exchange Commission (Thailand) • Japan Securities Dealers Association INVESTMENT BANKING • Securities and Futures Commission (Hong Kong) • Japan Securities and Exchange Surveillance Commission • Shanghai Futures Exchange • Korea Deposit Insurance Corporation (KDIC) • Shanghai Gold Exchange • Korea Financial Intelligence Unit (KFIU) • Shanghai Stock Exchange INVESTMENT FIRM • Korea Financial Investment Association • Shenzhen Stock Exchange • Korea Financial Services Commission • Singapore Exchange • Korea Financial Supervisory Service • State Administration for Industry and Commerce (China) RETAIL BANKING • Korea Securities Dealers Association • State Securities Commission of Vietnam • Korea Stock Exchange • Taiwan Clearing House • Labuan Financial Services Authority • Taiwan Depository & Clearing Corporation • Monetary Authority of Singapore (MAS) SECURITIES I • Taiwan Financial Supervisory Commission • National Association of Financial Market Institutional • Taiwan Futures Exchange nvestors (NAFMII) • Taiwan Securities Association SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale)

• Taiwan Stock Exchange ASSET MANAGEMENT (Retail) • The Financial Futures Association of Japan • Tokyo Commodity Exchange, Inc • Tokyo Financial Exchange US BROKER DEALER PROFILE • Tokyo Stock Exchange • Type II Financial Instruments Firms Association • Zhengzhou Commodity Exchange AUSTRALASIA PROFILE COMMERCIAL BANKING The following organisations – select all documents • Australian Government - The Treasury • Australian Prudential Regulation Authority INVESTMENT BANKING • Australian Securities Exchange • Australian Securities and Investments Commission • Financial Markets Authority (formerly Securities INVESTMENT FIRM Commission New Zealand) • Ministry of Economic Development (New Zealand) • New Zealand Exchange • Reserve Bank of Australia RETAIL BANKING • Reserve Bank of New Zealand

SECURITIES I

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