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Systematic Internaliser Commercial Policy

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Systematic Internaliser Commercial Policy Systematic Internaliser Commercial Policy Policy Purpose This policy sets out the circumstance under on which Wells Fargo Securities International Ltd “WFSIL”, will publish and provide access to quotes when acting as Systematic Internaliser “SI”. WFSIL can decide, on the basis of this Commercial Policy, and on the basis of objective and non- discriminatory criteria the clients that may access the published quotes and execute against the published price. This Policy will be published and updated from time to time on the Wells Fargo EMEA website at [ https://emea.wf.com] Scope This commercial policy only applies to WFSIL when acting as SI during normal business hours. WFSIL only acts as SI in financial instruments which are: • In the Non-Equity asset classes of bonds which are included in the Annex attached hereto ( “in scope bonds”) Our Market Identifier is WSIL Making Firm Quotes Public WFSIL, in response to a client request will make public a firm quote only (absent any applicable exemption from pre-trade transparency) in respect of the in scope bonds which we are an SI, if: (a) The relevant Financial Instrument is: a. TOTV, and b. Liquid (b) The size in which we provide the quote is at or below Size Specific to The Instrument “SSTI”. WFSIL will only make a quote public after the client who requested the quote has had a fair chance to respond to it. The validity of any non-equity WFSIL quote that were made public will depend on various factors, including market conditions, liquidity, and volatility. Under exceptional market conditions, we may withdraw our published quotes. In normal market conditions, the quote validity will be for not longer than 60 seconds. WFSIL is not obligated to update any quote made public, but reserves the right to do so. Updating a quote does not extend the period of its validity. Publication Arrangements To extend it is required to do so WFSIL will make use of an internal Wells Fargo EMEA Website in order to publish such quotes ( address to be advised to WFSIL clients requesting access - please see below) . Access to Quotes Clients may contact WFSIL to request access to published quotes. WFSIL may deal against published quotes on a first come first served basis. In order to manage and limit the risk arising from dealing at such quotes, WFSIL may deal with only one client and it will give priority to the client that initiated the quote request. Other clients may wish to execute against published quotes if the initiating client does not. However, access to the quotes is subject to the below. To be given access to any quote, a client must: • be fully onboarded and categorised by WFSIL in accordance with applicable regulations. • have provided an LEI • have provided SSIs if required • you are authorised to trade on the relevant Trading Venue • wish to deal in the same size or smaller in the same direction, and • make contact during the validity period. Annex In Scope bonds Asset Class: Sovereign Bonds Issuer: United States Treasury ( all) Asset class: Corporate Bonds Issuers: Bloomberg Corporate Ticker Issuer BAC BANK OF AMERICA CORP and the group : ABN AMRO NA HOLDING CAP B OF A ISSUANCE BV BAC CANADA FINANCE CO BAC CAPITAL TRUST VI BAC CAPITAL TRUST VII BAC CAPITAL TRUST XI BAC CAPITAL TRUST XIII BAC CAPITAL TRUST XIV BAC CAPITAL TRUST XV BANK OF AMERICA CORP BANK OF AMERICA NA BANK OF AMERICA NA CHARL BANKAMERICA CAPITAL II BANKAMERICA CAPITAL III BANKAMERICA INSTIT-A BANKAMERICA INSTIT-B BANKBOSTON CAP TRST III BANKBOSTON CAP TRST IV BANKBOSTON CAP TRUST II BANKBOSTON CAPTL TRST I BANKBOSTON CAPTL TRST II BANKBOSTON CAPTL TRST IV BANKBOSTON NA BANKBOSTON/BRAZIL BARNETT CAP TRUST III BARNETT CAPITAL I BARNETT CAPITAL II BARNETT CAPITAL III BARNETT CAPITAL TRUST I BOFA FINANCE LLC CBT CORP CONN COUNTRYWIDE BANK FSB COUNTRYWIDE BANK NA COUNTRYWIDE CAPITAL I COUNTRYWIDE CAPITAL III COUNTRYWIDE FINANCIAL COUNTRYWIDE FINANCIAL CORP COUNTRYWIDE FINL CORP COUNTRYWIDE FUNDING CORP COUNTRYWIDE HOME LOAN COUNTRYWIDE HOME LOANS FLEET BOSTON FINANCIAL CORP FLEET CAPITAL TRUST II FLEET CAPITAL TRUST V FLEETBOSTON FINANCIAL CORP FLEETBOSTON FINL CORP HOTCHKIS & WILEY VARIABLE TR LASALLE BANK FSB LASALLE BANK MIDWEST NA LASALLE BANK NA LASALLE FUNDING LLC LASALLE NATIONAL BANK LDI CORP LIBERTY FUNDS GROUP LLC MBNA AMERICA BANK MBNA CANADA BANK MBNA CAPITAL A MBNA CAPITAL B MBNA CORP MER-CNCL 05/07 MERRILL LYNCH & CO MERRILL LYNCH & CO INC MERRILL LYNCH BANK & TR MERRILL LYNCH BANK USA MERRILL LYNCH BV MERRILL LYNCH INTL BANK MERRILL LYNCH INTL CO CV MERRILL LYNCH INVESTMENT MGR MERRILL LYNCH JAPAN FIN MERRILL LYNCH JAPAN FINANCE MERRILL LYNCH SA LUX MICHIGAN NATIONAL BANK MNC FINANCIAL INC NATIONS FUNDS NATIONSBANK CORP NB CAPITAL TRUST II NB CAPITAL TRUST III NB CAPITAL TRUST IV PROGRESS CAPITAL TRUST STANDARD FEDERAL BANK SUMMIT BANCORP CAP TRUST SUMMIT CAPITAL TRUST I TREASURY BANK UDI STEERS NTS C CITIGROUP INC and the group : AIC CORPORATION ASSOCIATES CAPITAL CORP ASSOCIATES CORP NA ASSOCIATES CORP-N. AMERICA ASSOCIATES FIRST CAPITAL AVCO TRUST PLC BISYS GROUP INC BISYS INC CANADA SQUARE OPERATIONS CITI INFRASTRUCTURE INVE CITI STRUCT MX CITIBANK CANADA CITIBANK CREDIT CARD MASTER CITIBANK INTL LTD CITIBANK INTL PLC CITIBANK KOREA INC CITIBANK LONDON CITIBANK NA CITICORP CITICORP CAPITAL I CITICORP CAPITAL II CITICORP LEASE PASS-THRU CITICORP LEASING NETHERLANDS CITIFINANCIAL CITIFINANCIAL CREDIT CO CITIGROUP CAPITAL II CITIGROUP CAPITAL III CITIGROUP CAPITAL XVIII CITIGROUP CAPITAL XXI CITIGROUP FIN CANADA INC CITIGROUP FUNDING INC CITIGROUP GLOB MKT FND L CITIGROUP GLOBAL MARKETS CITIGROUP GLOBAL MARKETS IN CITIGROUP GM DEUTSCH AG CITIGROUP INC COMMERCIAL CREDIT CO COMMERCIAL CREDIT COMPANY CPI CAPITAL PARTNERS NORTH EGG BANKING PLC EUROPEAN AMERICAN BANK FIDEICOMISO CABO DEL SOL BA FIDEICOMISO CABO DEL SOL BAN GRUPO FINANCIERO BANAMEX KORAM BANK NIKKO CITIGROUP OLYMPIC FINANCIAL SALOMON SMITH BARNEY SALOMON SMITH BARNEY HLDGS SOURCE ONE MORTGAGE SVCS SOURCE ONE MTG SVCS THE BISYS GROUP INC TMC MTG SEC NO10 TMC MTG SEC NO11 TMC MTG SEC NO8 TMC MTG SEC NO9 TMC PIMBS 1ST FINANCING TMC PIMBS 3RD FIN - 4B TMC PIMBS 4TH FINANCING TMC PIMBS 5TH FINANCING TMC PIMBS 6TH FINANCING TMC PIMBS 7TH FINANCING TMC PIMBS PLC TRAVELERS GROUP CTL QWEST CORP and the group: CENTEL CAPITAL CORP CENTURY TELEPHONE CENTURY TELEPHONE ENTERPRISE CENTURYLINK INC CENTURYTEL INC EMBARQ FLORIDA INC LCI INTERNATIONAL LCI INTERNATIONAL INC MADISON RIVER CAPITAL LLC MADISON RIVER LTD FUNDING CP MOUNTAIN STATES TEL & TE NORTHWESTERN BELL TELEPH PACIFIC NORTHWEST BELL T QWEST CORP QWEST CORPORATION QWEST SERVICES CORPORATION SAVVIS COMMUNICATIONS CORP SAVVIS UK LTD UNITED TEL FLA. UNITED TELEPHON MISSOURI UNITED TELEPHONE FLORIDA US WEST COMMUNICATIONS INC HCA HCA INC and the group : COLUMBIA HCA HEALTHCARE COLUMBIA HCA HEALTHCARE CORP COLUMBIA HEALTHCARE CORP HCA - THE HEALTHCARE COMPANY HCA HEALTHCARE INC HCA HOLDINGS INC HCA INC HCA UK CAPITAL LTD HEALTHTRUST INC LA TOUR SA HPE HP ENTERPRISE CO and the group: HP ENTERPRISE CO MS MORGAN STANLEY and the group: BANCO MORGAN STANLEY SA CHILDTIME CHILDCARE INC CNL HOSPITALITY PARTNERS LP DEAN WITTER DISCOVER & CO MORGAN ST & CO INTL LTD MORGAN ST DEAN WITTER MORGAN STAN FIN-REPURCH MORGAN STANLEY MORGAN STANLEY MORG MORGAN STANLEY & CO MORGAN STANLEY & CO INTERNA MORGAN STANLEY & CO INTL MORGAN STANLEY ASIA PROD MORGAN STANLEY BANK MORGAN STANLEY BANK NA MORGAN STANLEY BV MORGAN STANLEY DEAN WI JAP MORGAN STANLEY DEAN WITTER MORGAN STANLEY EMERGING MAR MORGAN STANLEY FIN LLC MORGAN STANLEY GROUP INC MORGAN STANLEY JAPAN LTD MORGAN STANLEY JAPAN SECURI MORGAN STANLEY MUFG SEC MORGAN STANLEY PRIME INCOME MORGAN STANLEY PVT BANK MORGAN STANLEY REAL ESTATE MORGAN STANLEY REAL ESTATE F MORGAN STANLEY SEC FIN L MORGAN STANLEY STRUCT PR MS CAPITAL TRUST A MS CAPITAL TRUST B MS CAPITAL TRUST C MSREF IV FUNDING LP STX QWEST CORP and the group: MAXTOR CORP MAXTOR CORP-OLD SEAGATE HDD CAYMAN SEAGATE TECHNOLOGY HDD HOLD SEAGATE TECHNOLOGY INTL SEAGATE TECHNOLOGY NOTES SEAGATE TECHNOLOGY US HLDG T AT&T INC and the group: A T & T CORP ACC CORP AMERICAN CELLULAR CORP AMERITECH CAPITAL FUNDNG AMERITECH CORPORATION/DEL AT&T COMUNICACIONES DIGITAL AT&T CORP AT&T INC AT&T MOBILITY LLC AT&T WIRELESS GROUP AT&T WIRELESS SERVICES BELLSOUTH 1994-A TRUST BELLSOUTH CAP FUNDING BELLSOUTH CAPITAL FUNDING BELLSOUTH CORP BELLSOUTH LLC BELLSOUTH TELECOMMUNICAT CELLULAR COMM PR CENTENN PUERTO RICO WIRELESS CENTENNIAL CELLULAR CENTENNIAL CELLULAR OPER CO CENTENNIAL CELLULAR OPERATI CENTENNIAL PUERTO RICO CORP CENTENNIAL WIRELESS PCS OPER CINGULAR WIRELESS CINGULAR WIRELESS LLC COMCAST CELLULAR COMM INC COMUNICACIONES NEXTEL DOBSON CELLULAR OPERATIONS DOBSON CELLULAR SYSTEMS DOBSON COMMUNICATIONS CP DOBSON OPERATING CO LLC DOBSON OPERATING COMPANY EDGE WIRELESS LLC ILL BELL TEL CO ILLINOIS BELL TELEPHONE INDIANA BELL TEL CO INC INDIANA TEL CO. LOGIX COMMUNICATION CORP LOGIX COMMUNICATIONS CORP LOGIX COMMUNICATIONS ENT MICHIGAN BELL TELEPHONE NATL GUARDIAN CORP NEW CINGULAR WIRELESS SV OHIO BELL TEL OHIO BELL TELEPHONE CO. PACIFIC BELL PACIFIC BELL TELEPHONE PRICELLULAR CORP SBC COMMUN CAPITAL CORP SBC COMMUNICATIONS INC SOUTH CENTRAL BELL SOUTH CENTRAL BELL TEL SOUTH CENTRAL BELL TELEP SOUTHERN BELL TEL. & TEL SOUTHRN BELL TEL SOUTHRN N.E. TEL SOUTHWESTERN BELL TEL SOUTHWESTERN BELL TEL CO SYGNET COMMUNICATIONS INC SYGNET WIRELESS INC TELECORP PCS INC TELEPORT COMMUNICATIONS GRP TRITEL PCS INC VANGUARD CELL FINL CORP VANGUARD CELLULAR WISCONSIN BELL WISCONSIN BELL, INC. WDC WESTERN DIGITAL CORP and the group: WESTERN DIGITAL CORP WU WESTERN UNION CO/THE and the group: WESTERN UNION CO/THE .
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