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Authorised and securities firms

Name City Licensing type Securities firms type no activity as securities firm non-account-holding securities firms Category Aarau Bank Cantonal banks Swiss securities firm 3 ABANCA CORPORACION BANCARIA S.A., Genève 1 Foreign bank branch office First branch office of a foreign bank X 5 Betanzos, succursale de Genève acrevis Bank AG St. Gallen Bank Regional banks and savings banks Swiss securities firm 4 AEK BANK 1826 Genossenschaft Thun Bank Regional banks and savings banks Swiss securities firm 4 AFS Equity & Derivatives B.V., Amsterdam, Regensdorf Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Zweigniederlassung Regensdorf securities firm Allfunds Bank International S.A., Luxembourg, Zurich Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Branch securities firm Alpha RHEINTAL Bank AG Heerbrugg Bank Regional banks and savings banks Swiss securities firm 4 Alternative Bank Schweiz AG Olten Bank Other banks Swiss securities firm 4 AP ANLAGE & PRIVATBANK AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Appenzell Bank Cantonal banks Swiss securities firm 4 Aquila AG Zürich Bank Other banks Swiss securities firm 5 Arab Bank () Ltd. Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 4 firm AXION SWISS BANK SA Lugano Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Baader Helvea AG Zürich Securities firm Securities firm Foreign-controlled securities X 5 firm Baloise Bank SoBa AG Solothurn Bank Regional banks and savings banks Swiss securities firm 4 Banca Aletti & C. (Suisse) SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 5 firm BANCA CREDINVEST SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 5 firm

02.09.2020 / 04:31 1/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category BANCA DEL CERESIO SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 5 firm BANCA DEL SEMPIONE SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banca dello Stato del Cantone Ticino Bellinzona Bank Cantonal banks Swiss securities firm 4 Banca Popolare di Sondrio (Suisse) SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 4 firm BANCA ZARATTINI & CO. SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banco Itaú (Suisse) SA Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm Banco Santander International SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Bank Avera Genossenschaft Wetzikon ZH Bank Regional banks and savings banks Swiss securities firm 4 Bank BSU Genossenschaft Uster Bank Regional banks and savings banks Swiss securities firm 5 Bank CIC (Schweiz) AG Bank Foreign-controlled banks Foreign-controlled securities 4 firm AG Basel Bank Other banks Swiss securities firm 3 Bank EEK AG Bern Bank Regional banks and savings banks Swiss securities firm 4 Bank EKI Genossenschaft Interlaken Bank Regional banks and savings banks Swiss securities firm 5 Bank für Tirol und Vorarlberg Aktiengesellschaft, Staad SG Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Innsbruck, Zweigniederlassung Staad securities firm Bank Gantrisch Genossenschaft Schwarzenburg Bank Regional banks and savings banks Swiss securities firm 5 Bank in Zuzwil AG Zuzwil Bank Regional banks and savings banks Swiss securities firm 5 Bank J. Safra Sarasin AG Basel Bank Foreign-controlled banks Foreign-controlled securities 3 firm

02.09.2020 / 04:31 2/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Bank Julius Bär & Co. AG Zürich Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business Bank Leerau Genossenschaft Kirchleerau Bank Regional banks and savings banks Swiss securities firm 5 Bank Linth LLB AG Uznach Bank Foreign-controlled banks Foreign-controlled securities 4 firm Bank Oberaargau AG Huttwil Bank Regional banks and savings banks Swiss securities firm 4 Bank of America Merrill Lynch International Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Designated Activity Company, Dublin, Zurich Branch securities firm Bank SLM AG Münsingen Bank Regional banks and savings banks Swiss securities firm 4 Bank Sparhafen Zürich AG Zürich Bank Regional banks and savings banks Swiss securities firm 5 Bank Thalwil Genossenschaft Thalwil Bank Regional banks and savings banks Swiss securities firm 5 Bank von Roll AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Bank Vontobel AG Zürich Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business BANK ZIMMERBERG AG Horgen Bank Regional banks and savings banks Swiss securities firm 5 bank zweiplus ag Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm BankMed (Suisse) SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Bank-now AG Horgen Bank Other banks X 5 Banque Algérienne du Commerce Extérieur SA Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm

02.09.2020 / 04:31 3/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category BANQUE AUDI (SUISSE) SA Genève 12 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Banque Bonhôte & Cie SA Neuchâtel Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Banque Cantonale de Fribourg Fribourg Bank Cantonal banks Swiss securities firm 3 Banque Cantonale de Genève Genève 2 Bank Cantonal banks Swiss securities firm 3 SA Porrentruy 2 Bank Cantonal banks Swiss securities firm 4 Banque Cantonale du Valais Sion Bank Cantonal banks Swiss securities firm 3 Banque cantonale neuchâteloise Neuchâtel Bank Cantonal banks Swiss securities firm 4 Banque Cantonale Vaudoise Lausanne Bank Cantonal banks Swiss securities firm 3 Banque Cramer & Cie SA Genève 12 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Banque de Commerce et de Placements SA Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banque Degroof Petercam (Suisse) SA Genève Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banque du Léman SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banque Eric Sturdza SA Genève 3 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Banque Havilland (Suisse) S.A. Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 5 firm BANQUE HERITAGE SA Genève 6 Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business

02.09.2020 / 04:31 4/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Banque Internationale à Luxembourg (Suisse) SA Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banque Internationale de Commerce - BRED (Suisse) Genève Bank Foreign-controlled banks X 5 SA Banque Lombard Odier & Cie SA Genève Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business Banque Pâris Bertrand SA Genève 1 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Banque Pictet & Cie SA Genève 73 Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business BANQUE PRIVEE BCP (SUISSE) SA Genève Bank Foreign-controlled banks Foreign-controlled securities 5 firm BANQUE PROFIL DE GESTION SA Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Banque SYZ SA Genève Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Banque Thaler SA Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Bantleon Bank AG Zug Bank Foreign-controlled banks Foreign-controlled securities 5 firm Barclays Bank (Suisse) SA Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Barclays Capital, Zurich Branch of Barclays Bank PLC, Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 London securities firm Basellandschaftliche Kantonalbank Liestal Bank Cantonal banks Swiss securities firm 3

02.09.2020 / 04:31 5/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Basel Bank Cantonal banks Swiss securities firm 3 Baumann & Cie KmG Basel Bank Private bankers who do not solicit funds Swiss securities firm 5 from the public BBO Bank Brienz Oberhasli AG Brienz BE Bank Regional banks and savings banks Swiss securities firm 5 BBVA SA Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm BERGOS BERENBERG AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business AG Bern Bank Cantonal banks Swiss securities firm 3 Bernerland Bank AG Sumiswald Bank Regional banks and savings banks Swiss securities firm 4 Bezirks-Sparkasse Dielsdorf Genossenschaft Dielsdorf Bank Regional banks and savings banks Swiss securities firm 4 BGC BROKERS L.P., à Londres (Royaume-Uni), Nyon Foreign securities firm branch office Securities firm First branch office of a foreign X 5 succursale de Nyon securities firm Biene Bank im Rheintal Genossenschaft Altstätten SG Bank Regional banks and savings banks Swiss securities firm 5 BLOM BANK (Switzerland) SA Genève 3 Bank Foreign-controlled banks Foreign-controlled securities 5 firm BNP Paribas (Suisse) SA Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 3 firm BNP PARIBAS SECURITIES SERVICES, Paris, Zürich Foreign bank branch office First branch office of a foreign bank X 5 succursale de Zurich Bondpartners S.A. Lausanne Securities firm Securities firm Swiss securities firm 5 Bordier & Cie SCmA Genève 11 Bank Private bankers who do not solicit funds Swiss securities firm 4 from the public bridport & cie sa Genève 3 Securities firm Securities firm Foreign-controlled securities X 5 firm BS Bank Schaffhausen AG Hallau Bank Regional banks and savings banks Swiss securities firm 5

02.09.2020 / 04:31 6/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Burgergemeinde Bern, DC Bank Deposito-Cassa der Bern Bank Regional banks and savings banks Swiss securities firm 5 Stadt Bern Burgerliche Ersparniskasse Bern, Genossenschaft Bern Bank Regional banks and savings banks X 5 BZ Bank Aktiengesellschaft Wilen b. Bank Banks specialised in exchange, Swiss securities firm 5 Wollerau securities and asset management business CA Indosuez (Switzerland) SA Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 3 firm CACEIS Bank, Paris, succursale de Nyon / Suisse Nyon Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 securities firm Caisse d'Epargne Courtelary SA Courtelary Bank Regional banks and savings banks Swiss securities firm 5 Caisse d'Epargne d'Aubonne société coopérative Aubonne Bank Regional banks and savings banks Swiss securities firm 5 Caisse d'Epargne de Cossonay société coopérative Cossonay Bank Regional banks and savings banks Swiss securities firm 5 Caisse d'Epargne de Nyon société coopérative Nyon Bank Regional banks and savings banks Swiss securities firm 5 Caisse d'Epargne et de Crédit Mutuel de Chermignon Chermignon Bank Regional banks and savings banks X 5 société coopérative Caisse d'Epargne Riviera, société coopérative Vevey 1 Bank Regional banks and savings banks Swiss securities firm 5 CBH Compagnie Bancaire Helvétique SA Genève 3 Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Cembra Money Bank AG Zürich Bank Other banks X 4 China Construction Bank Corporation, Beijing, Swiss Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Branch Zurich securities firm CIM BANQUE SA Genève 6 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Cité Gestion SA Genève Securities firm Securities firm Swiss securities firm 5

02.09.2020 / 04:31 7/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Citibank (Switzerland) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm Citibank, N.A., Sioux Falls, succursale de Genève Genève 3 Foreign bank branch office Second branch office of a foreign bank Second branch office of a 5 foreign securities firm Citibank, N.A., Sioux Falls, Zurich Branch Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 4 securities firm CITIGROUP GLOBAL MARKETS LIMITED, London, Zürich Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Zweigniederlassung Zürich securities firm Clientis AG Bern Bank Banks with a special field of business Swiss securities firm 4 Clientis Bank Aareland AG Küttigen Bank Regional banks and savings banks Swiss securities firm 5 Clientis Bank im Thal AG Balsthal Bank Regional banks and savings banks Swiss securities firm 5 Clientis Bank Oberuzwil AG Oberuzwil Bank Regional banks and savings banks Swiss securities firm 5 Clientis Bank Thur Genossenschaft Ebnat-Kappel Bank Regional banks and savings banks Swiss securities firm 5 Clientis Bank Toggenburg AG Kirchberg SG Bank Regional banks and savings banks Swiss securities firm 5 Clientis EB Entlebucher Bank AG Schüpfheim Bank Regional banks and savings banks Swiss securities firm 5 Clientis Sparkasse Oftringen Genossenschaft Oftringen Bank Regional banks and savings banks Swiss securities firm 5 COMMERZBANK Aktiengesellschaft, Frankfurt am Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Main, Zweigniederlassung Zürich securities firm Compass Asset Management SA Paradiso Securities firm Securities firm Swiss securities firm X 5 Cornèr Banca SA Lugano Bank Other banks Swiss securities firm 4 Crédit Agricole next bank (Suisse) SA Genève 26 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Credit Europe Bank (Suisse) SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm CREDIT MUTUEL DE LA VALLEE SA Le Sentier Bank Regional banks and savings banks Swiss securities firm 5

02.09.2020 / 04:31 8/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category (Schweiz) AG Zürich Bank Large banks Swiss securities firm 1 Credit Suisse AG Zürich Bank Large banks Swiss securities firm 1 Daiwa Capital Markets Europe Limited, Londres, Genève 3 Foreign securities firm branch office Securities firm First branch office of a foreign X 5 succursale de Genève securities firm Delen (Suisse) SA Genève Securities firm Securities firm Foreign-controlled securities 5 firm Deutsche Bank (Suisse) SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Deutsche Bank Aktiengesellschaft, Frankfurt a.M., Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zweigniederlassung Zürich securities firm Dreyfus Söhne & Cie. Aktiengesellschaft, Banquiers Basel Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Dukascopy Bank SA Meyrin Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business DZ PRIVATBANK (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm E. Gutzwiller & Cie. Banquiers Basel Bank Private bankers who do not solicit funds Swiss securities firm 5 from the public Edmond de Rothschild (Suisse) S.A. Genève 11 Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business EFG Bank AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 3 firm EFG Bank European Financial Group SA Genève 2 Bank Foreign-controlled banks Foreign-controlled securities 3 firm Entris Banking AG Gümligen Bank Banks with a special field of business Swiss securities firm 5

02.09.2020 / 04:31 9/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Equatex AG Zürich Securities firm Securities firm Foreign-controlled securities 5 firm Ersparniskasse Affoltern i.E. AG Weier im Bank Regional banks and savings banks Swiss securities firm 5 Emmental Ersparniskasse Rüeggisberg Genossenschaft Rüeggisberg Bank Regional banks and savings banks Swiss securities firm 5 Ersparniskasse Schaffhausen AG Schaffhausen Bank Regional banks and savings banks Swiss securities firm 5 Ersparniskasse Speicher Speicher Bank Regional banks and savings banks X 5 EXANE DERIVATIVES, Paris, succursale de Genève Genève Foreign securities firm branch office Securities firm First branch office of a foreign X 5 securities firm EXANE SA, Paris, succursale de Genève Genève Foreign securities firm branch office Securities firm First branch office of a foreign X 5 securities firm F. van Lanschot Bankiers (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm FAB (Suisse) SA Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Fidurhône SA Genève 3 Securities firm Securities firm Swiss securities firm 5 Fisch Asset Management AG Zürich Securities firm Securities firm Swiss securities firm X 5 FlowBank SA Genève 26 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Frankfurter Bankgesellschaft (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm Freie Gemeinschaftsbank Genossenschaft Basel Bank Other banks X 5 Gazprombank (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm GFI Securities Limited, Londres, Succursale de Nyon Nyon Foreign securities firm branch office Securities firm First branch office of a foreign X 5 securities firm Bank Cantonal banks Swiss securities firm 4

02.09.2020 / 04:31 10/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Globalance Bank AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Goldman Sachs Bank AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Goldman Sachs International, London, Zürich Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Zweigniederlassung Zürich securities firm Gonet & Cie SA Genève 11 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Grammont Finance SA Lutry Securities firm Securities firm Swiss securities firm X 5 Graubündner Kantonalbank Chur Bank Cantonal banks Swiss securities firm 3 GRB Glarner Regionalbank Genossenschaft Schwanden Bank Regional banks and savings banks Swiss securities firm 5 Habib Bank AG Zürich Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm Hardcastle Trading AG Rapperswil SG Securities firm Securities firm Swiss securities firm X 5 HBL BANK UK LIMITED, London, Zweigniederlassung Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zürich securities firm Helvetische Bank AG Zürich Bank Other banks Swiss securities firm 5 Hottinger AG Zürich Securities firm Securities firm Swiss securities firm 5 HSBC Bank plc, London, Zweigniederlassung Zürich Genève 1 Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 securities firm HSBC Private Bank (Suisse) SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 3 firm Hypo Vorarlberg Bank AG, Bregenz, St. Gallen Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zweigniederlassung St. Gallen securities firm

02.09.2020 / 04:31 11/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Hyposwiss Private Bank Genève SA Genève 11 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Hypothekarbank Lenzburg AG Lenzburg Bank Regional banks and savings banks Swiss securities firm 4 IBKR AG Zug Securities firm Securities firm Foreign-controlled securities X 5 firm IG Bank S.A. Genève Bank Foreign-controlled banks Foreign-controlled securities 5 firm IMAC Bond SA Givisiez Securities firm Swiss securities firm X 5 InCore Bank AG Schlieren Bank Other banks Swiss securities firm 5 Industrial and of China Limited, Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Peking, Zweigniederlassung Zürich securities firm ING Bank N.V., Amsterdam, succursale de Petit-Lancy 1 Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Lancy/Genève securities firm Intesa Sanpaolo Private Bank (Suisse) Morval SA Genève Bank Foreign-controlled banks Foreign-controlled securities 5 firm Investec Bank (Switzerland) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm ISP Securities AG Zürich Securities firm Foreign-controlled banks Foreign-controlled securities 5 firm J.P. Morgan (Suisse) SA Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 4 firm J.P. Morgan Securities plc, London, Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zweigniederlassung Zürich securities firm Jefferies International Limited, London, Zürich Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Zweigniederlassung Zürich securities firm JL Securities SA Genève Securities firm Securities firm Swiss securities firm 5

02.09.2020 / 04:31 12/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category JPMorgan Chase Bank, National Association, Zürich Foreign bank branch office First branch office of a foreign bank X 5 Columbus, Zurich Branch Kendra Securities House SA Genève Securities firm Securities firm Swiss securities firm 5 Kepler Cheuvreux (Suisse) SA Eysins Securities firm Securities firm Foreign-controlled securities X 5 firm LANDOLT & CIE SA Lausanne Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Leihkasse Stammheim AG Oberstammhei Bank Regional banks and savings banks Swiss securities firm 5 m Leonteq Securities AG Zürich Securities firm Securities firm Swiss securities firm X 5 LF FINANCE (SUISSE) SA Genève 3 Securities firm Securities firm Foreign-controlled securities 5 firm LGT Bank (Schweiz) AG Basel Bank Foreign-controlled banks Foreign-controlled securities 4 firm Lienhardt & Partner Privatbank Zürich AG Zürich Bank Regional banks and savings banks Swiss securities firm 5 AG Luzern Bank Cantonal banks Swiss securities firm 3 Maerki Baumann & Co. AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business MBaer Merchant Bank AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Mercantil Bank (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm MG Finance SA Pully Securities firm Securities firm Swiss securities firm 5 AG Zürich Bank Other banks Swiss securities firm 3

02.09.2020 / 04:31 13/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Mirabaud & Cie SA Genève Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Morgan Stanley & Co. International plc, London, Zürich Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Zurich Branch securities firm NBK Private Bank (Switzerland) Ltd Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Neue Aargauer Bank AG Aarau Bank Regional banks and savings banks Swiss securities firm 3 Nidwaldner Kantonalbank Stans Bank Cantonal banks Swiss securities firm 4 Nomura Bank (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm NPB Neue Privat Bank AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Obwaldner Kantonalbank Sarnen Bank Cantonal banks Swiss securities firm 4 ODDO BHF (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm One Swiss Bank SA Genève 21 Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business PATRIMONY 1873 SA Lugano Securities firm Securities firm Foreign-controlled securities 5 firm Piguet Galland & Cie SA Yverdon-les- Bank Banks specialised in exchange, Swiss securities firm 4 Bains securities and asset management business PKB PRIVATBANK SA Lugano Bank Foreign-controlled banks Foreign-controlled securities 4 firm PostFinance AG Bern Bank Other banks Swiss securities firm 2

02.09.2020 / 04:31 14/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Privatbank Bellerive AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Privatbank IHAG Zürich AG Zürich Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Privatbank Von Graffenried AG Bern Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Private Client Bank AG Zürich Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business QNB (Suisse) SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Quantus AG Zürich Securities firm Securities firm Swiss securities firm 5 Quilvest (Switzerland) Ltd. Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Quintet Private Bank (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Rahn+Bodmer Co. Zürich Bank Private bankers who do not solicit funds Swiss securities firm 4 from the public Raiffeisen Schweiz Genossenschaft St. Gallen Bank Banks with a special field of business Swiss securities firm 2 RBC Investor Services Bank S.A., Esch-sur-Alzette, Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zweigniederlassung Zürich securities firm Regiobank Männedorf AG Männedorf Bank Regional banks and savings banks Swiss securities firm 5 Regiobank Solothurn AG Solothurn Bank Regional banks and savings banks Swiss securities firm 4 Reichmuth & Co. Luzern Bank Private bankers who do not solicit funds Swiss securities firm 4 from the public

02.09.2020 / 04:31 15/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Remaco Asset Management AG Basel Securities firm Securities firm Swiss securities firm 5 Reuss Private AG Bremgarten AG Securities firm Securities firm Swiss securities firm X 5 REYL & Cie SA Genève Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Rothschild & Co Bank AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm S.P. Hinduja Banque Privée SA Genève 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm SAXO BANK (SCHWEIZ) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm SB Saanen Bank AG Saanen Bank Regional banks and savings banks Swiss securities firm 5 Sberbank (Switzerland) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Schaffhauser Kantonalbank Schaffhausen Bank Cantonal banks Swiss securities firm 4 Schroder & Co Bank AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm Schwyzer Kantonalbank Schwyz Bank Cantonal banks Swiss securities firm 3 Scobag Privatbank AG Basel Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business SEBA Bank AG Zug Bank Other banks Swiss securities firm 5 SELVI & Cie SA Genève 11 Securities firm Securities firm Swiss securities firm 5 Società Bancaria Ticinese SA Bellinzona Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business

02.09.2020 / 04:31 16/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category SOCIETE GENERALE Private Banking (Suisse) SA Genève 11 Bank Foreign-controlled banks Foreign-controlled securities 4 firm Société Générale, Paris, Zweigniederlassung Zürich Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 securities firm SPAR + LEIHKASSE GÜRBETAL AG Mühlethurnen Bank Regional banks and savings banks Swiss securities firm 5 Spar- und Leihkasse Bucheggberg AG Lüterswil Bank Regional banks and savings banks Swiss securities firm 5 Spar- und Leihkasse Frutigen AG Frutigen Bank Regional banks and savings banks Swiss securities firm 4 Spar- und Leihkasse Thayngen AG Thayngen Bank Regional banks and savings banks Swiss securities firm 5 Spar- und Leihkasse Wynigen AG Wynigen Bank Regional banks and savings banks Swiss securities firm 5 Spar+Leihkasse Riggisberg AG Riggisberg Bank Regional banks and savings banks Swiss securities firm 5 Sparcassa 1816 Genossenschaft Wädenswil Bank Regional banks and savings banks Swiss securities firm 5 Sparkasse Schwyz AG Schwyz Bank Regional banks and savings banks Swiss securities firm 4 Sparkasse Sense Tafers Bank Regional banks and savings banks Swiss securities firm 5 St. Galler Kantonalbank AG St. Gallen Bank Cantonal banks Swiss securities firm 3 State Street Bank International GmbH, München, Zürich Foreign bank branch office First branch office of a foreign bank X 5 Zweigniederlassung Zürich STRATEO, Genève, Succursale d'Arkéa Direct Bank Genève Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 SA, Puteaux (Paris) securities firm Swiss Bankers Prepaid Services AG Grosshöchstett Bank Other banks X 5 en Swiss Capital Alternative Investments AG Zürich Securities firm Securities firm Swiss securities firm X 5 Bank SA Gland Bank Banks specialised in exchange, Swiss securities firm 4 securities and asset management business Sygnum Bank AG Zürich Bank Other banks Swiss securities firm 5

02.09.2020 / 04:31 17/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Tellco AG Schwyz Bank Other banks Swiss securities firm 5 Tensor Technologies AG Zug Securities firm Securities firm Swiss securities firm X 5 Thurgauer Kantonalbank Weinfelden Bank Cantonal banks Swiss securities firm 3 Trafina Privatbank AG Basel Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business TULLETT PREBON (SECURITIES) LIMITED, Genève 15 Foreign securities firm branch office Securities firm First branch office of a foreign X 5 Londres, succursale de Meyrin / Genève securities firm UBL (Switzerland) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 5 firm UBS AG Zürich Bank Large banks Swiss securities firm 1 UBS Europe SE, Frankfurt am Main, Opfikon Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zweigniederlassung Schweiz, Opfikon securities firm UBS Swiss Financial Advisers AG Zürich Securities firm Securities firm Swiss securities firm 5 UBS Switzerland AG Zürich Bank Large banks Swiss securities firm 1 UG Europe AG Baar Securities firm Securities firm Foreign-controlled securities X 5 firm UniCredit Bank AG, München, Zweigniederlassung Zürich Foreign bank branch office First branch office of a foreign bank First branch office of a foreign 5 Zürich securities firm UNION BANCAIRE PRIVEE, UBP SA Genève 1 Bank Banks specialised in exchange, Swiss securities firm 3 securities and asset management business Union Securities Switzerland SA Genève Securities firm Securities firm Swiss securities firm X 5 UNITED MIZRAHI BANK (Switzerland) Ltd. Zürich 1 Bank Foreign-controlled banks Foreign-controlled securities 5 firm Altdorf UR Bank Cantonal banks Swiss securities firm 4 Valcourt SA Genève 11 Securities firm Securities firm Swiss securities firm X 5

02.09.2020 / 04:31 18/19 Authorised banks and securities firms

Name City Licensing Bank type Securities firms type no activity as securities firm non-account-holding securities firms Category Valiant Bank AG Bern Bank Regional banks and savings banks Swiss securities firm 3 VP Bank (Schweiz) AG Zürich Bank Foreign-controlled banks Foreign-controlled securities 4 firm VZ Depotbank AG Zug Bank Other banks Swiss securities firm 4 WIR Bank Genossenschaft Basel Bank Other banks X 4 Zähringer Privatbank AG Bern Bank Banks specialised in exchange, Swiss securities firm 5 securities and asset management business Zug Bank Cantonal banks Swiss securities firm 4 Zürcher Kantonalbank Zürich Bank Cantonal banks Swiss securities firm 2 Zürcher Landbank AG Elgg Bank Regional banks and savings banks Swiss securities firm 5

Total authorised banks and securities firms: 290

02.09.2020 / 04:31 19/19