CERTIFICATION REGARDING CORRESPONDENT ACCOUNTS FOR FOREIGN [OMB CONTROL NUMBER 1506-0043]

The information contained in this Certification is sought pursuant to Sections 5318(j) and 5318(k) of Title 31 of the United State Code, as added by sections 313 and 319() of the USA PATRIOT Act of 2001 (Public Law 107-56).

This Certification should be completed by any foreign that maintains a correspondent account with any U.S. bank or broker-dealer in securities (a covered financial institution as defined in 31 CFR 1010.605(e)). An entity that is not a foreign bank is not required to complete this Certification.

A foreign bank is a bank organized under foreign law and located outside of the United States (see definition at 31 CFR 1010.100(u)). A bank includes offices, branches, and agencies of commercial banks or trust companies, private banks, national banks, thrift institutions, credit unions, and other organizations chartered under banking laws and supervised by banking supervisors of any state (see definition at 31 CFR 1010.100(d)).1

A correspondent account for a foreign bank is any account to receive deposits from, make payments or other disbursements on behalf of a foreign bank, or handle other financial transactions related to the foreign bank.

Special instructions for foreign branches of U.S. banks: A branch or office of a U.S. bank outside the United State is a foreign bank. Such a branch or office is not required to complete this Certification with respect to Correspondent Accounts with U.S. branches and offices of the same U.S. bank.

Special instructions for covering multiple branches on a single Certification: A foreign bank may complete one Certification for its branches and offices outside the United States. The Certification must list all of the branches and offices that are covered and must include the information required in Part C for each branch or office that maintains a Correspondent Account with a Covered Financial Institution. Use attachment sheets as necessary.

A. The undersigned financial institution, HSBC Holdings Plc, including its subsidiaries and branches listed in the attachment hereto (each a “Foreign Bank” and collectively “Foreign Banks”), hereby certifies as follows:

B. Correspondent Accounts Covered by this Certification: Check one box.

☒ This Certification applies to all accounts established for Foreign Bank by Covered Financial Institutions.

☐ This Certification applies to Correspondent Accounts established by ______(name of Covered Financial Institution(s)) for Foreign Bank.

1 A “foreign bank” does not include any foreign or monetary authority that functions as a central bank, or any international financial institution or regional development bank formed by treaty or international agreement.

1

C. Physical Presence/Regulated Affiliate Status: Check one box and complete the blanks.

☒ Each Foreign Bank listed in Attachment 1 hereto maintains a physical presence in the country or countries listed in Attachment 1. This means that each such Foreign Bank:

 has a place of a business at the street address or addresses set out in Attachment 1, where it employs one or more individuals on a full-time basis and maintains operating records related to its banking activities;  is authorised to conduct banking activities in the country or countries indicated in Attachment 1; and  is subject to inspection by the banking authority or authorities indicated in Attachment 1 that licensed the Foreign Bank to conduct banking activities.

☐ Foreign Bank does not have a physical presence in any country, but Foreign Bank is a regulated affiliate. That means:

 Foreign Bank is an affiliate of a depository institution, or a foreign bank that maintains a physical presence at the following street address: ______where it employs one or more persons on a full-time basis and maintains operating records related to its banking activities;  the above address is in ______(insert country), where the depository institution, credit union or foreign bank is authorised to conduct banking activities;  Foreign Bank is subject to supervision by ______(insert banking authority), the same banking authority that regulates the depository institution, credit union or foreign bank.

☐ Foreign Bank does not have a physical presence in a country and is not a regulated affiliate.

D. Indirect Use of Correspondent Accounts: Check box to certify:

☒ No Correspondent Account maintained by a Covered Financial Institution may be used to indirectly provide banking services to certain foreign banks. Foreign Bank hereby certifies that it does not use any Correspondent Account with a Covered Financial Institution to indirectly provide banking services to any foreign bank that does not maintain a physical presence in any country and that is not a regulated affiliate.

2

E. Ownership Information Check box 1 or 2 below, if applicable.

☐ 1.Form FR Y-7 is on file. Foreign Bank has filed with the Federal Reserve Board a current Form FR Y-7 and has disclosed its ownership on Item 4 of Form FR Y-7.

☒ 2.Foreign Bank’s shares are publicly traded. Publicly traded means that the shares are traded on an exchange or an organized over-the-counter market that is regulated by a foreign securities authority as defined in section 3(a)(50) of the Securities Exchange Act of 1934 (15 U.S.C.78c(a)(50)).

If neither box 1 or 2 of Part E is checked, complete Item 3 below, if applicable:

☐ 3. Foreign Bank has no owner(s) except as set forth below. For purposes of this Certification, owner means any person who, directly or indirectly, (a) owns, controls or has power to vote 25 percent or more of any class of voting securities or other voting interests of Foreign Bank; or (b) controls in any manner the election of a majority of the directors (or individuals exercising similar functions) of Foreign Bank. For purposes of this Certification, (i) person means any individual, bank, corporation, partnership, limited liability company or any other legal entity; (ii) voting securities or other voting interests means securities or other interests that entitle the holder to vote for or select directors (or individuals exercising similar functions); and (iii) members of the same family2 shall be considered one person.

Name Address

F. Process Agent: complete the following:

The following individual or entity: HSBC Bank USA, N,A, is a resident of the United States at the following street address: Legal Paper Processing, 2929 Walden Avenue, Depew, NY 14043, and is authorised to accept service of legal process on behalf of Foreign Bank from the Secretary of the Treasury or the Attorney General of the United States pursuant to Section 5318(k) of title 31, United States Code.

2 The same family means parents, spouses, children, siblings, uncles, aunts, grandparents, grandchildren, first cousins, stepchildren, stepsiblings, parents-in-law and spouses of any of the foregoing. In determining the ownership interests of the same family, any voting interest of any family member shall be taken into account.

3

G. General

Foreign Bank hereby agrees to notify in writing each Covered Financial Institution at which it maintains any Correspondent Account of any change in facts or circumstances reported in this Certification. Notification shall be given within 30 calendar days of such change.

Foreign Bank understands that each Covered Financial Institution at which it maintains a Correspondent Account may provide a copy of this Certification to the Secretary of the Treasury and the Attorney General of the United States. Foreign Bank further understands that the statements contained in this Certification may be transmitted to one or more departments or agencies of the United States of America for the purpose of fulfilling such departments’ and agencies’ governmental functions.

I, Jennifer Shasky Calvery, certify that I have read and understand this Certification, that the statements made in this Certification are complete and correct and that I am authorised to execute this Certification on behalf of Foreign Bank.

HSBC Holdings Plc

Group Head of Financial Crime and Group MLRO

Executed on this 1st day of June, 2021.

Received and reviewed by: Name: ______Title: ______For: ______[Name of Covered Institution]

Date: ______

[67 FR 60573, Sept. 26, 2002]

Paperwork Reduction Act Notice

Public recordkeeping burden for this collection of information is estimated to average for reviewing instructions, searching existing data sources, gathering and maintaining reviewing the collection of information. An agency may not conduct or sponsor, and collection of information unless it displays a valid OMB control number. The OMB collection is 1506-0043. You may submit comments regarding this burden estimate information, including suggestions for reducing this burden, by calling the FinCEN email at [email protected]. Alternatively, you may mail us comments at Policy Division, P.O. Box 39, , VA 22183. Please include 1506–0043 in the body of the text.

4

Appendix 1

Affiliate Name Country Address Regulator Complexe immobilier Oriental Business Park, Bab EZZOUAR, HSBC Algeria Algeria 16311 Bank of Algeria FLORIDA 201, Banco Central de la Republica - HSBC Bank Argentina S.A. Argentina C1005AAE Central Bank of Argentina 66 TERYAN STREET HSBC Bank Armenia cjsc Armenia YEREVAN 0009 Australian Prudential Regulation Authority LEVEL 36, TOWER 1 INTERNATIONAL TOWERS (APRA); 100 BARANGAROO AVENUE Australian Securities and Investments HSBC Bank Limited Australia SYDNEY NSW 2000 Commission LEVEL 36, TOWER 1, INTERNATIONAL Australian Prudential Regulation Authority TOWERS SYDNEY, 100 BARANGAROO (APRA); The Hongkong and Banking AVENUE, Australian Securities and Investments Corporation Limited Australia SYDNEY, NSW 2000 Commission BUILDING 2505, ROAD 2832, BLOCK 428 AL HSBC Bank Limited, SEEF, SANABIS, P.O.BOX 57 Branch MANAMA Central Bank of Bahrain ANCHOR TOWER, 108 BIR UTTAM C. R. The Hongkong and Shanghai Banking DUTTA ROAD, Corporation Limited, Dhaka Branch Bangladesh DHAKA 1205 Central Bank of Bangladesh HSBC Continental Europe, Brussels SQUARE DE MEEUS 23 Branch Belgium BRUSSELS 1000 National Bank of Belgium 37 FRONT STREET HSBC Bank Bermuda Limited Bermuda HAMILTON HM 11 Bermuda Monetary Authority

5

1909 Avenida Presidente Juscelino Kubitschek, Torre Norte, Sao Paulo Corporate Banco HSBC S.A. Brazil Towers, Sao Paulo Brazil 04551903 Banco Central Do Brasil Office of the Superintendent of Financial Institutions (OSFI); 885 WEST GEORGIA STREET, The Financial Transactions and Reports HSBC Bank Canada Canada VANCOUVER V6C 3E9 Analysis Centre of Canada (FINTRAC) AVENIDA ISIDORA GOYENECHEA 2800 LAS CONDES, FLOOR 23 Comisión para el Mercado Financiero - HSBC Bank (Chile) Chile SANTIAGO 2800 Commission for the Financial Market HSBC BUILDING, SHANGHAI IFC FLOOR 37 8 Banking and Insurance Regulatory CENTURY AVENUE Commission; HSBC Bank (China) Company Limited China SHANGHAI 200120 People's (PBC) 34/F and 36/F, Tower, 1000 Ring Road, China (Shanghai) Pilot China Banking and Insurance Regulatory Free Trade Zone, Commission; Hang Seng Bank (China) Limited China SHANGHAI 200120 People's Bank of China (PBC) HSBC Continental Europe, Prague NA FLORENCI 2116/15 NOVE MESTO Branch Czech Republic PRAGUE 110 00 Czech National Bank 306 CORNICHE EL NIL, MAADI 11728 HSBC Bank Egypt S.A.E. Egypt CAIRO Central Bank of Egypt French Prudential Supervision and Resolution Authority (Autorité de contrôle HSBC Bank Plc, Branch 38 AVENUE KLÉBER, 75116 Paris prudentiel et de résolution - ACPR) French Prudential Supervision and 38 AVENUE KLEBER Resolution Authority (Autorité de contrôle HSBC Continental Europe France PARIS 75008 prudentiel et de résolution - ACPR)

6

Bundesanstalt für KOENIGSALLEE 21/23, Finanzdienstleistungsaufsicht - Federal HSBC Trinkaus und Burkhardt AG DUESSELDORF 40212 Financial Supervisory Authority HSBC Continental Europe, Athens MESOGEION AVE 109-111 Branch Greece ATHENS 11526 Bank of Greece Arnold House St Julian’s Avenue St Peter Port HSBC Bank Plc, St Peter Port Branch Guernsey Guernsey GY1 3NF Guernsey Commission HSBC MAIN BUILDING 1 QUEEN'S ROAD CENTRAL HSBC Bank Plc, Branch Hong Kong HONG KONG Hong Kong Monetary Authority Hong Kong Monetary Authority; 83 DES VOEUX ROAD CENTRAL Securities & Futures Commission of Hong- Hang Seng Bank Limited Hong Kong HONG KONG Kong HSBC MAIN BUILDING 1 QUEEN'S ROAD HSBC Bank USA, National Association, CENTRAL Hong Kong Branch Hong Kong HONG KONG Hong Kong Monetary Authority; HSBC MAIN BUILDING, 1 QUEEN'S ROAD Hong Kong Monetary Authority; The Hongkong and Shanghai Banking CENTRAL Securities & Futures Commission of Hong- Corporation Limited Hong Kong HONG KONG Kong The Hongkong and Shanghai Banking 52/60 MAHATMA GANDHI ROAD, ; Corporation Limited, Mumbai Branch India MUMBAI 400001 Securities and Exchange Board of India WORLD TRADE CENTER I 29-31 JALAN JENDERAL SUDIRMAN KAVELING Financial Services Authority of Indonesia PT Bank HSBC Indonesia Indonesia JAKARTA 12920 (Otoritas Jasa Keuangan - OJK) 1 GRAND CANAL SQUARE GRAND CANAL HSBC Continental Europe, Dublin HARBOUR Branch Ireland DUBLIN 2 Central HSBC Bank Plc, Douglas Branch Isle of Man HSBC House, Ridgeway Street, Douglas Financial Supervision Commission

7

Amot Atrium Building -30th Floor 2 Jabotinsky Street, HSBC Bank Plc, Branch Ramat Gan 5250501 Bank of Israel HSBC (Suisse), Tel Aviv 2 Jabotinsky Street, Rep Office Israel Ramat Gan 5250501 Bank of Israel HSBC Continental Europe, Milan VIA MIKE BONGIORNO 13 Branch Italy MILANO 20124 Banca D'Italia - Bank of Italy HSBC BUILDING, 11-1 NIHONBASHI 3- The Hongkong and Shanghai Banking CHOME, CHUO-KU, Corporation Limited, Tokyo Branch Japan TOKYO 103-0027 Financial Services Agency 15-17 King Street HSBC Bank Plc, St Helier Branch Jersey St Helier, JE2 4WF Jersey Financial Services Commission AL-HAMRA TOWER, FLOOR 37, ABDULAZIZ AL SAGER STREET, BLOCK 8, BUILDING 14, HSBC Bank Middle East Limited, SHARQ AREA Central Bank of Kuwait; Kuwait Branch Kuwait KUWAIT Capital Markets Authority 16 BOULEVARD D'AVRANCHES, Commission de Surveillance du Secteur HSBC Private Bank () SA Luxembourg LUXEMBOURG 1160 Financier 16 BOULEVARD D'AVRANCHES, Commission de Surveillance du Secteur HSBC Bank Plc, Luxembourg Branch Luxembourg LUXEMBOURG 1160 Financier HSBC Continental Europe, 16 BOULEVARD D'AVRANCHES Commission de Surveillance du Secteur Luxembourg Branch Luxembourg LUXEMBOURG 1160 Financier Hang Seng Bank Limited, Macao Unit A-F, Floor 3, Circle Square, No. 61 Branch Macao Avenida de Almeida Ribeiro, Macau Monetary Authority of Macau The Hongkong and Shanghai Banking 613 - 639 AVENIDA DA PRAIA GRANDE, Corporation Limited, Macau Branch Macau MACAU Monetary Authority of Macao 2 LEBOH AMPANG Bank Negara - Central Bank of HSBC Bank Malaysia Berhad Malaysia 50100 Malaysia BANGUNAN HSBC 2 LEBOH AMPANG Bank Negara Malaysia - Central Bank of HSBC Amanah Malaysia Malaysia KUALA LUMPUR 50100 Malaysia

8

B1 FLOOR 11 MAIN OFFICE TOWER, The Hongkong and Shanghai Banking FINANCIAL PARK LABUAN, JALAN MERDEKA Corporation Limited, Labuan Branch Malaysia LABUAN 87000 Labuan Financial Services Authority MTCC TOWER, 24 BODUTHAKURUFAANU The Hongkong and Shanghai Banking MAGU, Corporation Limited, Male Branch Maldives MALE 20057 Maldives Monetary Authority 116 ARCHBISHOP STREET, HSBC Bank Plc Malta VLT 1444 Malta Financial Services Authority 6F, HSBC Centre, 18 Cybercity, Ebene, HSBC Bank () Limited Mauritius Mauritius Central Bank of Mauritius The Hongkong and Shanghai Banking Corporation Limited, Mauritius 18 HSBC CENTRE, CYBER CITY Branch Mauritius EBENE 72201 Central Bank of Mauritius HSBC , S.A., Institucion de Banca Multiple, Grupo Financiero 347, CUAUHTEMOC, Comision Nacional Bancaria y De Valores - HSBC Mexico MEXICO 06500 National Banking and Securities Commission ; HSBC Continental Europe, DE ENTREE 236 Autoriteit Financiële Markten - Netherlands Amsterdam Branch Netherlands AMSTERDAM 1101 EE Authority for the Financial Markets The Hongkong and Shanghai Banking Corporation Limited, Auckland HSBC Tower, Level 21, 188 Quay Street, Reserve Bank of New Zealand; Branch New Zealand AUCKLAND Financial Markets Authority Al Khuwair Office, PO Box 1727, PC111 CPO HSBC Bank Oman S.A.O.G. Oman Seeb, Muscat Central Bank of Oman UNIT 1, THE COMMERCIAL COMPLEX MADRIGAL AVENUE, AYALA ALABANG, HSBC Savings Bank (Philippines), Inc. Philippines MUNTINLUPA CITY, METRO MANILA 1780 Bangko Sentral NG Pilipinas HSBC CENTRE, 3058 FIFTH AVENUE WEST The Hongkong and Shanghai Banking BONIFACIO GLOBAL CITY, Bangko Sentral NG Pilipinas; Corporation Limited, Taguig Branch Philippines TAGUIG CITY 1634 Securities and Exchange Commission

9

HSBC Continental Europe, Warsaw RONDO ONZ 1 Komisja Nadzoru Finansowego - Polish Branch Poland WARSZAWA 00-124 Financial Supervision Authority BUILDING 150, AL MATAR STREET, UMM HSBC Bank Middle East Limited, Doha GHUWAILINA, P.O. Box 57, Qatar Central Bank; Branch Qatar DOHA Qatar Financial Markets Authority Republic of 1 Grand Canal Square, Grand Canal Harbour, HSBC UK Bank Plc, Dublin Branch Ireland Dublin 2 Central Bank of Ireland Russian PAVELETSKAYA SQUARE 2 BLD 2 HSBC Bank RR Federation MOSCOW 115054 Central Bank of the Russian Federation Hang Seng Bank Limited, Singapore 9 Battery Road, #07-01 MYP Centre, Branch Singapore Singapore 049910 Monetary Authority of Singapore 10 Marina Boulevard, #48-01 Marina Bay HSBC Bank (Singapore) Limited Singapore , Singapore 018983, Monetary Authority of Singapore The Hongkong and Shanghai Banking 10 MARINA BOULEVARD, #48-01 MARINA Corporation Limited, Singapore BAY FINANCIAL CENTRE, Branch Singapore SINGAPORE 018983 Monetary Authority of Singapore 1 Mutual Place, 107 Rivonia Road HSBC Bank Plc, Johannesburg Branch South Africa Sandton, Gauteng 2196 South African Reserve Bank HSBC Private Bank (Suisse), 1 Mutual Place, 107 Rivonia Road Johannesburg Rep Office South Africa Sandton, Gauteng 2196 South African Reserve Bank The Hongkong and Shanghai Banking HSBC Building 37, Chilpae-Ro, Jung-Gu, Seoul Corporation Limited, Seoul Branch South Korea 04511 Financial Supervisory Service TORRE PICASSO PZ PABLO RUIZ PICASSO 1 Banco de España - Bank of Spain; HSBC Continental Europe, Madrid PL.33 Comisión Nacional del Mercado de Valores - Branch Spain MADRID 28020 National Securities Market Commission The Hongkong and Shanghai Banking Corporation Limited, Colombo 24 SIR BARON JAYATILAKA MAWATHA, Branch Sri Lanka COLOMBO 1 Central Bank of Sri Lanka HSBC Continental Europe, Stockholm Commission de Surveillance du Secteur Branch Sweden Birger Jarlsgatan 4 , Stockholm 114 34 Financier

10

Swiss Financial Market Supervisory Authority HSBC Bank Plc, Zurich Branch Switzerland Gartenstrasse 26 8002 Zurich FINMA QUAI DES BERGUES 9-17, Swiss Financial Market Supervisory Authority HSBC Private Bank (Suisse) Switzerland GENEVA 1201 FINMA HSBC Private Bank (Suisse), Zurich Swiss Financial Market Supervisory Authority Branch Switzerland 26 Gartenstrasse , Zurich Switzerland 8002 FINMA INTERNATIONAL TRADE BUILDING FLOOR 13- 14, 333 KEELUNG ROAD, Section 1, HSBC Bank () Limited Taiwan 110 Financial Supervisory Commission Room A1, 12F Hung Tai Center, 170 Tun Hua Hang Seng Bank Limited, Taiwan Taiwan North Road, Taipei Financial Supervisory Commission Financial Supervisory Commission; The Hongkong and Shanghai Banking 333 KEELUNG ROAD, SEC.1 FLOOR 13-14 Central Bank of the Republic of China Corporation Limited, Taipei Branch Taiwan TAIPEI 110 (Taiwan) HSBC BUILDING, 968 RAMA IV ROAD SILOM, The Hongkong and Shanghai Banking BANGRAK, Bank of Thailand; Corporation Limited, Bangkok Branch Thailand BANGKOK 10500 Securities and Exchange Commission Esentepe Mah. Buyukdere Cad. No:128, Bankacilik Düzenleme ve Denetleme Kurumu HSBC Bank Anonim Sirketi Sisli, İSTANBUL 34394 - Banking Regulation and Supervision Agency

Level 1, Gate Village Building No. 8, HSBC Private Bank (Suisse), DIFC International Financial Centre (DIFC) Dubai Branch UAE P.O. BOX 506553 Dubai Financial Services Authority

LEVEL 1, BUILDING NO. 8, GATE VILLAGE DUBAI INTERNATIONAL FINANCIAL CENTRE, HSBC Bank Middle East Limited UAE DUBAI 30444 Dubai Financial Services Authority HSBC Tower, HSBC Bank Middle East Limited, UAE Downtown Dubai, Central Bank of United Arab Emirates; Branch UAE P.O. Box 66, DUBAI Securities and Commodities Authority

11

1 CENTENARY SQUARE, Financial Conduct Authority; HSBC UK Bank Plc B1 1HQ Prudential Regulation Authority Financial Conduct Authority; HSBC Bank Plc United Kingdom 8 CANADA SQUARE, E145HQ Prudential Regulation Authority HSBC Bank USA, National Association, Financial Conduct Authority; London Branch United Kingdom 8 CANADA SQUARE, LONDON E145HQ Prudential Regulation Authority The Hongkong and Shanghai Banking Financial Conduct Authority; Corporation Limited United Kingdom 8 Canada Square, London E14 5HQ Prudential Regulation Authority POB 1901 RINCON 391 FLOOR 3 HSBC Bank Uruguay S.A. Uruguay MONTEVIDEO 11000 Banco Central de Uruguay THE METROPOLITAN 235 DONG KHOI STREET DISTRICT 1 HSBC Bank (Vietnam) Ltd. Vietnam HO CHI MINH CITY State Bank of Vietnam

12