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 Financial Services and Markets Authority • Securities and commodities: wholesale / institutional – • Central Bank 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 Financial Market 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 (Philippines) • Hedge Fund Standards Board • Asia Securities Industry & Financial Markets Association • Hungarian Financial Supervisory Authority US BROKER DEALER PROFILE • Asset Management Association of China (AMAC) • International Capital Markets Association • Association of Mutual Funds in India • Isle of Man Financial Supervision Commission • Bank Negara Malaysia • Jersey Financial Services Commission • China Banking Regulatory Commission COMMERCIAL BANKING • Malta Financial Services Authority • Fixed Income and Money Market And Derivatives • Ministry of Economics and Finance (France) 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 • Japan 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 (Singapore) • Monetary Authority of Singapore (MAS) SECURITIES (Derivatives) ASSET MANAGEMENT (Wholesale) • National Association of Financial Market Institutional US/ CANADA 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 • Taiwan 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 • Central Bank 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 • Dubai 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