Prudential Sourcebook for Banks, Building Societies and Investment Firms (Waivers)

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1 The FCA Register is at BIPRU Abbey National Treasury Services Plc /02/ /02/2013 Waiver BIPRU ABC International Bank Plc /06/ /06/2014 Modification BIPRU Bank of London and The Middle East plc /05/ /03/2012 Modification BIPRU Bank of London and The Middle East plc /03/ /05/2014 Modification BIPRU Bank of Scotland plc /09/ /04/2008 Modification BIPRU Bank of Scotland plc /06/ /06/2013 Modification BIPRU Bradford & Bingley Plc /10/ /03/2009 Modification BIPRU Bradford & Bingley Plc /04/ /06/2009 Modification BIPRU Bradford & Bingley Plc /04/ /04/2013 Modification BIPRU Britannia Building Society /09/ /09/2012 Modification BIPRU Britannia Building Society /12/ /09/2012 Modification BIPRU Close Brothers Limited /06/ /06/2013 Modification BIPRU Close Brothers Limited /10/ /10/2013 Modification BIPRU Close Brothers Limited /01/ /10/2013 Modification BIPRU Close Brothers Limited /03/ /10/2013 Waiver BIPRU Close Brothers Limited /10/ /10/2014 Waiver BIPRU Clydesdale Bank Plc /05/ /11/2014 Modification BIPRU Coventry Building Society /09/ /09/2015 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Derbyshire Building Society /01/ /01/2013 Modification BIPRU Dunfermline Building Society (in building society special administr /04/ /04/2012 Modification BIPRU EFG Private Bank Limited /09/ /12/2008 Modification BIPRU HBOS Treasury Services Plc /04/ /09/2007 Modification BIPRU HBOS Treasury Services Plc /11/ /04/2008 Modification BIPRU ICBC Standard Bank Plc /10/ /10/2012 Waiver BIPRU Kaupthing Singer & Friedlander Limited /09/ /09/2012 Modification 1 of 231

2 BIPRU Kent Reliance Building Society /07/ /07/2013 Modification BIPRU Manchester Building Society /09/ /09/2012 Waiver BIPRU Manchester Building Society /01/ /09/2012 Waiver BIPRU MBNA Limited /03/ /09/2015 Modification BIPRU N M Rothschild & Sons Ltd /07/ /07/2012 Modification BIPRU N M Rothschild & Sons Ltd /11/ /11/2014 Waiver BIPRU Nationwide Building Society /02/ /02/2013 Modification BIPRU Nationwide Building Society /11/ /11/2014 Modification BIPRU OneSavings Bank Plc /02/ /09/2012 Modification BIPRU OneSavings Bank Plc /09/ /02/2016 Modification BIPRU Santander UK Plc /02/ /02/2013 Waiver BIPRU Secure Trust Bank Plc /05/ /05/2017 Modification BIPRU Shawbrook Bank Limited /10/ /10/2013 Waiver BIPRU Skipton Building Society /08/ /08/2014 Modification BIPRU Standard Chartered Bank /04/ /04/2015 Waiver BIPRU The Co-operative Bank Plc /09/ /09/2014 Waiver BIPRU The Royal Bank of Scotland Plc /11/ /11/2012 Modification BIPRU West Bromwich Building Society /04/ /04/2015 Modification BIPRU Yorkshire Building Society /02/ /10/2011 Modification BIPRU Yorkshire Building Society /11/ /12/2016 Modification BIPRU Chancery (UK) LLP /01/ /12/2015 Modification BIPRU Halifax Plc /01/ /07/2011 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Danske Bank A/S /01/ /05/2012 Modification BIPRU Abbey National Treasury Services Plc /12/2007 Modification BIPRU Alliance & Leicester Commercial Bank Plc /01/2007 Modification BIPRU Alliance & Leicester Plc /01/2007 Modification BIPRU Bank of Scotland (Ireland) Limited /01/2008 Modification BIPRU Bank of Scotland plc /01/2008 Modification 2 of 231

3 BIPRU Barclays Bank Plc /01/2008 Modification BIPRU Barclays Bank Plc /12/2013 Modification BIPRU Barclays Capital Securities Limited /01/2008 Modification BIPRU Barclays Capital Securities Limited /12/2013 Modification BIPRU Britannia Building Society /01/ /08/2009 Modification BIPRU Coventry Building Society /01/2008 Modification BIPRU Goldman Sachs International /01/2008 Modification BIPRU Goldman Sachs International Bank /01/2008 Modification BIPRU HSBC Bank Plc /01/2008 Modification BIPRU HSBC Holdings Plc /01/2008 Modification BIPRU Lloyds Bank PLC /01/2008 Modification BIPRU Merrill Lynch International /01/ /05/2009 Modification BIPRU Morgan Stanley & Co Ltd /01/2008 Modification BIPRU Morgan Stanley & Co. International Plc /01/2008 Modification BIPRU Morgan Stanley Bank International Limited /01/2008 Modification BIPRU Morgan Stanley Capital Group Ltd /01/ /09/2011 Modification BIPRU Morgan Stanley Investment Management (ACD) Limited /01/2008 Modification BIPRU Morgan Stanley Investment Management Limited /01/2008 Modification BIPRU Morgan Stanley Securities ACD Ltd /01/2008 Modification BIPRU Morgan Stanley Securities Ltd /01/2008 Modification BIPRU National Westminster Bank Plc /01/2008 Modification BIPRU Nationwide Building Society /07/2008 Waiver BIPRU Norwich and Peterborough Building Society /01/2007 Modification BIPRU NRAM plc /06/ /01/2010 Waiver BIPRU Principality Building Society /09/2013 Modification BIPRU Santander UK Plc /12/ /12/2009 Modification BIPRU Santander UK Plc /06/2008 Modification BIPRU Scottish Widows Bank Plc /01/2008 Modification BIPRU SMBC Derivative Products Limited /01/ /12/2013 Modification 3 of 231

4 BIPRU SMBC Nikko Capital Markets Limited /01/ /12/2013 Modification BIPRU Standard Chartered Bank /01/2008 Modification BIPRU Standard Life Bank Plc /07/2007 Modification BIPRU Sumitomo Mitsui Banking Corporation Europe Limited /01/2008 Modification BIPRU TD Bank Europe Limited /01/2008 Modification BIPRU TD Securities Limited /01/ /11/2015 Modification BIPRU The Co-operative Bank Plc /01/2008 Modification BIPRU The Royal Bank of Scotland Plc /01/2008 Modification BIPRU TSB Bank plc /01/2008 Modification BIPRU Virgin Money plc /01/2010 Modification BIPRU Abbey National Treasury Services Plc /01/ /12/2015 Waiver BIPRU Bank of Ireland (UK) Plc /01/ /12/2015 Modification BIPRU Cater Allen Limited /01/ /12/2015 Modification BIPRU IG Index Limited /11/ /09/2015 Waiver BIPRU IG Markets Limited /11/ /09/2015 Waiver BIPRU Jefferies International Ltd /12/ /12/2015 Modification BIPRU Kyte Broking Limited /11/ /11/2016 Modification BIPRU Leucadia Investment Management Limited /12/ /12/2015 Modification BIPRU Morgan Stanley & Co Ltd /01/ /04/2013 Modification BIPRU Morgan Stanley & Co. International Plc /01/ /04/2013 Modification BIPRU Morgan Stanley Bank International Limited /01/ /04/2013 Modification BIPRU Morgan Stanley Investment Management Limited /01/ /04/2013 Modification BIPRU Morgan Stanley Securities Ltd /01/ /04/2013 Modification BIPRU Nomura Bank International Plc /12/ /10/2015 Modification BIPRU Nomura International Plc /12/ /10/2015 Modification BIPRU Pershing Limited /12/ /12/2015 Waiver BIPRU Pershing Securities Ltd /12/ /12/2015 Waiver BIPRU R.J. O'Brien Limited /11/ /11/2016 Modification BIPRU Santander UK Plc /01/ /12/2015 Modification 4 of 231

5 BIPRU (1) Bank of Scotland plc /01/ /12/2015 Modification BIPRU (1) Jefferies Bache Limited /12/ /12/2015 Modification BIPRU (1) Lloyds Bank PLC /01/ /12/2015 Modification BIPRU (1) Lloyds Bank Private Banking Limited /01/ /12/2015 Modification BIPRU (1) Scottish Widows Bank Plc /01/ /12/2015 Modification BIPRU (1) TSB Bank plc /01/ /12/2015 Modification BIPRU (2) Adam & Company Plc /07/ /06/2013 Modification BIPRU (2) Adam & Company Plc /06/ /07/2014 Waiver BIPRU (2) Bank of Scotland plc /01/ /12/2015 Modification BIPRU (2) Barclays Bank Plc /12/ /09/2013 Modification BIPRU (2) Barclays Bank Trust Company Limited /12/ /09/2013 Modification BIPRU (2) Barclays Capital Securities Limited /12/ /09/2013 Modification BIPRU (2) Barclays Stockbrokers Limited /12/ /09/2013 Modification BIPRU (2) Barclays Stockbrokers Limited /10/ /02/2014 Modification BIPRU (2) Coutts & Company /07/ /06/2013 Modification BIPRU (2) Coutts & Company /06/ /07/2014 Waiver BIPRU (2) DB UK Bank Limited /12/ /12/2015 Modification BIPRU (2) Deutsche Trustee Company Ltd /12/ /12/2015 Modification BIPRU (2) Gerrard Investment Management Limited /12/ /09/2013 Modification BIPRU (2) Gerrard Investment Management Limited /10/ /02/2014 Modification BIPRU (2) Goldman Sachs Asset Management International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs Asset Management International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International /12/ /12/2014 Modification BIPRU (2) Goldman Sachs International Bank /12/ /12/2014 Modification BIPRU (2) Habib Allied International Bank plc /01/ /09/2015 Modification BIPRU (2) Habibsons Bank Limited /01/ /09/2015 Modification BIPRU (2) HFC Bank Limited /12/ /09/2013 Modification BIPRU (2) HFC Bank Limited /12/ /12/2016 Modification 5 of 231

6 BIPRU (2) HSBC Bank Plc /12/ /09/2013 Modification BIPRU (2) HSBC Bank Plc /12/ /12/2016 Modification BIPRU (2) HSBC Global Asset Management (UK) Limited /12/ /09/2013 Modification BIPRU (2) HSBC Private Bank (UK) Limited /09/ /09/2013 Modification BIPRU (2) HSBC Private Bank (UK) Limited /12/ /12/2016 Modification BIPRU (2) HSBC Trust Company (UK) Ltd /12/ /09/2013 Modification BIPRU (2) HSBC Trust Company (UK) Ltd /12/ /12/2016 Modification BIPRU (2) Investec Bank PLC /12/ /04/2015 Waiver BIPRU (2) J.P Morgan Private Fund Management Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Europe Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan International Bank Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Limited /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Securities plc /12/ /03/2015 Waiver BIPRU (2) J.P. Morgan Trustee and Depositary Company Limited /12/ /03/2015 Waiver BIPRU (2) Lloyds Bank PLC /01/ /12/2015 Modification BIPRU (2) Lloyds Bank Private Banking Limited /01/ /12/2015 Modification BIPRU (2) Marks & Spencer Financial Services Plc /12/ /09/2013 Modification BIPRU (2) Marks & Spencer Financial Services Plc /12/ /12/2016 Modification BIPRU (2) Merrill Lynch International /04/ /04/2014 Modification BIPRU (2) Merrill Lynch International Bank Designated Activity Company /04/ /04/2014 Modification BIPRU (2) Morgan Stanley & Co Ltd /03/ /12/2013 Modification BIPRU (2) Morgan Stanley & Co Ltd /12/ /12/2015 Modification BIPRU (2) Morgan Stanley & Co. International Plc /03/ /12/2013 Modification BIPRU (2) Morgan Stanley & Co. International Plc /12/ /09/2015 Modification BIPRU (2) Morgan Stanley Bank International Limited /03/ /12/2013 Modification BIPRU (2) Morgan Stanley Bank International Limited /12/ /09/2015 Modification BIPRU (2) Morgan Stanley Investment Management Limited /03/ /12/2013 Modification BIPRU (2) Morgan Stanley Investment Management Limited /12/ /12/2015 Modification BIPRU (2) Morgan Stanley Securities Ltd /03/ /12/2013 Modification 6 of 231

7 BIPRU (2) Morgan Stanley Securities Ltd /12/ /09/2015 Modification BIPRU (2) National Westminster Bank Plc /07/ /06/2013 Modification BIPRU (2) National Westminster Bank Plc /06/ /07/2014 Waiver BIPRU (2) Scottish Widows Bank Plc /01/ /12/2015 Modification BIPRU (2) The Royal Bank of Scotland Plc /07/ /06/2013 Modification BIPRU (2) The Royal Bank of Scotland Plc /06/ /07/2014 Modification BIPRU (2) TSB Bank plc /01/ /12/2015 Modification BIPRU (2) Ulster Bank Ltd /07/ /06/2013 Modification BIPRU (2) Ulster Bank Ltd /06/ /07/2014 Waiver BIPRU IG Index Limited /11/ /09/2015 Waiver BIPRU IG Markets Limited /11/ /09/2015 Waiver BIPRU Standard Chartered Bank /09/ /11/2015 Waiver BIPRU Standard Chartered Bank /09/ /11/2015 Waiver BIPRU Bank of Scotland plc /12/ /12/2010 Modification BIPRU Barclays Bank Plc /12/ /12/2010 Modification BIPRU Equistone Partners Europe Limited /12/ /12/2010 Modification BIPRU HSBC Bank Plc /12/ /12/2009 Modification BIPRU HSBC Bank Plc /12/ /12/2011 Modification BIPRU Lloyds Bank PLC /12/ /12/2009 Modification BIPRU Lloyds Bank PLC /12/ /12/2010 Modification BIPRU The Royal Bank of Scotland Plc /09/ /12/2013 Modification BIPRU Aberdeen Asset Investments Limited /12/ /02/2010 Modification BIPRU Aberdeen Investment Solutions Limited /12/ /02/2010 Modification BIPRU AMC Bank Ltd /12/ /02/2010 Modification BIPRU Bank of Scotland plc /12/ /12/2009 Modification BIPRU Barclays Bank Plc /12/ /12/2009 Modification BIPRU HSBC Bank Plc /12/ /02/2010 Modification BIPRU HSBC Private Bank (UK) Limited /12/ /02/2010 Modification BIPRU HSBC Trust Company (UK) Ltd /12/ /02/2010 Modification 7 of 231

8 BIPRU Lloyds Bank PLC /12/ /02/2010 Modification BIPRU Lloyds Bank Private Banking Limited /12/ /02/2010 Modification BIPRU Marks & Spencer Financial Services Plc /12/ /02/2010 Modification BIPRU National Westminster Bank Plc /12/ /02/2010 Modification BIPRU Scottish Widows Bank Plc /12/ /02/2010 Modification BIPRU Standard Chartered Bank /12/ /02/2010 Modification BIPRU The Royal Bank of Scotland Plc /12/ /02/2010 Modification BIPRU TSB Bank plc /12/ /02/2010 Modification BIPRU Ulster Bank Ltd /12/ /02/2010 Modification BIPRU Credit Suisse International /01/ /06/2010 Modification BIPRU Credit Suisse International /06/ /12/2010 Modification BIPRU Credit Suisse International /01/ /06/2012 Modification BIPRU Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU Credit Suisse Securities (Europe) Ltd /06/ /12/2010 Modification BIPRU Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU Maple Securities (UK) Ltd /01/2008 Modification BIPRU National Westminster Bank Plc /01/ /12/2011 Modification BIPRU National Westminster Bank Plc /01/ /12/2012 Modification BIPRU National Westminster Bank Plc /01/ /12/2013 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2011 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2012 Modification BIPRU The Royal Bank of Scotland Plc /01/ /12/2013 Modification BIPRU UBS Limited /01/2008 Modification BIPRU Ulster Bank Ltd /01/ /12/2011 Modification BIPRU Ulster Bank Ltd /01/ /12/2012 Modification BIPRU Ulster Bank Ltd /01/ /12/2013 Modification BIPRU Aberdeen Asset Investments Limited /01/ /02/2011 Modification BIPRU Aberdeen Investment Solutions Limited /01/ /02/2011 Modification BIPRU AMC Bank Ltd /01/ /02/2011 Modification 8 of 231

9 BIPRU Banco Halifax Hispania S.A. Sociedad Unipersonal /01/ /02/2011 Modification BIPRU Bank of Scotland (Ireland) Limited /01/ /02/2011 Modification BIPRU Bank of Scotland plc /01/ /02/2011 Modification BIPRU Barclays Bank Plc /01/2008 Modification BIPRU Barclays Capital Securities Limited /01/2008 Modification BIPRU Canada Square Operations Limited /01/2008 Waiver BIPRU Citibank International Limited /01/2008 Waiver BIPRU CitiFinancial Europe Plc /01/2008 Waiver BIPRU Citigroup Global Markets Limited /01/2008 Waiver BIPRU Citigroup Global Markets U.K. Equity Limited /01/2008 Waiver BIPRU Fairfax I.S. PLC (In Administration) /01/ /12/2011 Modification BIPRU Lloyds Bank PLC /01/ /02/2011 Modification BIPRU Lloyds Bank Private Banking Limited /01/ /02/2011 Modification BIPRU Lloyds TSB Financial Advisers Limited /01/ /02/2011 Modification BIPRU Scottish Widows Bank Plc /01/ /02/2011 Modification BIPRU Spread Co Limited /01/ /12/2011 Waiver BIPRU TSB Bank plc /01/ /02/2011 Modification BIPRU World First Markets Limited /03/ /05/2011 Modification BIPRU Aberdeen Asset Investments Limited /02/ /02/2016 Waiver BIPRU Aberdeen Investment Solutions Limited /02/ /02/2016 Waiver BIPRU AMC Bank Ltd /02/ /02/2016 Waiver BIPRU Bank of Scotland plc /02/ /02/2016 Waiver BIPRU Lloyds Bank PLC /02/ /02/2016 Waiver BIPRU Lloyds Bank Private Banking Limited /02/ /02/2016 Waiver BIPRU Lloyds TSB Financial Advisers Limited /02/ /02/2016 Waiver BIPRU Scottish Widows Bank Plc /02/ /02/2016 Waiver BIPRU TSB Bank plc /02/ /02/2016 Waiver BIPRU (1) Bank and Clients PLC /05/ /04/2013 Waiver BIPRU (1) Daiwa Capital Markets Europe Limited /09/ /12/2009 Waiver 9 of 231

10 BIPRU (1) Daiwa Corporate Advisory Limited /09/ /12/2009 Waiver BIPRU (1) Virgin Money Personal Financial Service Ltd /05/ /04/2013 Waiver BIPRU (1) Virgin Money plc /05/ /04/2013 Waiver BIPRU (1) Virgin Money Unit Trust Managers Ltd /05/ /04/2013 Waiver BIPRU Arbuthnot Latham & Co Limited /05/ /04/2015 Modification BIPRU BGC International /06/ /07/2009 Waiver BIPRU BGC International LP /06/ /11/2009 Waiver BIPRU BGC International LP /09/2009 Waiver BIPRU Cantor Index Limited /05/ /11/2013 Waiver BIPRU E*Trade Securities Limited /02/ /02/2011 Modification BIPRU Evolution Securities Limited /05/ /05/2013 Waiver BIPRU Insinger de Beaufort /01/ /01/2011 Modification BIPRU Insinger de Beaufort /10/ /01/2011 Modification BIPRU Insinger de Beaufort /10/ /10/2012 Modification BIPRU Morgan Stanley Private Wealth Management Limited /06/ /06/2015 Modification BIPRU R. Raphael & Sons Plc /06/ /06/2012 Modification BIPRU Solo Capital Limited /05/ /05/2012 Modification BIPRU TAM Asset Management Ltd /07/ /07/2011 Modification BIPRU Walbrook Capital Markets Limited /04/ /04/2013 Modification BIPRU Worldspreads Ltd /12/ /03/2014 Modification BIPRU HSBC Bank Plc /04/ /05/2014 Modification BIPRU HSBC Bank Plc /07/ /12/2015 Modification BIPRU KCG Europe Limited /11/ /11/2014 Modification BIPRU Nplus1 Singer Capital Markets Limited /03/ /03/2013 Modification BIPRU 7.1 CIBC World Markets Plc /01/ /12/2011 Modification BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification 10 of 231

11 BIPRU Barclays Bank Plc /12/ /06/2013 Modification BIPRU Barclays Capital Securities Limited /12/ /06/2013 Modification BIPRU i BIFM Investments Limited /07/ /12/2011 Modification BIPRU i BIFM Investments Limited /12/ /12/2012 Modification BIPRU i BIFM Investments Limited /12/ /06/2014 Waiver BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2011 Modification BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2010 Modification BIPRU 7.10 Abbey National Treasury Services Plc /01/ /12/2011 Modification BIPRU 7.10 Abbey National Treasury Services Plc /12/ /06/2013 Modification BIPRU 7.10 Abbey National Treasury Services Plc /08/ /12/2013 Waiver BIPRU 7.10 Abbey National Treasury Services Plc /12/ /12/2014 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2010 Modification BIPRU 7.10 Abbey Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Abbey Stockbrokers Limited /12/ /06/2013 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /01/2007 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /12/2009 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /10/ /12/2009 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /11/ /12/2010 Modification BIPRU 7.10 Aberdeen Asset Investments Limited /01/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /01/2007 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /12/2009 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /10/ /12/2009 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /11/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /01/ /12/2010 Modification BIPRU 7.10 Aberdeen Investment Solutions Limited /09/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /01/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /01/ /06/2010 Modification BIPRU 7.10 ABSA Bank Limited /07/ /06/2011 Modification 11 of 231

12 BIPRU 7.10 ABSA Bank Limited /07/ /12/2011 Modification BIPRU 7.10 ABSA Bank Limited /12/ /12/2012 Modification BIPRU 7.10 ABSA Bank Limited /12/ /06/2014 Waiver BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2010 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /03/ /12/2011 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /12/ /11/2014 Modification BIPRU 7.10 Adam & Company Investment Management Ltd /07/ /11/2014 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2010 Modification BIPRU 7.10 Adam & Company Plc /01/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /03/ /12/2011 Modification BIPRU 7.10 Adam & Company Plc /12/ /11/2014 Modification BIPRU 7.10 Adam & Company Plc /07/ /11/2014 Modification BIPRU 7.10 Alliance & Leicester Plc /01/ /12/2011 Modification BIPRU 7.10 Alliance & Leicester Plc /12/ /06/2013 Modification BIPRU 7.10 AMC Bank Ltd /01/ /01/2007 Modification BIPRU 7.10 AMC Bank Ltd /01/ /12/2009 Modification BIPRU 7.10 AMC Bank Ltd /10/ /12/2009 Modification BIPRU 7.10 AMC Bank Ltd /11/ /12/2010 Modification BIPRU 7.10 AMC Bank Ltd /01/ /12/2010 Waiver BIPRU 7.10 AMC Bank Ltd /09/ /12/2011 Modification BIPRU 7.10 Bank of Scotland plc /12/ /12/2012 Modification BIPRU 7.10 Bank of Scotland plc /12/ /12/2012 Waiver BIPRU 7.10 Bank of Scotland plc /12/ /06/2014 Modification BIPRU 7.10 Barclays Asset Management Limited /07/ /12/2011 Modification 12 of 231

13 BIPRU 7.10 Barclays Asset Management Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Asset Management Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Bank Plc /01/ /12/2011 Modification BIPRU 7.10 Barclays Bank Plc /01/ /06/2010 Modification BIPRU 7.10 Barclays Bank Plc /07/ /06/2011 Modification BIPRU 7.10 Barclays Bank Plc /07/ /12/2011 Modification BIPRU 7.10 Barclays Bank Plc /12/ /12/2012 Modification BIPRU 7.10 Barclays Bank Plc /12/ /06/2014 Waiver BIPRU 7.10 Barclays Bank Trust Company Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Bank Trust Company Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Capital Securities Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Capital Securities Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Capital Securities Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Capital Securities Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Capital Strategic Advisers Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Capital Strategic Advisers Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Financial Planning Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Financial Planning Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Financial Planning Limited /07/ /06/2011 Modification 13 of 231

14 BIPRU 7.10 Barclays Insurance Services Company Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Insurance Services Company Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Mercantile Highland Finance /01/ /12/2011 Modification BIPRU 7.10 Barclays Mercantile Highland Finance /07/ /06/2011 Modification BIPRU 7.10 Barclays Private Bank Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Private Bank Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Private Clients International Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Private Clients International Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Private Clients International Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Private Clients International Limited /12/ /06/2014 Waiver BIPRU 7.10 Barclays Sharedealing /01/ /12/2011 Modification BIPRU 7.10 Barclays Sharedealing /01/ /06/2010 Modification BIPRU 7.10 Barclays Sharedealing /07/ /12/2011 Modification BIPRU 7.10 Barclays Sharedealing /12/ /12/2012 Modification BIPRU 7.10 Barclays Sharedealing /12/ /06/2014 Waiver BIPRU 7.10 Barclays Stockbrokers Limited /01/ /12/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /01/ /06/2010 Modification BIPRU 7.10 Barclays Stockbrokers Limited /07/ /06/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /07/ /12/2011 Modification BIPRU 7.10 Barclays Stockbrokers Limited /12/ /12/2012 Modification BIPRU 7.10 Barclays Stockbrokers Limited /12/ /06/2014 Waiver BIPRU 7.10 BL Telford Limited /01/ /12/2011 Modification BIPRU 7.10 BL Telford Limited /01/ /06/2010 Modification 14 of 231

15 BIPRU 7.10 BL Telford Limited /07/ /06/2011 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /01/ /06/2010 Modification BIPRU 7.10 BlackRock Advisors (UK) Limited /07/ /06/2011 Modification BIPRU 7.10 BlackRock Life Limited /01/ /12/2011 Modification BIPRU 7.10 BlackRock Life Limited /01/ /06/2010 Modification BIPRU 7.10 BlackRock Life Limited /07/ /06/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /01/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /10/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /02/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /10/ /12/2011 Modification BIPRU 7.10 British Arab Commercial Bank Plc /12/ /12/2010 Modification BIPRU 7.10 British Arab Commercial Bank Plc /06/ /12/2010 Modification BIPRU 7.10 British Arab Commercial Bank Plc /01/ /12/2011 Modification BIPRU 7.10 Capel Cure Sharp Limited /01/ /12/2011 Modification BIPRU 7.10 Capel Cure Sharp Limited /07/ /06/2011 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2010 Modification BIPRU 7.10 Cater Allen International Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2010 Modification BIPRU 7.10 Cater Allen Limited /01/ /12/2011 Modification BIPRU 7.10 Cater Allen Limited /12/ /06/2013 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /01/2007 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /12/2009 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /10/ /12/2009 Modification BIPRU 7.10 Cheltenham & Gloucester Plc /11/ /12/2010 Modification 15 of 231

16 BIPRU 7.10 Cheltenham & Gloucester Plc /01/ /12/2010 Waiver BIPRU 7.10 CIBC World Markets Plc /01/ /12/2010 Modification BIPRU 7.10 CIBC World Markets Plc /01/ /12/2011 Modification BIPRU 7.10 CIBC World Markets Plc /12/ /06/2014 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /11/2011 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /12/2010 Modification BIPRU 7.10 Citigroup Global Markets Limited /10/ /12/2011 Modification BIPRU 7.10 Citigroup Global Markets Limited /12/ /12/2012 Modification BIPRU 7.10 Citigroup Global Markets Limited /01/ /01/2014 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /01/ /11/2011 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /01/ /12/2010 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /10/ /12/2011 Modification BIPRU 7.10 Citigroup Global Markets U.K. Equity Limited /12/ /12/2012 Modification BIPRU 7.10 Clerical Medical Financial Services Limited /12/ /12/2007 Modification BIPRU 7.10 Clydesdale Financial Services Limited /01/ /12/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /07/ /06/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /07/ /12/2011 Modification BIPRU 7.10 Clydesdale Financial Services Limited /12/ /12/2012 Modification BIPRU 7.10 Clydesdale Financial Services Limited /12/ /06/2014 Waiver BIPRU 7.10 Coutts & Co Investment Management Limited /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /01/ /12/2010 Modification BIPRU 7.10 Coutts & Company /01/ /12/2011 Modification BIPRU 7.10 Coutts & Company /03/ /12/2011 Modification BIPRU 7.10 Coutts & Company /12/ /11/2014 Modification BIPRU 7.10 Coutts & Company /07/ /11/2014 Modification BIPRU 7.10 Credit Suisse International /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /06/2010 Modification 16 of 231

17 BIPRU 7.10 Credit Suisse International /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse International /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse International /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse International /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse International /12/ /09/2014 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Investments (UK) /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Investments (UK) /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Investments (UK) /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Investments (UK) /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Investments (UK) /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /06/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /12/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2010 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /01/ /12/2011 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2012 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /10/ /12/2013 Modification BIPRU 7.10 Credit Suisse Securities (Europe) Ltd /12/ /09/2014 Modification BIPRU 7.10 Dartmouth Capital Partners LLP /03/ /02/2010 Modification 17 of 231

18 BIPRU 7.10 EES Capital Trustees Limited /12/ /12/2012 Modification BIPRU 7.10 Equistone Partners Europe Limited /01/ /12/2011 Modification BIPRU 7.10 Equistone Partners Europe Limited /01/ /06/2010 Modification BIPRU 7.10 Equistone Partners Europe Limited /07/ /06/2011 Modification BIPRU 7.10 Equistone Partners Europe Limited /07/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /01/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /01/ /06/2010 Modification BIPRU 7.10 Firstplus Financial Group Plc /07/ /06/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /07/ /12/2011 Modification BIPRU 7.10 Firstplus Financial Group Plc /12/ /12/2012 Modification BIPRU 7.10 Firstplus Financial Group Plc /12/ /06/2014 Waiver BIPRU 7.10 Gerrard Financial Planning Ltd /01/ /12/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /01/ /06/2010 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /07/ /06/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /07/ /12/2011 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /12/ /12/2012 Modification BIPRU 7.10 Gerrard Financial Planning Ltd /12/ /06/2014 Waiver BIPRU 7.10 Gerrard Investment Management Limited /01/ /12/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /01/ /06/2010 Modification BIPRU 7.10 Gerrard Investment Management Limited /07/ /06/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /07/ /12/2011 Modification BIPRU 7.10 Gerrard Investment Management Limited /12/ /12/2012 Modification BIPRU 7.10 Gerrard Investment Management Limited /12/ /06/2014 Waiver BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs Asset Management International /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs Asset Management International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs Asset Management International /12/ /09/2014 Modification 18 of 231

19 BIPRU 7.10 Goldman Sachs Bank (Europe) Plc /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs International /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International /12/ /09/2014 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Waiver BIPRU 7.10 Goldman Sachs International Bank /12/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2010 Modification BIPRU 7.10 Goldman Sachs International Bank /01/ /12/2011 Modification BIPRU 7.10 Goldman Sachs International Bank /12/ /09/2014 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 Halbis Capital Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 Halifax Investment Services Ltd /12/ /12/2012 Modification BIPRU 7.10 Halifax Share Dealing Limited /12/ /12/2012 Modification BIPRU 7.10 HBOS Investment Fund Managers Limited /12/ /12/2012 Modification BIPRU 7.10 HFC Bank Limited /01/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /10/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2011 Modification 19 of 231

20 BIPRU 7.10 HFC Bank Limited /02/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /10/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /12/2010 Modification BIPRU 7.10 HFC Bank Limited /06/ /12/2010 Modification BIPRU 7.10 HFC Bank Limited /01/ /12/2011 Modification BIPRU 7.10 HFC Bank Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Alternative Investments Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC Alternative Investments Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC Alternative Investments Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Alternative Investments Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Bank Plc /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /02/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /10/ /12/2009 Modification BIPRU 7.10 HSBC Bank Plc /12/ /12/2010 Modification BIPRU 7.10 HSBC Bank Plc /06/ /12/2010 Modification BIPRU 7.10 HSBC Bank Plc /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank Plc /12/ /03/2014 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /01/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2011 Modification 20 of 231

21 BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /02/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /10/ /12/2011 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /12/ /12/2010 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /06/ /12/2010 Modification BIPRU 7.10 HSBC Bank USA NA London Branch /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Global Asset Management (UK) Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /02/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /12/2010 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /06/ /12/2010 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC International Financial Advisers (UK) Limited /12/ /03/2014 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /01/ /12/2011 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /10/ /12/2011 Modification BIPRU 7.10 HSBC Investment Funds (UK) Limited /12/ /12/2011 Modification 21 of 231

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