schema version:

SBSE/A: Filer Information

SBSE/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant:
CREDIT SUISSE AG/
B. Tax Identification No.:
13-5015677
Applicant's UIC # (if any):
ANGGYXNX0JLX3X63JN86
Applicant's CIK #:
0000824468
C (1). The business name under which the applicant primarily conducts business, if different from 1A.
(2). List on Schedule D, Page 1, Section I any other name by which the applicant conducts business and where it is used.
D. If this filing makes a name change on behalf of an applicant, enter the new name and specify whether the change is to the applicant's name (1A) or to the business name (1C): Radio button not checkedApplicant's name (1A)   Radio button not checkedBusiness name (1C)
Please check above.  
Name:
E. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
PARADEPLATZ 8
Street Address 2:
City:
ZURICH
State/Province/Country:
SWITZERLAND
Zip/ Postal Code:
CH 8001

Other business locations must be reported on Schedule E. Security-based swap dealers and major security-based swap participants that do not reside in the United States of America shall designate a U.S. agent for service of process on Schedule F.

F. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
G. Business Telephone Number:
41 44333 2751
H. Website/URL:
www.credit-suisse.com
I. Contact Employee:
Prefix:
First Name:
DREW
Middle Name:
Last Name:
SHOEMAKER
Suffix:
Title:
GLOBAL HEAD OF REGULATORY SERVICES
Phone:
1-919-994-1161
Email Address:
drew.shoemaker@credit-suisse.com
J. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
Nita
Middle Name:
Last Name:
Patel
Suffix:
Title:
CHIEF COMPLIANCE OFFICER
Phone:
442078881700
E-Mail Address:
nita.patel@credit-suisse.com

SBSE/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process. The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
03-20-2024
Name of Applicant
CREDIT SUISSE AG/
By: Signature
Lorraine Bonnet
Name of Person Signing on Applicant's behalf
Lorraine Bonnet
Title of Person Signing on Applicant's behalf
VP, Compliance

SBSE/A: Applicant Data - Page 2

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button checked Yes Radio button not checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?
B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination:
FINMA
C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination:
Details will be submitted using the process detailed at https://www.sec.gov/tm/Substituted-compliance-Notices

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button checked Yes Radio button not checked No
If "yes," identify the prudential regulator:
Checkbox checked The Federal Reserve Board
Checkbox not checked The Office of the Comptroller of the Currency
Checkbox not checked The Federal Deposit Insurance Corporation
Checkbox not checked The Farm Credit Administration
Checkbox not checked The Federal Housing Finance Agency

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's business:
CREDIT SUISSE AG OPERATES AS A BANK. ITS BUSINESS COVERS ALL ASSOCIATED TYPES OF BANKING, FINANCE, CONSULTANCY, SERVICE AND TRADING ACTIVITIES IN SWITZERLAND AND ABROAD

8.

A. Indicate legal status of the applicant: Radio button checked Corporation
Radio button not checked Partnership
Radio button not checked Limited Liability Company
Radio button not checked Other (specify)
B. Month applicant's fiscal year ends: Radio button not checked January
Radio button not checked February
Radio button not checked March
Radio button not checked April
Radio button not checked May
Radio button not checked June
Radio button not checked July
Radio button not checked August
Radio button not checked September
Radio button not checked October
Radio button not checked November
Radio button checked December
C. Indicate date and place applicant obtained its legal status (i.e., state or country where incorporated, where partnership agreement was filed, or where applicant entity was formed):
State of formation:
Country of formation:
SWITZERLAND
Date of formation:
07-05-1856

Schedule A and, if applicable, Schedule B must be completed as part of all initial applications.

9.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "Yes," complete appropriate items on Schedule D, Page 1, Section III.

10.

Does the applicant hold or maintain any funds or securities to collateralize counterparty Transactions? Radio button checked Yes Radio button not checked No

SBSE/A: Applicant Data - Page 3

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

11.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? Radio button checked Yes Radio button not checked No
B. Under which any other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO or swap execution facility in which the applicant is a member)? Radio button checked Yes Radio button not checked No

If "Yes" to any part of Item 11, complete appropriate items on Schedule D, Page 1, Section IV.

12.

Does any person directly or indirectly:
A. Control the management or policies of the applicant through agreement or otherwise? Radio button checked Yes Radio button not checked No
B. Wholly or partially finance the business of the applicant?
Do not answer "Yes" to 12B if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others.		Radio button checked Yes Radio button not checked No

If "Yes" to any part of Item 12, complete appropriate items on Schedule D, Page 1, Section IV.

13.

A. Directly or indirectly, does the applicant control, is the applicant controlled by, or is the applicant under common control with, any partnership, corporation, or other organization that is engaged in the securities or investment advisory business? Radio button checked Yes Radio button not checked No

If "Yes" to item 13A, complete appropriate items on Schedule D, Page 2, Section V.

B. Directly or indirectly, is applicant controlled by any bank holding company or does applicant control, is applicant controlled by, or is applicant under common control with any bank (as defined in 15 U.S.C.78c(a)(6)) or any foreign bank? Radio button checked Yes Radio button not checked No

If "Yes" to item 13B, complete appropriate items on Schedule D, Page 3, Section VI.

14.

Use the appropriate DRP for providing details to "yes" answers to the questions in Item 14. Refer to the Explanation of Terms section of Form SBSE Instructions for explanations of italicized terms.

CRIMINAL DISCLOSURE

A. In the past ten years has the applicant or a control affiliate:
(1) Been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any felony?
Radio button checked Yes Radio button not checked No
(2) Been charged with a felony?
Radio button checked Yes Radio button not checked No
B. In the past ten years has the applicant or a control affiliate:
(1) Been convicted of or pled guilty or or nolo contendere ("no contest") in a domestic, foreign or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
Radio button not checked Yes Radio button checked No
(2) Been charged with a misdemeanor specified in 14B(1)?
Radio button not checked Yes Radio button checked No

SBSE/A: Applicant Data - Page 4

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

REGULATORY ACTION DISCLOSURE

C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
(1) Found the applicant or a control affiliate to have made a false statement or omission?
Radio button checked Yes Radio button not checked No
(2) Found the applicant or a control affiliate to have been involved in a violation of its regulations or statutes?
Radio button checked Yes Radio button not checked No
(3) Found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Radio button not checked Yes Radio button checked No
(4) Entered an order against the applicant or a control affiliate in connection with investment-related activity?
Radio button checked Yes Radio button not checked No
(5) Imposed a civil money penalty on the applicant or a control affiliate, or ordered the applicant or a control affiliate to cease and desist from any activity?
Radio button checked Yes Radio button not checked No
D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
(1) Ever found the applicant or a control affiliate to have made a false statement or omission or been dishonest, unfair, or unethical?
Radio button checked Yes Radio button not checked No
(2) Ever found the applicant or a control affiliate to have been involved in a violation of investment-related regulations or statutes?
Radio button checked Yes Radio button not checked No
(3) Ever found the applicant or a control affiliate to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Radio button checked Yes Radio button not checked No
(4) In the past ten years, entered an order against the applicant or a control affiliate in connection with an investment-related activity?
Radio button checked Yes Radio button not checked No
(5) Ever denied, suspended, or revoked the applicant’s or a control affiliate’s registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
Radio button checked Yes Radio button not checked No
E. Has any self-regulatory organization:
(1) found the applicant or a control affiliate to have made a false statement or omission?
Radio button not checked Yes Radio button checked No
(2) found the applicant or a control affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Radio button checked Yes Radio button not checked No
(3) found the applicant or a control affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Radio button not checked Yes Radio button checked No
(4) Disciplined the applicant or a control affiliate by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
Radio button not checked Yes Radio button checked No
F. Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended? Radio button not checked Yes Radio button checked No
G. Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E? Radio button not checked Yes Radio button checked No

CIVIL JUDICIAL DISCLOSURE

H. (1) Has any domestic or foreign civil judicial court:
(a) In the past ten years, enjoined the applicant or a control affiliate in connection with any investment-related activity?
Radio button checked Yes Radio button not checked No
(b) Ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
Radio button checked Yes Radio button not checked No
(c) Ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the applicant or control affiliate by a state or foreign financial regulatory authority?
Radio button checked Yes Radio button not checked No
(2) Is the applicant or a control affiliate now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of 14H(1)?
Radio button checked Yes Radio button not checked No

SBSE/A: Applicant Data - Page 5

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

FINANCIAL DISCLOSURE

I. In the past ten years has the applicant or a control affiliate ever been a securities firm or a futures firm, or a control affiliate of a securities firm or a futures firm that:
(1) Has been the subject of a bankruptcy petition?
Radio button not checked Yes Radio button checked No
(2) Has had a trustee appointed or a direct payment procedure initiated under the Securities Investor Protection Act?
Radio button not checked Yes Radio button checked No

15.

Is the applicant registered with the Commission as an investment adviser or municipal securities advisor or with the CFTC as a commodity trading adviser? Radio button not checked Yes Radio button checked No

If "yes," provide all unique identification numbers assigned to the firm relating to this business on Schedule D, Page 1, Section II.

16.

A. Does applicant effect transactions in commodity futures, commodities or commodity options as a broker for others or as a dealer for its own account? Radio button checked Yes Radio button not checked No

If "yes," provide all unique identification numbers assigned to the firm relating to this business on Schedule D, Page 1, Section II.

B. Does applicant engage in any other investment-related, non-securities business? Radio button checked Yes Radio button not checked No

If "yes," provide all unique identification numbers assigned to the firm relating to this business and describe each other business briefly on Schedule D, Page 1, Section II.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button checked Yes Radio button not checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

SBSE/A: Schedule A of FORM SBSE

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

DIRECT OWNERS AND EXECUTIVE OFFICERS(Answer for Form SBSE Item 8)


Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
CHIEF EXECUTIVE OFFICER
Date Title or Status Acquired(MM/YYYY)
08/2022
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Ulrich Korner is the CEO of CS Group AG. Ulrich rejoined CS as CEO of Asset Management in April 2021, following an 11 year stint at UBS, where he served as CEO of UBS Asset Management from 2014 to 2019, CEO of UBS EMEA from 2011 to 2019 and Group COO, CEO of Corporate Center from 2009 to 2013. Ulrich was previously an Executive at Credit Suisse from 1998 to 2009 and held roles, including CFO and COO at Credit Suisse Financial Services and CEO Switzerland. He holds a PhD in Business Administration from the University of St. Gallen.
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
CHIEF COMPLIANCE OFFICER
Date Title or Status Acquired(MM/YYYY)
11/2022
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
007448928
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
REFER TO: https://www.credit-suisse.com/about-us/en/our-company/our-management/executive-board.html
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
CEO Asset Management
Date Title or Status Acquired(MM/YYYY)
08/2022
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
003118574
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
NFA ID 0466125
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
Global Head of Human Resources
Date Title or Status Acquired(MM/YYYY)
06/2022
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Christine Graeff is the Global Head of People and a member of the Executive Board of Credit Suisse Group AG, based in Zurich. Prior to taking on the role as Global Head of People, she was the Global Head of Communications and Deputy Head of Human Resources from January 2020. Before she joined Credit Suisse, Ms. Graeff worked at the ECB where she was Head of Communications for its last two Presidents, Mario Draghi and Christine Lagarde. Prior to the ECB, Ms. Graeff was managing partner with the Brunswick Group from 2001 to 2013 where she founded and grew the German business while focusing on the financial sector. She started her career as an Investment Banker in the Corporate Finance team of Kleinwort Benson in London. Ms. Graeff holds a BA in European studies and is a trained business coach.
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button checked FE (Foreign Entity)   Radio button not checked I (Individual)
Title or Status
CORPORATION
Date Title or Status Acquired(MM/YYYY)
06/2023
Ownership Code Radio button not checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
98-0186363
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
CHIEF FINANCIAL OFFICER
Date Title or Status Acquired(MM/YYYY)
06/2023
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Simon Grimwood is a Managing Director and the Chief Financial Officer for Credit Suisse AG, based in London. Simon is the Global Head of Tax, a position he has held since January 2016, and the Global Head of CFO Data Strategy & Change Delivery, a position he has held since November 2019. Simon joined Credit Suisse from Barclays where he was the Head of Tax UK & Europe. From 2006 to 2013, he held senior management positions in Barclays in both the Tax and the Financial Accounting functions. From 2013 to 2014, he held the role of Global Head of Financial Reporting before assuming his role of Head of Tax UK & Europe, where he had responsibility for the tax obligations of the largest single part of Barclays business activities. Prior to this he was the Global Head of Tax for BPB plc. Simon holds a degree in Chemical Engineering from the University of Edinburgh and is a member of the Institute of Chartered Accountants in England and Wales and the Chartered Institute of Taxation.
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
CHIEF RISK OFFICER
Date Title or Status Acquired(MM/YYYY)
06/2023
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Damian Vogel is a Managing Director and the Chief Risk Officer for Credit Suisse AG and the Head of Risk Integration for UBS, based in Zurich. He re-joined Credit Suisse in June 2023, following a 13-year tenure at UBS, where he served as the Chief Risk Officer Global Wealth Management. At UBS, he also served as Chief Risk Officer for UBS Switzerland and Chief Risk Officer Personal and Corporate Banking and Region Switzerland. Damian began his career at Credit Suisse in 1999 and held a number of leadership roles, including Head of Structured Lombard Solutions. In his decade with the firm, he worked in Zurich, New York, and Bern. Damian holds a Master in Corporate Finance from IFZ, Zug.
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
Head of CS for the IB, Head of Americas for the IB at UBS
Date Title or Status Acquired(MM/YYYY)
06/2023
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
004556059
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Firm or Individual? Radio button not checked Firm Radio button not checked Individual
Domestic Entity/Foreign Entity (entity organized, incorporated, or domiciled in a foreign country)/Individual: Radio button not checked DE (Domestic Entity)   Radio button not checked FE (Foreign Entity)   Radio button checked I (Individual)
Title or Status
GENERAL COUNSEL
Date Title or Status Acquired(MM/YYYY)
06/2023
Ownership Code Radio button checked NA-less than 5%
Radio button not checked A-5% but less than 10%
Radio button not checked B-10% but less than 25%
Radio button not checked C-25% but less than 50%
Radio button not checked D-50% but less than 75%
Radio button not checked E-75% or more
Control Person Radio button checked Yes Radio button not checked No
PR Checkbox not checked PR

CRD and/or IARD No. and/or foreign business No. If None, IRS Tax No.

CRD No
IARD No
Foreign business No.
IRS Tax No.
UIC, if any
For individuals not presently registered through CRD or IARD, describe prior investment-related experience (e.g., for each prior position - employer, job title, and dates of service):
Jake Scrivens is General Counsel for Credit Suisse AG (since 2023) and the Global Head of Litigation & FCP Legal for UBS (since 2021). He was previously with Exiger Asia Limited, as a Senior Advisor from 2016-2017, following an 18-year tenure at Barclays Bank, where he was GC and later Regional Head of Markets Structuring for the Asia Pacific (APAC) region. Based in the United Kingdom, Scrivens graduated in 1989 from LLB, University College (London), and from Inns of Court School of Law, Grey's Inn (London) in 1990.

SBSE/A: Schedule D of Form SBSE Page 1

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

Use Schedule D Page 1 to report details for items listed below.

This is an INITIAL / AMENDED detail filing for the Form SBSE items checked below: Radio button checked INITIAL Radio button not checked AMENDED

Section I

Other Business Names

(Check if Applicable)Checkbox not checked Item 1C(2)
List each of the "other" names and the state(s) or country(ies) in which they are used.
Name
State/Country

Section II

Other Business

(Check if Applicable)Radio button not checked Item 15   Radio button checked Item 16A   Radio button not checked Item 16B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section.

Unique Identification Number(s):
ANGGYXNX0JLX3X63JN86
Assigning Regulator(s)/Entity(s):
GMEI Utility
Briefly describe any other investment-related, non-securities business.
CREDIT SUISSE AG TRANSACTS COMMODITY FUTURES, COMMODITIES AND COMMODITY OPTIONS.
(Check if Applicable)Radio button not checked Item 15   Radio button not checked Item 16A   Radio button checked Item 16B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section.

Unique Identification Number(s):
ANGGYXNX0JLX3X63JN86
Assigning Regulator(s)/Entity(s):
GMEI Utility
Briefly describe any other investment-related, non-securities business.
CREDIT SUISSE AG BUSINESS FOCUSES ON TRANSACTIONS THAT ADDRESS THE BROAD FINANCING, RISK MANAGEMENT, AND INVESTMENT REQUIREMENTS OF ITS WORLDWIDE CLIENT BASE. CREDIT SUISSE AG PROVIDES PRIVATE BANKING AND WEATH MANAGEMENT SOLUTIONS, AND A WIDE SPECTRUM OF BANKING PRODUCTS SUCH AS TRADITIONAL AND STRUCTURED LENDING, PAYMENT SERVICES, FOREIGN EXCHANGE, COMMODITIES, DERIVATIVES AND CAPITAL GOODS LEASING.

Section IV

Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings

(Check one)Radio button checked Item 11A    Radio button not checked Item 11B    Radio button not checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button checked Item 11B    Radio button not checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button checked Item 11B    Radio button not checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button checked Item 11B    Radio button not checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button not checked Item 11B    Radio button checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button not checked Item 11B    Radio button checked Item 12A    Radio button not checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button not checked Item 11B    Radio button not checked Item 12A    Radio button checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual
(Check one)Radio button not checked Item 11A    Radio button not checked Item 11B    Radio button not checked Item 12A    Radio button checked Item 12B

Applicant must complete a separate Schedule D Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the “Effective Date” box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm Radio button not checked Individual

SBSE/A: Schedule D of Form SBSE Page 2

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

Use this Schedule D Page 2 to report details for Item 13A. Supply details for all partnerships, corporations, organizations, institutions and individuals necessary to answer each item completely. Use additional copies of Schedule D Page 2 if necessary.

Use the "Effective Date" box to enter the Month, Day, and Year that the affiliation was effective or the date of the most recent change in the affiliation.

This is an INITIAL / AMENDED detail filing for the Form SBSE item 13A Radio button checked INITIAL Radio button not checked AMENDED
Directly or indirectly, does applicant control, is applicant controlled by, or is applicant under common control with, any partnership, corporation, or other organization that is engaged in the securities or investment advisory business? Radio button checked 13A

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
ASSET BACKED SECURITIES CORP
CRD Number (if any)
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
05-21-1986
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
ASSET BACKED SECURITIES CORP AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE (USA), INC.
CRD Number (if any)
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
10-09-2000
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
CREDIT SUISSE (USA),INC., AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE ASSET MANAGEMENT LIMITED
CRD Number (if any)
000113463
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
BEAUFORT HOUSE
Street Address 2
City
LONDON
State/Country
UNITED KINGDOM
Zip + 4 Postal Code
EC3A 7JJ
Effective Date MM DD YYYY
04-07-1997
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button checked Yes Radio button not checked No
If Yes, provide country of domicile or incorporation"
UNITED KINGDOM
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button not checked Yes Radio button checked No
Investment Advisory Activities:
Radio button checked Yes Radio button not checked No
Briefly describe the control relationship.
CREDIT SUISSE ASSET MANAGEMENT LIMITED, A REGISTERED INVESTMENT ADVISOR, IS 100% OWNED BY CREDIT SUISSE THROUGH CREDIT SUISSE ASSET MANAGEMENT (UK) HOLDINGS LTD.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE ASSET MANAGEMENT, LLC
CRD Number (if any)
000106012
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
07-06-1999
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button not checked Yes Radio button checked No
Investment Advisory Activities:
Radio button checked Yes Radio button not checked No
Briefly describe the control relationship.
CREDIT SUISSE ASSET MANAGEMENT, LLC (CSAM, LLC), A REGISTERED INVESTMENT ADVISOR IS INDIRECTLY OWNED BY CSG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE CAPITAL LLC
CRD Number (if any)
000103821
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
08-01-2000
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
CREDIT SUISSE CAPITAL LLC, A REGISTERED SEC BROKER-DEALER, IS INDIRECTLY OWNED BY CSG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE FIRST BOSTON MORTGAGE ACCEPTANCE CORP
CRD Number (if any)
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
04-14-1988
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
CREDIT SUISSE FIRST BOSTON MORTGAGE ACCEPTANCE CORP AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP
CRD Number (if any)
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
11-03-2000
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD Number (if any)
000151470
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
08-18-2009
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
UNDER COMMON CONTROL

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
DLJ MORTGAGE CAPITAL, INC.
CRD Number (if any)
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
11-03-2000
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
DLJ MORTGAGE CAPITAL, INC. AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT.

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

Section V

Complete this section for control issues relating to ITEM 13A only.

The details supplied relate to:
Partnership, Corporation, or Organization Name
DLJ REAL ESTATE CAPITAL PARTNERS, LLC
CRD Number (if any)
000106238
UIC Number (if any)
(check only one) This Partnership, Corporation, or Organization
Radio button not checked controls applicant
Radio button not checked is controlled by applicant
Radio button checked under common control with applicant

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip + 4 Postal Code
10010
Effective Date MM DD YYYY
01-21-2021
Termination Date MM DD YYYY
Is Partnership, Corporation or Organization a foreign entity" Radio button not checked Yes Radio button checked No
If Yes, provide country of domicile or incorporation"
Check "Yes" or "No" for activities of this partnership Corporation, or organization:
Security Activities:
Radio button checked Yes Radio button not checked No
Investment Advisory Activities:
Radio button not checked Yes Radio button checked No
Briefly describe the control relationship.
DLJ REAL ESTATE CAPITAL PARTNERS LLC AND CREDIT SUISSE AG ARE BOTH UNDER THE COMMON CONTROL OF CREDIT SUISSE GROUP AG, THE ULTIMATE PARENT

If applicant has more than 3 organizations to report, complete additional Schedule D Page 2s.

SBSE/A: Schedule D of Form SBSE Page 3

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

Use Schedule D Page 3 to report details for Item 13B. Report only new information or changes/updates to previously submitted details. Do not report previously submitted information. Supply details for all partnerships, corporations, organizations, institutions and individuals necessary to answer each item completely. Use additional copies of Schedule D Page 3 if necessary.

Use the "Effective Date" box to enter the Month, Day, and Year that the affiliation was effective or the date of the most recent change in the affiliation.

This is an INITIAL / AMENDED detail filing for the Form SBSE item 13B Radio button checked INITIAL Radio button not checked AMENDED
Directly or indirectly, is applicant controlled by any bank holding company or does applicant control, is applicant controlled by, or is applicant under common control with any bank (as defined in 15 U.S.C. 78c(a)(6)) or any foreign bank? Radio button checked 13B

Section VI

Complete this section for control issues relating to ITEM 13B only.

Provide the details for each organization or institution that controls the applicant, including each organization or institution in the applicant's chain of ownership. The details supplied relate to:
Financial Institution Name
CREDIT SUISSE GROUP AG
CRD Number (if any)
UIC Number (if any)
549300506SI9CRFV9Z86
Institution Type (e.g., bank holding company, national bank, state member bank of the Federal Reserve System, state non-member bank, savings bank or association, credit union, foreign bank.)
Checkbox checked bank holding company
Checkbox not checked national bank
Checkbox not checked state member bank of the Federal Reserve System
Checkbox not checked state non-member bank
Checkbox not checked savings bank or association
Checkbox not checked credit union
Checkbox not checked foreign bank
Checkbox not checked Other (Specify)
Effective Date MM DD YYYY
04-07-1997
Termination Date MM DD YYYY
06-12-2023

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
PARADEPLATZ 8
Street Address 2
City
ZURICH
State/Country
SWITZERLAND
Zip + 4 Postal Code
8001
If foreign, provide country of domicile or incorporation
SWITZERLAND
Briefly describe the control relationship.
CREDIT SUISSE GROUP AG (CSG) IS THE TOP HOLDING COMPANY. THE GROUP INDIRECTLY AND DIRECTLY OWNS VARIOUS COMPANIES, THE MAJOR SUBSIDIARY BEING CREDIT SUISSE AG. IT IS THROUGH THIS COMPANY THAT CSG PRIMARILY CONDUCTS ITS FINANCIAL SERVICES BUSINESS.

If applicant has more than 4 organizations/institutions to report, complete additional Schedule D page 3s.

Section VI

Complete this section for control issues relating to ITEM 13B only.

Provide the details for each organization or institution that controls the applicant, including each organization or institution in the applicant's chain of ownership. The details supplied relate to:
Financial Institution Name
CREDIT SUISSE INTERNATIONAL
CRD Number (if any)
UIC Number (if any)
E58DKGMJYYYJLN8C3868
Institution Type (e.g., bank holding company, national bank, state member bank of the Federal Reserve System, state non-member bank, savings bank or association, credit union, foreign bank.)
Checkbox not checked bank holding company
Checkbox not checked national bank
Checkbox not checked state member bank of the Federal Reserve System
Checkbox not checked state non-member bank
Checkbox not checked savings bank or association
Checkbox not checked credit union
Checkbox checked foreign bank
Checkbox not checked Other (Specify)
Effective Date MM DD YYYY
02-18-1993
Termination Date MM DD YYYY

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
U B S
Street Address 2
5 Broadgate
City
LONDON
State/Country
UNITED KINGDOM
Zip + 4 Postal Code
EC2M 2QS
If foreign, provide country of domicile or incorporation
UNITED KINGDOM
Briefly describe the control relationship.
CREDIT SUISSE INTERNATIONAL, (KNOWN UNTIL MARCH 27, 2000 AS CREDIT SUISSE FINANCIAL PRODUCTS) ("CSFP") OWNS 100% OF THE SHARES OF CREDIT SUISSE INTERNATIONAL(USA), INC., A HOLDING COMPANY NOT ENGAGED IN THE SECURITIES OR INVESTMENT ADVISORY BUSINESS.

If applicant has more than 4 organizations/institutions to report, complete additional Schedule D page 3s.

Section VI

Complete this section for control issues relating to ITEM 13B only.

Provide the details for each organization or institution that controls the applicant, including each organization or institution in the applicant's chain of ownership. The details supplied relate to:
Financial Institution Name
CREDIT SUISSE AG
CRD Number (if any)
UIC Number (if any)
ANGGYXNX0JLX3X63JN86
Institution Type (e.g., bank holding company, national bank, state member bank of the Federal Reserve System, state non-member bank, savings bank or association, credit union, foreign bank.)
Checkbox not checked bank holding company
Checkbox not checked national bank
Checkbox not checked state member bank of the Federal Reserve System
Checkbox not checked state non-member bank
Checkbox not checked savings bank or association
Checkbox not checked credit union
Checkbox checked foreign bank
Checkbox not checked Other (Specify)
Effective Date MM DD YYYY
04-07-1997
Termination Date MM DD YYYY

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
PARADEPLATZ 8
Street Address 2
City
ZURICH
State/Country
SWITZERLAND
Zip + 4 Postal Code
8001
If foreign, provide country of domicile or incorporation
SWITZERLAND
Briefly describe the control relationship.
CREDIT SUISSE AG, A SWISS BANK IS 100% OWNED BY CREDIT SUISSE GROUP AG. CREDIT SUISSE AG OWNS A 100% ECONOMIC INTEREST IN CREDIT SUISSE HOLDINGS (USA), INC., AS WELL AS 100% OF THE VOTING STOCK.

If applicant has more than 4 organizations/institutions to report, complete additional Schedule D page 3s.

Section VI

Complete this section for control issues relating to ITEM 13B only.

Provide the details for each organization or institution that controls the applicant, including each organization or institution in the applicant's chain of ownership. The details supplied relate to:
Financial Institution Name
UBS GROUP AG
CRD Number (if any)
UIC Number (if any)
Institution Type (e.g., bank holding company, national bank, state member bank of the Federal Reserve System, state non-member bank, savings bank or association, credit union, foreign bank.)
Checkbox checked bank holding company
Checkbox not checked national bank
Checkbox not checked state member bank of the Federal Reserve System
Checkbox not checked state non-member bank
Checkbox not checked savings bank or association
Checkbox not checked credit union
Checkbox not checked foreign bank
Checkbox not checked Other (Specify)
Effective Date MM DD YYYY
06-12-2023
Termination Date MM DD YYYY

Business Address (Street, City, State/Country, Zip + 4 Postal Code)

Street Address 1
BAHNHOFSTRASSE 45
Street Address 2
City
ZURICH
State/Country
SWITZERLAND
Zip + 4 Postal Code
CH-8001
If foreign, provide country of domicile or incorporation
SWITZERLAND
Briefly describe the control relationship.
UBS GROUP AG IS THE TOP HOLDING COMPANY. THE GROUP INDIRECTLY AND DIRECTLY OWNS VARIOUS COMPANIES, THE MAJOR SUBSIDIARY BEING CREDIT SUISSE AG. IT IS THROUGH THIS COMPANY THAT CSG PRIMARILY CONDUCTS ITS FINANCIAL SERVICES BUSINESS.

If applicant has more than 4 organizations/institutions to report, complete additional Schedule D page 3s.

SBSE/A: Schedule E of Form SBSE Page 1

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

INSTRUCTIONS

General: Use this schedule to identify other business locations of the applicant. Repeat Items 1-6 for each other business location. Each item must be completed unless otherwise noted. Use additional copies of this schedule as necessary.

Specific:
Item 1. Specify only one box. Check “Add” when the applicant is filing the initial notice to inform the Commission that it has opened another "Delete" when the applicant closes another business location, and "Amendment" to indicate any other change to previously filed information.

Item 2. Complete this item for all entries. Provide the date that the other business location was opened (ADD), closed (DELETE), or the effective date of the change (AMENDMENT).

Item 3. Complete this item for all entries. A physical location must be included; post office box designations alone are not sufficient.

Item 4. Complete this item only when the applicant changes the address of an existing other business location.

Item 5. If the other business location occupies or shares space on premises within a bank, or other financial institution, enter the name of the institution in the space provided.

Item 6. Complete this item for all entries. Enter the name of the associated person who is responsible for the operations of, and is physically at, this location.

1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
10-03-1983
3. Street Address 1:
11 MADISON AVENUE
Street Address 2:
City:
NEW YORK
State/Country:
NEW YORK
Zip + 4 Postal Code:
10010
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
JJ MCDONALD
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
08-18-2014
3. Street Address 1:
PARK LANE, SPENCER DOCK
Street Address 2:
City:
DUBLIN 1
State/Country:
IRELAND
Zip + 4 Postal Code:
00000
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
SINEAD MAHON
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
03-08-1973
3. Street Address 1:
UNIT #03-01/#04-01/#05-01
Street Address 2:
City:
SINGAPORE
State/Country:
SINGAPORE
Zip + 4 Postal Code:
39393
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
JACKY ANG
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
04-22-1993
3. Street Address 1:
ONE CABOT SQUARE
Street Address 2:
City:
LONDON
State/Country:
UNITED KINGDOM
Zip + 4 Postal Code:
E14 4QJ
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
CHRISTOPHER HORNE
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
10-18-1971
3. Street Address 1:
CHARLOTTE & SHIRLEY STREET
Street Address 2:
City:
NASSAU
State/Country:
BAHAMAS
Zip + 4 Postal Code:
2002
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
TEODORO LIMA
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
04-08-1940
3. Street Address 1:
11 MADISON AVENUE
Street Address 2:
City:
NEW YORK
State/Country:
NEW YORK
Zip + 4 Postal Code:
10010
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
JJ MCDONALD
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
10-01-2001
3. Street Address 1:
ONE FIRST CANADIAN PLACE
Street Address 2:
City:
TORONTO
State/Country:
CANADA (FEDERAL LEVEL)
Zip + 4 Postal Code:
M5X 1C9 ON
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
CHRISTOPHER GAGE
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
03-16-1990
3. Street Address 1:
VIA SANTA MARGHERITA NO. 3
Street Address 2:
City:
MILAN
State/Country:
ITALY
Zip + 4 Postal Code:
20121
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
FEDERICO IMBERT
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
05-13-2005
3. Street Address 1:
INTERNATIONAL COMMERCE CENTRE
Street Address 2:
City:
HONG KONG
State/Country:
HONG KONG
Zip + 4 Postal Code:
999077
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
LAWRENCE CHEUNG
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
08-06-2010
3. Street Address 1:
PLOT F OF SHIVSAGAR ESTATE
Street Address 2:
DR. ANNIE BESANT ROAD, WORLI
City:
MUMBAI
State/Country:
INDIA
Zip + 4 Postal Code:
400018
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
SANDEEP AGARWAL
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
07-16-1994
3. Street Address 1:
8 CENTURY AVENUE, PUDONG
Street Address 2:
City:
SHANGHAI
State/Country:
CHINA
Zip + 4 Postal Code:
200120
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
RICK MENG
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
03-01-1992
3. Street Address 1:
109 SOGONG-RO, JONGNO-GU
Street Address 2:
City:
SEOUL
State/Country:
KOREA, REPUBLIC OF
Zip + 4 Postal Code:
100-755
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
SOOHYUN BAEK
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
08-28-1977
3. Street Address 1:
6-1 ROPPONGI 1 CHOME, MINATO-KU
Street Address 2:
City:
TOKYO
State/Country:
JAPAN
Zip + 4 Postal Code:
106-6024
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
MAKOTO KUWAHARA
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
09-15-1933
3. Street Address 1:
1 MACQUARIE PLACE
Street Address 2:
City:
SYDNEY, NEW SOUTH WALES
State/Country:
AUSTRALIA
Zip + 4 Postal Code:
2000
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
LUCY REPASKY
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
07-08-1998
3. Street Address 1:
NO. 109, SECTION 3
Street Address 2:
MIN-SHENG EAST ROAD
City:
TAIPEI
State/Country:
TAIWAN, PROVINCE OF CHINA
Zip + 4 Postal Code:
11011
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
ISAAC CHANG
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
02-23-1998
3. Street Address 1:
AYALA 42
Street Address 2:
City:
MADRID
State/Country:
SPAIN
Zip + 4 Postal Code:
28001
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
IGNACIO ALEJANDRE
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
01-04-1986
3. Street Address 1:
SOUTH ESPLANADE
Street Address 2:
City:
ST PETER PORT
State/Country:
GUERNSEY
Zip + 4 Postal Code:
GY1 6LU
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
GLEN RICHARD TONKS
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
01-03-2005
3. Street Address 1:
5 RUE JEAN MONNET
Street Address 2:
City:
LUXEMBOURG
State/Country:
LUXEMBOURG
Zip + 4 Postal Code:
L-2013
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
CHRISTIAN HUSS
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
10-15-2008
3. Street Address 1:
EAST TOWER BUILDING, LEVEL 21
Street Address 2:
KING FAISAL HIGHWAY
City:
MANAMA
State/Country:
BAHRAIN
Zip + 4 Postal Code:
316
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
SAAD OSSEIRAN
1. Check only one box: Radio button checked Add Radio button not checked Delete Radio button not checked Amendment
2. Effective Date:
01-01-2005
3. Street Address 1:
DUBAI INTERNATIONAL FINANCIAL CENTRE
Street Address 2:
City:
DUBAI
State/Country:
UNITED ARAB EMIRATES
Zip + 4 Postal Code:
00000
4. New Street Address 1:
New Street Address 2:
New City:
New State/Country:
New Zip + 4 Postal Code:
Institution Name:
Responsible Associated Person:
MOHAMMED HIJAZI

SBSE/A: SCHEDULE F of Form SBSE Page 1

FORM SBSE

Applicant Name: CREDIT SUISSE AG/

Uniform Application for Security-based Swap Dealer and
Major Security-based Swap Participation Registration

Date:     SEC Filer No: 

Section I

Service of Process and Certification Regarding Access to Records

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Section I to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

(1) provide the Commission with prompt access to its books and records, and
(2) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process
Name
CREDIT SUISSE SECURITIES (USA) LLC
B. Address of United States person applicant designates and appoints as agent for service of process
Street Address 1
11 MADISON AVENUE
Street Address 2
City
NEW YORK
State/Country
NEW YORK
Zip/Postal Code
10010

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;

(1) provide the Commission with prompt access to its books and records, and
(2) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(1)(ii) or (c)(2) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(1)(ii) or (c)(2) of 17 CFR 240. 15Fb2-4]

Signature:
DREW SHOEMAKER
Name:
DREW SHOEMAKER
Title:
GLOBAL HEAD OF REGULATORY SERVICES
Date:
11-01-2021

Section II

Registration with Foreign Financial Regulatory Authorities

Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM 17. Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

English Name of Foreign Financial Regulatory Authority
CAYMAN ISLANDS MONETARY AUTHORITY
Foreign Registration No. (if any)
English Name of Country:
CAYMAN ISLANDS
English Name of Foreign Financial Regulatory Authority
CENTRAL BANK OF IRELAND
Foreign Registration No. (if any)
English Name of Country:
IRELAND
English Name of Foreign Financial Regulatory Authority
FINANCIAL CONDUCT AUTHORITY
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
BANK OF ITALY
Foreign Registration No. (if any)
English Name of Country:
ITALY
English Name of Foreign Financial Regulatory Authority
MONETARY AUTHORITY OF SINGAPORE
Foreign Registration No. (if any)
English Name of Country:
SINGAPORE
English Name of Foreign Financial Regulatory Authority
OFFICE OF THE SUPERINTENDENT OF FINANCIAL INSTITUTIONS
Foreign Registration No. (if any)
English Name of Country:
CANADA (FEDERAL LEVEL)
English Name of Foreign Financial Regulatory Authority
CENTRAL BANK OF THE BAHAMAS
Foreign Registration No. (if any)
English Name of Country:
BAHAMAS
English Name of Foreign Financial Regulatory Authority
RESERVE BANK OF INDIA
Foreign Registration No. (if any)
English Name of Country:
INDIA
English Name of Foreign Financial Regulatory Authority
FINANCIAL SUPERVISORY SERVICE
Foreign Registration No. (if any)
English Name of Country:
KOREA, REPUBLIC OF
English Name of Foreign Financial Regulatory Authority
FINMA
Foreign Registration No. (if any)
English Name of Country:
SWITZERLAND

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.

CRIMINAL DISCLOSURE REPORTING PAGE (SBSE)

GENERAL INSTRUCTIONS

You must provide a valid response to each question on every section of this DRP before any of your information can be saved. Invalid or incomplete responses will prevent you from closing the DRP with your information saved. It is recommended that you consult the Print Form of this DRP to make sure you have gathered all the required information before beginning your entry of information online.

This Disclosure Reporting Page [DRP (SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14A and 14B of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14A. In the past ten years has the applicant or a control affiliate:
Checkbox checked (1) Been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign or military court to any felony?
Checkbox checked (2) Been charged with a felony?
14B. In the past ten years has the applicant or a control affiliate:
Checkbox not checked (1) Been convicted of or pled guilty or or nolo contendere ("no contest") in a domestic, foreign or military court to a misdemeanor involving: financial services industry-related business, or any fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?
Checkbox not checked (2) Been charged with a misdemeanor specified in 14B(1)?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal actions, including separate cases arising out of the same event, must be reported on separate DRPs. Use this DRP to report all charges arising out of the same event. One event may result in more than one affirmative answer to the above items.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

Applicants must attach a copy of each applicable court document (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) if not previously submitted through CRD (as they could be in the case of a control affiliate registered through CRD). Documents will not be accepted as disclosure in lieu of answering the questions on this DRP.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. If charge(s) were brought against an organization over which the control affiliate exercise( d) control: Enter organization name, whether or not the organization was an investment-related business and the control affiliate's position, title or relationship.
Organization Name
CREDIT SUISSE AG
Is the organization an investment-related business
Radio button checked Yes Radio button not checked No
The control affiliate's position, title, or relationship
APPLICANT
2. Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court -- City or County and State or Country, Docket/Case number). Radio button checked Federal Court   Radio button not checked Military Court   Radio button not checked State Court   Radio button not checked Foreign Court   Radio button not checked Other
Name of Federal, State, or Foreign Court
UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF VIRGINIA, ALEXANDRIA DIVISION
Location of Court
City or County
ALEXANDRIA
State or Country
VIRGINIA
Docket /Case number
CRIMINAL NO. 1:14-CR-188
3. Event Disclosure Detail (Use this for both organizational and individual charges.)
A. Date First Charged (MM/DD/YYYY):
05-19-2014
Specify if Date First Charged is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
B. Event Disclosure Detail(include Charge(s)/Charge Description(s), and for each charge provide: 1. number of counts, 2. felony or misdemeanor, 3. plea for each charge, and 4. product type if charge is investment-related) :
List the Charge(s)/Charge Description(s):
VIOLATIONS OF TITLE 26, UNITED STATES CODE, SECTION 7206(2)
1. Number of counts:
1
2. felony or misdemeanor:
Radio button checked felony   Radio button not checked misdemeanor
3. Plea for each charge:
GUILTY PLEA, ENTERED 05/19/2014.
Is the charge investment-related
Radio button not checked Yes Radio button checked No
4. Product type if charge is investment-related:
C. Current status of the Event?
Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final
D. Event Status Date (complete unless status is Pending) (MM/DD/YYYY):
05-19-2014
Specify if Event status date is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
Disposition Disclosure Detail: Include for each charge, A. Disposition Type [e.g., convicted, acquitted, dismissed, pretrial.], B. Date, C. Sentence/Penalty, D. Duration [if sentence-suspension, probation, etc.], E. Start Date of Penalty, F. Penalty/Fine Amount and G. Date Paid.
A. Disposition Type [e.g., convicted, acquitted, dismissed, pretrial.]:
Radio button checked Convicted   Radio button not checked Acquitted   Radio button not checked Dismissed   Radio button not checked Pretrial   Radio button not checked Other
B. Date (MM/DD/YYYY):
05-19-2014
C. Sentence/Penalty:
GUILTY PLEA, ENTERED 05/19/2014. CREDIT SUISSE AG ("CSAG") AGREED TO A $2,000,000,000 RESOLUTION, THAT CONSISTED OF A CRIMINAL FINE IN THE AMOUNT OF $1,333,500,000, LESS A CREDIT OF $196,511,014 FOR CSAG'S PAYMENT TO THE U.S. SECURITIES AND EXCHANGE COMMISSION PURSUANT TO ITS ORDER OF FEBRUARY 21, 2014 IN ADMINISTRATIVE PROCEEDING FILE NO. 3-15763, TO BE PAID WITHIN ONE WEEK OF THE DATE OF SENTENCING; A MANDATORY SPECIAL ASSESSMENT OF $400; AND RESTITUTION TO THE U.S. INTERNAL REVENUE SERVICE IN THE AMOUNT OF $666,500,000, TO BE PAID WITHIN ONE WEEK OF SENTENCING. SENTENCING DATE SET FOR AUGUST 12, 2014.
D. Duration [if sentence- suspension, probation, etc.]:
 of days 
 of months 
 of years
E. Start Date of Penalty (MM/DD/YYYY):
05-19-2014
F. Penalty/Fine Amount:
$2,000,000,000.00
G. Date Paid (MM/DD/YYYY):
08-12-2014
5. Provide a brief summary of the circumstances leading to the charge(s) as well as the disposition. Include the relevant dates when the conduct which was the subject of the charge(s) occurred. (The information must fit within the space provided.)
FOR A SIGNIFICANT PERIOD OF TIME LEADING UP TO AND THROUGH APPROXIMATELY 2009, CSAG DID UNLAWFULLY AID, ASSIST IN, PROCURE, COUNSEL, AND ADVISE THE PREPARATION AND PRESENTATION OF FALSE INCOME TAX RETURNS AND OTHER DOCUMENTS TO THE INTERNAL REVENUE SERVICE OF THE TREASURY DEPARTMENT ("IRS"). IN THE SAME TIME PERIOD, CSAG OPERATED AN ILLEGAL CROSS-BORDER BANKING BUSINESS THAT KNOWINGLY AND WILLFULLY AIDED AND ASSISTED U.S. CLIENTS IN OPENING AND MAINTAINING UNDECLARED ACCOUNTS AND CONCEALING OFFSHORE ASSETS AND INCOME FROM THE IRS. IN 2010, THE TAX DIVISION OF THE U.S. DEPARTMENT OF JUSTICE INFORMED CSAG THAT THE DEPARTMENT OF JUSTICE HAD BEGUN A CRIMINAL INVESTIGATION AND THE INVESTIGATION HAD UNCOVERED EVIDENCE OF TAX LAW VIOLATIONS BY CERTAIN CSAG EMPLOYEES. IN RESPONSE, IN 2011, CSAG BEGAN AN INTERNAL INVESTIGATION. ON MAY 19, 2014, CSAG AND THE DEPARTMENT OF JUSTICE ENTERED INTO AN AGREEMENT PURSUANT TO RULE 11 OF THE FEDERAL RULES OF CRIMINAL PROCEDURE, WHEREBY CSAG AGREED TO PLEAD GUILTY TO ONE FELONY COUNT OF AIDING, ASSISTING, PROCURING, COUNSELING, AND ADVISING OF THE PREPARATION AND PRESENTATION OF FALSE INCOME TAX RETURNS TO THE IRS. NONE OF THE ALLEGED CONDUCT IS ATTRIBUTABLE TO ANY CSAG AFFILIATE THAT IS REGISTERED WITH THE COMMISSION AS AN INVESTMENT ADVISER OR BROKER-DEALER.

REGULATORY ACTION DISCLOSURE REPORTING PAGE (SBSE)

GENERAL INSTRUCTIONS

You must provide a valid response to each question on every section of this DRP before any of your information can be saved. Invalid or incomplete responses will prevent you from closing the DRP with your information saved. It is recommended that you consult the Print Form of this DRP to make sure you have gathered all the required information before beginning your entry of information online.

This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
000000816
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button checked Yes Radio button not checked No
NAME
CREDIT SUISSE SECURITIES (USA) LLC
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button checked Yes Radio button not checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CLARIDEN ASSET MGMT (NEW YORK), INC
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
U.S. SECURITIES & EXCHANGE COMMISSION
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-10-1995
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
ADMIN. PROC. FILE NO. 3-8747
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THAT (I) ADVISER HAD EFFECTED TRADES ON A PRINCIPAL BASIS FOR CLIENTS USING AN AFFILIATE WITHOUT NOTIFYING THE CLIENTS OF THE CAPACITY IN WHICH IT ACTED, BEFORE THE COMPLETION OF THE TRANSACTION, AND OBTAINING THE CLIENTS' PRIOR CONSENT AND (II) POGUE KNEW THAT THE TRADES WOULD BE EFFECTED ON A PRINCIPAL BASIS WITHOUT SUCH NOTIFICATION OF CLIENTS AND SUCH PRIOR CONSENT.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-10-1995
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$50,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
ADVISER AND POGUE AGREED TO CEASE AND DESIST FROM EFFECTING SUCH TRANSACTIONS WITHOUT NOTIFYING CLIENTS AND OBTAINING THEIR PRIOR CONSENT. ADVISER ALSO AGREED TO PAY A FINE OF $50,000.00 AND TO MAINTAIN ITS ENHANCED WRITTEN POLICIES AND PROCEDURES.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE ASSET MANAGEMENT, INC.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
U.S. SECURITIES & EXCHANGE COMMISSION
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
11-16-1994
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
ADMIN. PROC. FILE NO. 3-8555
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THAT CREDIT SUISSE ASSET MANAGEMENT, INC. ("CSAM") EFFECTED TRADES ON A PRINCIPAL BASIS FOR CLIENTS USING AFFILIATES WITHOUT NOTIFYING CLIENTS AND OBTAINING THEIR PRIOR CONSENT.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
11-16-1994
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$35,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CSAM AGREED TO CEASE AND DESIST FROM THE ALLEGED ACTIVITY. CSAM ALSO AGREED TO PAY A FINE IN THE AMOUNT OF $35,000.00 AND TO ENHANCE ITS WRITTEN POLICIES AND PROCEDURES.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
000106012
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button checked Yes Radio button not checked No
NAME
CREDIT SUISSE ASSET MANAGEMENT, LLC
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button checked Yes Radio button not checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE GROUP AG
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SECURITIES & EXCHANGE COMMISSION
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox checked Cease and Desist
Checkbox checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
03-07-2011
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
3-15763
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE ALLEGATIONS ARE RELATED TO CSAG'S SOLICITATION AND PROVISION OF BROKER-DEALER AND INVESTMENT ADVICE SERVICES TO CERTAIN U.S. CROSS-BORDER CLIENTS DURING A TIME WHICH CSAG WAS NOT REGISTERED WITH COMMISSION AS A BROKER-DEALER OR INVESTMENT ADVISER.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-21-2014
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$196,511,014.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CSAG SHALL, WITHIN NINETY (90) DAYS OF THE ENTRY OF THE FEBRUARY 21, 2014 ORDER, PAY DISGORGEMENT OF $82,170,990, PREJUDGEMENT INTEREST OF $64,340,024 AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $50,000,000.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
ON FEBRUARY 21, 2014, CSAG REACHED A SETTLEMENT WITH THE SEC THAT RESOLVES AN INVESTIGATION RELATING TO ITS SOLICITATION AND PROVISION OF BROKER-DEALER AND INVESTMENT ADVICE SERVICES TO CERTAIN U.S. CROSS-BORDER CLIENTS. NONE OF THE CONDUCT SUBJECT TO THE INVESTIGATION IS ATTRIBUTABLE TO CREDIT SUISSE SECURITIES (USA) LLC ("CSSU") OR ANY CSAG AFFILIATE THAT IS REGISTERED WITH THE COMMISSION AS A BROKER-DEALER. IN A SETTLED ADMINISTRATIVE PROCEEDING, THE SEC CHARGED CSAG WITH VIOLATING THE REGISTRATION PROVISIONS OF THE SECURITIES EXCHANGE ACT OF 1934 AND THE INVESTMENT ADVISERS ACT OF 1940 ("VIOLATIONS"). AS PART OF THE SETTLMENT, CSAG HAS BEEN DIRECTED BY THE SEC TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS, AND CSAG HAS AGREED TO APPROXIMATELY USD 196.5 MILLION WHICH WAS RECORDED IN THE FOURTH QUARTER OF 2013 AS A LITIGATION PROVISION.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
COMMODITY FUTURES TRADING COMMISSION (CFTC)
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-17-2012
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
CFTC DOCKET NO. 16-10
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
WITHOUT ADMITTING OR DENYING THE FINDINGS, CREDIT SUISSE INTERNATIONAL ("CSI") CONSENTED TO THE ENTRY OF ORDER THAT CSI VIOLATED SECTION 4A(B)(2) OF THE ACT AND REGULATION 150.2 (2009). ON SEVERAL DAYS IN APRL AND JUNE 2009, CREDIT SUISSE INTERNATIONAL (CSI) EXCEEDED THE CFTC ALL-MONTHS SPECULATIVE POSITION LIMIT FOR CHICAGO BOARD OF TRADE ("CBOT") WHEAT FUTURES CONTRACTS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
03-22-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$525,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
ON MARCH 28, 2016, CSI PAID A CIVIL MONETARY PENALTY OF $525,000 AS A RESULT OF THE ALLEGATIONS DESCRIBED IN PARAGRAPH 7, ABOVE. NO PORTION OF THE PENALTY WAS WAIVED."
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
U.S. SECURITIES AND EXCHANGE COMMISSION
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
06-03-2013
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
HO-12115
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE U.S SECURITIES AND EXCHANGE COMMISSION ORDER FINDS THAT, FROM THE FOURTH QUARTER OF 2011 THROUGH THE FOURTH QUARTER OF 2012, CREDIT SUISSE AG IN CERTAIN INSTANCES IMPROPERLY APPLIED ITS PROCESS FOR RECOGNIZING NNA IN A WAY THAT WAS INCONSISTENT WITH ITS DISCLOSURES. SPECIFICALLY, RATHER THAN EVALUATING EACH CLIENT AND DETERMINING WHAT WAS APPROPRIATELY RECOGNIZED AS NNA, CREDIT SUISSE AG, AT TIMES, TOOK A RESULTS-DRIVEN APPROACH THAT ALLOWED TARGETS TO INFLUENCE THE TIMING AND AMOUNT OF NNA RECOGNITION. THE SEC'S ORDER FIND THAT CREDIT SUISSE AG VIOLATED SECTION 17(A)(2) AND (3) OF THE SECURITIES ACT OF 1933 AND SECTION 13(A) AND (B)(2)(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES 13A-1, 13A-16, AND 12B-20.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
10-05-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$90,000,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE U.S SECURITIES AND EXCHANGE COMMISSION ISSUED A CEASE-AND-DESIST ORDER, AND DIRECTED CREDIT SUISSE AG TO PAY A CIVIL PENALTY OF $90 MILLION.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
CREDIT SUISSE AG ADMITS THE FACTS IN THE ORDER AND IS PLEASED TO RESOLVE THIS INVESTIGATION, WHICH ENDED WITHOUT ANY FINDINGS OF CLIENT HARM, WITHOUT ANY FINDINGS OF INTENTIONAL MISCONDUCT, AND WITHOUT ANY FINDINGS THAT ANY NNA WAS INCORRECTLY REALIZED.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE GROUP AG
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
PRE-JUDGMENT INTEREST
3. Date Initiated (MM/DD/YYYY)
07-05-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FILE NO. 3-18571
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE SEC ORDER ALLEGES THAT BETWEEN 2007 AND 2013, EMPLOYEES OF CREDIT SUISSE (HONG KONG) LIMITED IN THE ASIA PACIFIC REGION PROVIDED EMPLOYMENT OPPORTUNITIES TO RELATIVES AND ASSOCIATES OF GOVERNMENT OFFICIALS AND STATE-0WNED ENTERPRISE EMPLOYEES IN CHINA AND HONG KONG TO INFLUENCE THE AWARDING OF INVESTMENT BANKING MANDATES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-05-2018
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
PREJUDGMENT INTEREST
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
DISGORGEMENT OF USD 24,989,843 AND PRE-JUDGMENT INTEREST OF USD 4,833,961.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
CREDIT SUISSE GROUP AG PAID A TOTAL OF USD 29,823,904 AND CONSENTED TO THE ENTRY OF A CEASE-AND-DESIST ORDER TO SETTLE ALLEGATIONS THAT EMPLOYEES OF CREDIT SUISSE (HONG KONG) LIMITED PROVIDED EMPLOYMENT OPPORTUNITIES TO RELATIVES AND ASSOCIATES OF GOVERNMENT OFFICIALS AND STATE-0WNED ENTERPRISE EMPLOYEES IN CHINA AND HONG KONG TO INFLUENCE THE AWARDING OF INVESTMENT BANKING MANDATES. NO MONITORSHIP OR OTHER AFFIRMATIVE UNDERTAKINGS WERE IMPOSED ON ANY CREDIT SUISSE ENTITY.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE ASSET MANAGEMENT LTD.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVIS AGY JPN-"FSA" FINANCE RECONSTR COMM JPN-FRC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SUSPENSION OTHER - NEITHER THE APPLICANT NOR PERSONNEL OF TH
3. Date Initiated (MM/DD/YYYY)
07-13-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA #200, 1978-1983
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FSA AND THE FRC ALLEGED THAT THE CONTROL AFFILIATES LISTED IN 12(C) COMMITTED THE FOLLOWING ACTS: OBSTRUCTION OF FSA EXAMINATION; CREATION AND MARKETING OF FINANCIAL PRODUCTS ALLEGED TO BE INAPPROPRIATE TO JAPANESE PUBLIC INTEREST, BUT NOT IN VIOLATION OF APPLICABLE JAPANESE LAW; ACTIVITIES THAT VIOLATED THE BANKING LAW AND THE SECURITIES AND EXCHANGE LAW IN JAPAN; MISUSE OF TRUST ACCOUNTS; INADEQUATE COMPLIANCE SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE FINANCIAL PRODUCTS, TOKYO BRANCH - REVOCATION OF TOKYO BRANCH LICENSE, EFFECTIVE 11/30/1999. CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH - ONE YEAR SUSPENSION OF NEW BUSINESS IN STRUCTURED DERIVATIVE PRODUCTS AND PRIVATE BANKING. CREDIT SUISSE FIRST BOSTON SECURITIES (JAPAN) LTD., TOKYO BRANCH - ONE MONTH SUSPENSION OF PRODUCT DEVELOPMENT GROUP AND JAPANESE DEBT CAPITAL MARKETS DEPT. CREDIT SUISSE TRUST AND BANKING CO. LTD. - UNLIMITED SUSPENSION OF NEW BUSINESS IN STRUCTURED TRUST PRODUCTS GROUP AND THE TRUST BUSINESS RELATING TO PRIVATE CLIENTS IN JAPAN WITH RIGHT TO REAPPLY AFTER ONE YEAR. CREDIT SUISSE ASSET MANAGEMENT LTD. - ONE MONTH SUSPENSION OF NEW ADVISORY BUSINESS IN JAPAN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
IN 1999, THE FSA CONDUCTED AN ON-SITE EXAM OF APPLICANT'S CONTROL AFFILIATES. THE EXAM FOCUSED ON DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY CONTROL AFFILIATES, AS WELL AS SUPERVISORY AND OTHER ISSUES. SHORTLY AFTER THE FSA EXAM BEGAN, CS GROUP ("CSG") MANAGEMENT BECAME AWARE OF RUMORS OF MISCONDUCT REGARDING THE EXAM. AFTER REVIEW BY CSG'S INTERNAL AUDIT DEPT., CSG ENGAGED WILMER, CUTLER & PICKERING TO INVESTIGATE. WC&P FOUND THAT SEVERAL MANAGERS AND EMPLOYEES ATTEMPTED TO INTERFERE WITH THE EXAM BY CONCEALING AND/OR DESTROYING DOCUMENTS. NEITHER APPLICANT NOR ITS PERSONNEL WERE DIRECTLY INVOLVED IN SUCH MISCONDUCT. THE WC&P REPORT EMPHASIZED THAT CSG PROMPTLY ACTED TO DISCOVER MISCONDUCT AND DISCLOSE WRONGDOING TO REGULATORY AUTHORITIES. IN CONSULTATION WITH THE FSA, CSG AND ITS AFFILIATES HAVE TAKEN REMEDIAL MEASURES AND DISCIPLINARY ACTION INCLUDING TERMINATION OF CERTAIN EMPLOYEES. ON 7/29/99, CSG WAS NOTIFIED OF FSA/FRC AMINISTRATIVE SANCTIONS REGARDING THE EXAM.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FINANCIAL PRODUCTS,TOKYO BRANCH
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVIS AGY JPN-"FSA" FINANCE RECONSTR COMM JPN-FRC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SUSPENSION OTHER - NEITHER THE APPLICANT NOR PERSONNEL OF TH
3. Date Initiated (MM/DD/YYYY)
07-13-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA #200, 1978-1983
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FSA AND THE FRC ALLEGED THAT THE CONTROL AFFILIATES LISTED IN 12(C) COMMITTED THE FOLLOWING ACTS: OBSTRUCTION OF FSA EXAMINATION; CREATION AND MARKETING OF FINANCIAL PRODUCTS ALLEGED TO BE INAPPROPRIATE TO JAPANESE PUBLIC INTEREST, BUT NOT IN VIOLATION OF APPLICABLE JAPANESE LAW; ACTIVITIES THAT VIOLATED THE BANKING LAW AND THE SECURITIES AND EXCHANGE LAW IN JAPAN; MISUSE OF TRUST ACCOUNTS; INADEQUATE COMPLIANCE SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE FINANCIAL PRODUCTS, TOKYO BRANCH - REVOCATION OF TOKYO BRANCH LICENSE, EFFECTIVE 11/30/1999. CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH - ONE YEAR SUSPENSION OF NEW BUSINESS IN STRUCTURED DERIVATIVE PRODUCTS AND PRIVATE BANKING. CREDIT SUISSE FIRST BOSTON SECURITIES (JAPAN) LTD., TOKYO BRANCH - ONE MONTH SUSPENSION OF PRODUCT DEVELOPMENT GROUP AND JAPANESE DEBT CAPITAL MARKETS DEPT. CREDIT SUISSE TRUST AND BANKING CO. LTD. - UNLIMITED SUSPENSION OF NEW BUSINESS IN STRUCTURED TRUST PRODUCTS GROUP AND THE TRUST BUSINESS RELATING TO PRIVATE CLIENTS IN JAPAN WITH RIGHT TO REAPPLY AFTER ONE YEAR. CREDIT SUISSE ASSET MANAGEMENT LTD. - ONE MONTH SUSPENSION OF NEW ADVISORY BUSINESS IN JAPAN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
IN 1999, THE FSA CONDUCTED AN ON-SITE EXAM OF APPLICANT'S CONTROL AFFILIATES. THE EXAM FOCUSED ON DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY CONTROL AFFILIATES, AS WELL AS SUPERVISORY AND OTHER ISSUES. SHORTLY AFTER THE FSA EXAM BEGAN, CS GROUP ("CSG") MANAGEMENT BECAME AWARE OF RUMORS OF MISCONDUCT REGARDING THE EXAM. AFTER REVIEW BY CSG'S INTERNAL AUDIT DEPT., CSG ENGAGED WILMER, CUTLER & PICKERING TO INVESTIGATE. WC&P FOUND THAT SEVERAL MANAGERS AND EMPLOYEES ATTEMPTED TO INTERFERE WITH THE EXAM BY CONCEALING AND/OR DESTROYING DOCUMENTS. NEITHER APPLICANT NOR ITS PERSONNEL WERE DIRECTLY INVOLVED IN SUCH MISCONDUCT. THE WC&P REPORT EMPHASIZED THAT CSG PROMPTLY ACTED TO DISCOVER MISCONDUCT AND DISCLOSE WRONGDOING TO REGULATORY AUTHORITIES. IN CONSULTATION WITH THE FSA, CSG AND ITS AFFILIATES HAVE TAKEN REMEDIAL MEASURES AND DISCIPLINARY ACTION INCLUDING TERMINATION OF CERTAIN EMPLOYEES. ON 7/29/99, CSG WAS NOTIFIED OF FSA/FRC AMINISTRATIVE SANCTIONS REGARDING THE EXAM.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FIRST BOSTON SECURITIES(JAPAN) LTD., TOKYO
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVIS AGY JPN-"FSA" FINANCE RECONSTR COMM JPN-FRC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SUSPENSION OTHER - NEITHER THE APPLICANT NOR PERSONNEL OF TH
3. Date Initiated (MM/DD/YYYY)
07-13-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA #200, 1978-1983
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FSA AND THE FRC ALLEGED THAT THE CONTROL AFFILIATES LISTED IN 12(C) COMMITTED THE FOLLOWING ACTS: OBSTRUCTION OF FSA EXAMINATION; CREATION AND MARKETING OF FINANCIAL PRODUCTS ALLEGED TO BE INAPPROPRIATE TO JAPANESE PUBLIC INTEREST, BUT NOT IN VIOLATION OF APPLICABLE JAPANESE LAW; ACTIVITIES THAT VIOLATED THE BANKING LAW AND THE SECURITIES AND EXCHANGE LAW IN JAPAN; MISUSE OF TRUST ACCOUNTS; INADEQUATE COMPLIANCE SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE FINANCIAL PRODUCTS, TOKYO BRANCH - REVOCATION OF TOKYO BRANCH LICENSE, EFFECTIVE 11/30/1999. CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH - ONE YEAR SUSPENSION OF NEW BUSINESS IN STRUCTURED DERIVATIVE PRODUCTS AND PRIVATE BANKING. CREDIT SUISSE FIRST BOSTON SECURITIES (JAPAN) LTD., TOKYO BRANCH - ONE MONTH SUSPENSION OF PRODUCT DEVELOPMENT GROUP AND JAPANESE DEBT CAPITAL MARKETS DEPT. CREDIT SUISSE TRUST AND BANKING CO. LTD. - UNLIMITED SUSPENSION OF NEW BUSINESS IN STRUCTURED TRUST PRODUCTS GROUP AND THE TRUST BUSINESS RELATING TO PRIVATE CLIENTS IN JAPAN WITH RIGHT TO REAPPLY AFTER ONE YEAR. CREDIT SUISSE ASSET MANAGEMENT LTD. - ONE MONTH SUSPENSION OF NEW ADVISORY BUSINESS IN JAPAN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
IN 1999, THE FSA CONDUCTED AN ON-SITE EXAM OF APPLICANT'S CONTROL AFFILIATES. THE EXAM FOCUSED ON DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY CONTROL AFFILIATES, AS WELL AS SUPERVISORY AND OTHER ISSUES. SHORTLY AFTER THE FSA EXAM BEGAN, CS GROUP ("CSG") MANAGEMENT BECAME AWARE OF RUMORS OF MISCONDUCT REGARDING THE EXAM. AFTER REVIEW BY CSG'S INTERNAL AUDIT DEPT., CSG ENGAGED WILMER, CUTLER & PICKERING TO INVESTIGATE. WC&P FOUND THAT SEVERAL MANAGERS AND EMPLOYEES ATTEMPTED TO INTERFERE WITH THE EXAM BY CONCEALING AND/OR DESTROYING DOCUMENTS. NEITHER APPLICANT NOR ITS PERSONNEL WERE DIRECTLY INVOLVED IN SUCH MISCONDUCT. THE WC&P REPORT EMPHASIZED THAT CSG PROMPTLY ACTED TO DISCOVER MISCONDUCT AND DISCLOSE WRONGDOING TO REGULATORY AUTHORITIES. IN CONSULTATION WITH THE FSA, CSG AND ITS AFFILIATES HAVE TAKEN REMEDIAL MEASURES AND DISCIPLINARY ACTION INCLUDING TERMINATION OF CERTAIN EMPLOYEES. ON 7/29/99, CSG WAS NOTIFIED OF FSA/FRC AMINISTRATIVE SANCTIONS REGARDING THE EXAM.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVIS AGY JPN-"FSA" FINANCE RECONSTR COMM JPN-FRC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SUSPENSION OTHER - NEITHER THE APPLICANT NOR PERSONNEL OF TH
3. Date Initiated (MM/DD/YYYY)
07-13-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA #200, 1978-1983
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FSA AND THE FRC ALLEGED THAT THE CONTROL AFFILIATES LISTED IN 12(C) COMMITTED THE FOLLOWING ACTS: OBSTRUCTION OF FSA EXAMINATION; CREATION AND MARKETING OF FINANCIAL PRODUCTS ALLEGED TO BE INAPPROPRIATE TO JAPANESE PUBLIC INTEREST, BUT NOT IN VIOLATION OF APPLICABLE JAPANESE LAW; ACTIVITIES THAT VIOLATED THE BANKING LAW AND THE SECURITIES AND EXCHANGE LAW IN JAPAN; MISUSE OF TRUST ACCOUNTS; INADEQUATE COMPLIANCE SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE FINANCIAL PRODUCTS, TOKYO BRANCH - REVOCATION OF TOKYO BRANCH LICENSE, EFFECTIVE 11/30/1999. CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH - ONE YEAR SUSPENSION OF NEW BUSINESS IN STRUCTURED DERIVATIVE PRODUCTS AND PRIVATE BANKING. CREDIT SUISSE FIRST BOSTON SECURITIES (JAPAN) LTD., TOKYO BRANCH - ONE MONTH SUSPENSION OF PRODUCT DEVELOPMENT GROUP AND JAPANESE DEBT CAPITAL MARKETS DEPT. CREDIT SUISSE TRUST AND BANKING CO. LTD. - UNLIMITED SUSPENSION OF NEW BUSINESS IN STRUCTURED TRUST PRODUCTS GROUP AND THE TRUST BUSINESS RELATING TO PRIVATE CLIENTS IN JAPAN WITH RIGHT TO REAPPLY AFTER ONE YEAR. CREDIT SUISSE ASSET MANAGEMENT LTD. - ONE MONTH SUSPENSION OF NEW ADVISORY BUSINESS IN JAPAN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
IN 1999, THE FSA CONDUCTED AN ON-SITE EXAM OF APPLICANT'S CONTROL AFFILIATES. THE EXAM FOCUSED ON DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY CONTROL AFFILIATES, AS WELL AS SUPERVISORY AND OTHER ISSUES. SHORTLY AFTER THE FSA EXAM BEGAN, CS GROUP ("CSG") MANAGEMENT BECAME AWARE OF RUMORS OF MISCONDUCT REGARDING THE EXAM. AFTER REVIEW BY CSG'S INTERNAL AUDIT DEPT., CSG ENGAGED WILMER, CUTLER & PICKERING TO INVESTIGATE. WC&P FOUND THAT SEVERAL MANAGERS AND EMPLOYEES ATTEMPTED TO INTERFERE WITH THE EXAM BY CONCEALING AND/OR DESTROYING DOCUMENTS. NEITHER APPLICANT NOR ITS PERSONNEL WERE DIRECTLY INVOLVED IN SUCH MISCONDUCT. THE WC&P REPORT EMPHASIZED THAT CSG PROMPTLY ACTED TO DISCOVER MISCONDUCT AND DISCLOSE WRONGDOING TO REGULATORY AUTHORITIES. IN CONSULTATION WITH THE FSA, CSG AND ITS AFFILIATES HAVE TAKEN REMEDIAL MEASURES AND DISCIPLINARY ACTION INCLUDING TERMINATION OF CERTAIN EMPLOYEES. ON 7/29/99, CSG WAS NOTIFIED OF FSA/FRC AMINISTRATIVE SANCTIONS REGARDING THE EXAM.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE TRUST AND BANKING CO. LTD.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVIS AGY JPN-"FSA" FINANCE RECONSTR COMM JPN-FRC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SUSPENSION OTHER - NEITHER THE APPLICANT NOR PERSONNEL OF TH
3. Date Initiated (MM/DD/YYYY)
07-13-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA #200, 1978-1983
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FSA AND THE FRC ALLEGED THAT THE CONTROL AFFILIATES LISTED IN 12(C) COMMITTED THE FOLLOWING ACTS: OBSTRUCTION OF FSA EXAMINATION; CREATION AND MARKETING OF FINANCIAL PRODUCTS ALLEGED TO BE INAPPROPRIATE TO JAPANESE PUBLIC INTEREST, BUT NOT IN VIOLATION OF APPLICABLE JAPANESE LAW; ACTIVITIES THAT VIOLATED THE BANKING LAW AND THE SECURITIES AND EXCHANGE LAW IN JAPAN; MISUSE OF TRUST ACCOUNTS; INADEQUATE COMPLIANCE SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE FINANCIAL PRODUCTS, TOKYO BRANCH - REVOCATION OF TOKYO BRANCH LICENSE, EFFECTIVE 11/30/1999. CREDIT SUISSE FIRST BOSTON, TOKYO BRANCH - ONE YEAR SUSPENSION OF NEW BUSINESS IN STRUCTURED DERIVATIVE PRODUCTS AND PRIVATE BANKING. CREDIT SUISSE FIRST BOSTON SECURITIES (JAPAN) LTD., TOKYO BRANCH - ONE MONTH SUSPENSION OF PRODUCT DEVELOPMENT GROUP AND JAPANESE DEBT CAPITAL MARKETS DEPT. CREDIT SUISSE TRUST AND BANKING CO. LTD. - UNLIMITED SUSPENSION OF NEW BUSINESS IN STRUCTURED TRUST PRODUCTS GROUP AND THE TRUST BUSINESS RELATING TO PRIVATE CLIENTS IN JAPAN WITH RIGHT TO REAPPLY AFTER ONE YEAR. CREDIT SUISSE ASSET MANAGEMENT LTD. - ONE MONTH SUSPENSION OF NEW ADVISORY BUSINESS IN JAPAN.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
IN 1999, THE FSA CONDUCTED AN ON-SITE EXAM OF APPLICANT'S CONTROL AFFILIATES. THE EXAM FOCUSED ON DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY CONTROL AFFILIATES, AS WELL AS SUPERVISORY AND OTHER ISSUES. SHORTLY AFTER THE FSA EXAM BEGAN, CS GROUP ("CSG") MANAGEMENT BECAME AWARE OF RUMORS OF MISCONDUCT REGARDING THE EXAM. AFTER REVIEW BY CSG'S INTERNAL AUDIT DEPT., CSG ENGAGED WILMER, CUTLER & PICKERING TO INVESTIGATE. WC&P FOUND THAT SEVERAL MANAGERS AND EMPLOYEES ATTEMPTED TO INTERFERE WITH THE EXAM BY CONCEALING AND/OR DESTROYING DOCUMENTS. NEITHER APPLICANT NOR ITS PERSONNEL WERE DIRECTLY INVOLVED IN SUCH MISCONDUCT. THE WC&P REPORT EMPHASIZED THAT CSG PROMPTLY ACTED TO DISCOVER MISCONDUCT AND DISCLOSE WRONGDOING TO REGULATORY AUTHORITIES. IN CONSULTATION WITH THE FSA, CSG AND ITS AFFILIATES HAVE TAKEN REMEDIAL MEASURES AND DISCIPLINARY ACTION INCLUDING TERMINATION OF CERTAIN EMPLOYEES. ON 7/29/99, CSG WAS NOTIFIED OF FSA/FRC AMINISTRATIVE SANCTIONS REGARDING THE EXAM.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SWISS BANKERS ASSOCIATION ("SBA")
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
SEE ITEM 12
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
11-19-2000
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
CLIENT IDENTIFICATION,ESTABLISHMENT OF BENEFICIAL OWNERSHIP AND POLITICALLY EXPOSED PERSON ("PEP") CLASSIFICATION.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
VIOLATION DURING THE MID-1990 S OF FORMAL CLIENT IDENTIFICATION GUIDELINES UNDER SBA'S CONTRACTUAL CODE OF CONDUCT.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
10-14-2002
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
CONTRACTUAL PENALTY CHF 750,000
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
A CONTRACTUAL PENALTY OF SWISS FRANCS 750,000, WHICH WAS LEVIED AGAINST THE CONTROL AFFILIATE CREDIT SUISSE, WAS ACCEPTED WITHOUT ANY ADMISSION OR DENIAL OF THE ALLEGATIONS AND PAID IN FULL ON 10/14/2002.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
VIOLATION OF SBA'S CONTRACTUAL CODE OF CONDUCT ON ESTABLISHING THE IDENTITY OF BENEFICIAL OWNER AND ACCOUNT OPENING DOCUMENTATION.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SWISS BANKERS ASSOCIATION ("SBA")
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
SEE ITEM 12
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
11-28-2000
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
00/58 CDB
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
ACCOUNT OPENING DOCUMENTATION
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
VIOLATION OF SBA'S CONTRACTUAL CODE OF CONDUCT ON ESTABLISHING THE IDENTITY OF THE BENEFICIAL OWNER; ACCOUNT OPENING DOCUMENTATION.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
09-18-2002
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
CONTRACTUAL PENALTY CHF 100,000
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
A CONTRACTUAL PENALTY OF SWISS FRANCS 100,000 WHICH WAS LEVIED AGAINST THE CONTROL AFFILIATE CREDIT SUISSE, WAS ACCEPTED WITHOUT ANY ADMISSION OR DENIAL OF THE ALLEGATIONS AND PAID IN FULL ON 09/18/2002.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
DIFFERENT VIOLATIONS OF THE SBA'S CONTRACTUAL CODE OF CONDUCT RELATING TO THE DUTY TO IDENTIFY THE CONTRACTING PARTNER AND ESTABLISH THE IDENTITY OF THE BENEFICIAL OWNER.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FINANCIAL PRODUCTS ("CSFP") NOW KNOWN
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SERVICES AUTHORITY OF THE UNITED KINGDOM ("UKFSA")
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
05-21-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
FSA/CSFP-080
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DERIVATIVE PRODUCT DESIGNED TO TAKE ADVANTAGE OF JAPANESE GAAP BALANCE SHEET OR INCOME STATEMENT TREATMENT FOR CUSTOMERS.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON MAY 21,1999, THE U.K. SECURITIES AND FUTURES AUTHORITY ("SFA") COMMENCED AN INVESTIGATION INTO THE ALLEGED DESTRUCTION OR CONCEALMENT OF DOCUMENTS IN JANUARY 1999 AT CS FINANCIAL PRODUCTS (NOW KNOWN AS CREDIT SUISSE FIRST BOSTON INTERNATIONAL ("CSFP") TOKYO BRANCH, AND THE CONTROLS EXERCISED BY CSFP OVER THE TOKYO BRANCH, AND ANY MATTERS ARISING THEREFROM. THE SFA INTERVIEWED A NUMBER OF CURRENT AND/OR FORMER CSFB EMPLOYEES. IN ADDITION, THE FIRM PRODUCED DOCUMENTS AND INFORMATION IN RESPONSE TO SFA REQUESTS. IN JULY 2001, THE SFA CONCLUDED THE FACTUAL ASPECT OF THE INVESTIGATION. THE INVESTIGATION WAS CONTINUED BY THE SFA'S SUCCESSOR REGULATOR, THE FINANCIAL SERVICES AUTHORITY OF THE UNITED KINGDOM ("UKFSA"). ON MARCH 8, 2002, CSFP RECEIVED THE UKFSA'S "PRELIMINARY FINDINGS LETTER", WHICH SET FORTH THE UKFSA'S FINDINGS OF FACT UPON WHICH A DECISION TO INSTITUTE DISCIPLINARY PROCEEDINGS AGAINST CSFB WOULD BE BASED.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
12-11-2002
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$6,400,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
ON DECEMBER 11, 2002, THE FIRM REACHED AN AGREEMENT WITH THE UKFSA RESOLVING THIS INVESTIGATION. THE UKFSA FOUND THAT CSFP VIOLATED CERTAIN UK REGULATORY RULES. THE COMPANY HAS ACCEPTED THESE FINDINGS AND AGREED TO PAY A FINE (4,000,000 POUNDS). AS CSFB HAS PREVIOUSLY ACKNOWLEDGED, CERTAIN FORMER EMPLOYEES FAILED TO ACT IN AN OPEN AND COOPERATIVE MANNER TOWARDS THE JAPANESE AUTHORITIES. THE ACTIONS OF THESE FORMER EMPLOYEES WERE AN ABERRATION AND CONTRARY TO THE HIGH STANDARDS EXPECTED OF THEM BY THE FIRM. THE INDIVIDUALS CONCERNED ARE NO LONGER WITH THE FIRM. AS THE FSA ACKNOWLEDGED IN A STATEMENT ON DECEMBER 19, 2002, THE EXTENSIVE ORGANIZATIONAL, PERSONNEL AND STRUCTURAL CHANGES IMPLEMENTED BY CSFB'S NEW MANAGEMENT HAVE SIGNIFICANTLY IMPROVED THE FIRMS'S CONTROLS AND COMPLIANCE CULTURE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SWISS BANKERS ASSOCIATION ("SBA")
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
SEE ITEM 12
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
04-01-1998
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
98/4 CDB
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
ACCOUNT OPENING DOCUMENTATION
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
VIOLATION OF ESTABLISHING THE IDENTITY OF THE BENEFICIAL OWNER. VIOLATION OF ACCOUNT OPENING DOCUMENTATION.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
03-28-2003
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
CONTRACTUAL PENALITY OF CHF 500,000
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
A CONTRACTUAL PENALITY OF SWISS FRANCS 500,000, WHICH WAS LEVIED AGAINST THE CONTROL AFFILATE CREDIT SUISSE, WAS ACCEPTED WITHOUT ANY ADMISSION OR DENIAL OF THE ALLEGATIONS AND PAID IN FULL ON 03/28/2003.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
DIFFERENT VIOLATIONS OF SBA'S CONTRACTUAL CODE OF CONDUCT ON ESTABLISHING THE IDENTITY OF THE CONTRACTING PARTNER AND THE BENEFICIAL OWNER.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE ASSET MANAGEMENT LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
JAPAN SECURITIES INVESTMENT ADVISORY ASSOCIATION
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-23-2000
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
FROM SEPTEMBER 1999 TO JANUARY 2000, THE JAPAN SECURITIES INVESTMENT ADVISORY ASSOCIATION (THE "JSIAA") CONDUCTED AN INSPECTION AT CREDIT SUISSE ASSET MANAGEMENT LIMITED (THE "CSAML"). ON FEBRUARY 23, 2000, JSIAA MADE THE FOLLOWING FINDINGS AND IMPOSED THE SANCTION SET FORTH BELOW. 1. CSAML DID NOT ESTABLISH AND KEEP DOCUMENTS WHICH RECORDED THE DETAILS OF SECURITIES TRADES RELATING TO INVESTMENTS MADE ACCORDING TO DISCRETIONARY INVESTMENT CONTRACTS, AMONG OTHER THINGS; 2, CSAML DID NOT DELIVER CERTAIN DOCUMENTS THAT SHOULD HAVE BEEN DELIVERED TO CUSTOMERS WHEN CONCLUDING DISCRETIONARY INVESTMENT CONTRACTS; AND 3. CSAML LACKED ADEQUATE INTERNAL CONTROLS AND COMPLIANCE SYSTEMS, WHICH LED TO VIOLATIONS OF ITS DUTY AS AN INVESTMENT ADVISOR IN THE ABOVE AREAS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-23-2000
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$5,650.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE JSIAA RESOLVED THE COLLECTION OF PENALITY FOR NEGLIGENCE JPY 700,000 (APPROXIMATELY USD 5,650).
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE JSIAA RESOLVED THE COLLECTION OF PENALITY FOR NEGLIGENCE JPY 700,000 (APPROXIMATELY USD 5,650).
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE, TOKYO BRANCH (F.K.A.CREDIT SUISSE FIRST BOSTON
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVISORY AGENCY OF JAPAN
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-23-2000
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
CREDIT SUISSE FIRST BOSTON
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
IN 1999, THE FINANCIAL SUPERVISORY AGENCY OF JAPAN ("FSA") COMPLETED A FORMAL ON-SITE EXAMINATION OF THE BUSINESSES IN JAPAN OF CREDIT SUISSE FIRST BOSTON (THE "BANK"), THE PARENT OF THE APPLICANT, AS WELL AS CERTAIN OTHER SUBSIDIARIES OF THE BANK IN JAPAN THAT ARE NOT ADVISORY AFFILIATES OF THE APPLICANT. THE EXAMINATION FOCUSED ON CERTAIN DERIVATIVES AND OTHER TRANSACTIONS ENTERED INTO BY THE BANK IN JAPAN AND INQUIRED INTO CERTAIN SUPERVISORY AND OTHER ISSUES. SEVERAL MANAGERS (WHO ARE NO LONGER EMPLOYEES OF THE BANK) AND OTHER MEMBERS OF THE STAFF OF SUBSIDIARIES OF THE BANK (THAT ARE NOT ADVISORY AFFILIATES) ATTEMPTED TO INTERFERE WITH THE EXAMINATION DURING ITS INITIAL STAGES BY CONCEALING AND/OR DESTROYING DOCUMENTS. THE FSA AND THE FINANCIAL RECONSTRUCTION COMMISSION IN JAPAN IMPOSED THE SANCTIONS SET FORTH BELOW. NEITHER THE APPLICANT NOR PERSONNEL OF THE APPLICANT WERE DIRECTLY INVOLVED IN ANY SUCH MISCONDUCT.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox checked Suspension
B. Other Sanctions Ordered:
AS AN ATTACHMENT DUE TO SPACE LIMITATION
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
PURSUANT TO AN ADMINISTRATIVE ORDER, THE FSA AND FINANCIAL RECONSTRUCTION COMMISSION IN JAPAN IMPOSED A ONE YEAR SUSPENSION ON NEW BUSINESS RELATING TO STRUCTURED DERIVATIVES PRODUCTS AND PRIVATE BANKING IN JAPAN BY THE TOKYO BRANCH OF THE BANK WITH THE RIGHT TO REAPPLY TO ENGAGE IN SUCH OPERATIONS AFTER ONE YEAR.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
AFTER THE END OF THE APPLICABLE SUSPENSION PERIOD, THE FSA GRANTED THE BANK PERMISSION TO RESUME PROVIDING NEW BUSINESS ACTIVITIES IN JAPAN AND TO EXPAND INTO OTHER ACTIVITIES IN JAPAN
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE ASSET MANAGEMENT LIMITED(TOKYO)
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL SUPERVISORY AGENCY OF JAPAN
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-29-1999
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FINANCIAL SUPERVISORY AGENCY OF JAPAN (THE "FSA") CONDUCTED AN ON-SITE INSPECTION AT CREDIT SUISSE ASSET MANAGEMENT LIMITED ("CSAML") ON APRIL, 1999 AND NOTIFIED US OF THE INSPECTION RESULTS AS FOLLOWS: 1. CSAML DID NOT ESTABLISH AND KEEP DOCUMENTS WHICH RECORDED THE DETAILS OF SECURITIES TRADES RELATING TO INVESTMENT MADE ACCORDING TO DISCRETIONARY CONTRACTS; 2. CSAML DID NOT DELIVER DOCUMENTS THAT SHOULD HAVE BEEN DELIVERED TO CUSTOMERS WHEN CONCLUDING DISCRETIONARY INVESTMENT CONTRACTS; 3. CSAML WAS FOUND TO HAVE DEFICIENT INTERNAL CONTROLS AND COMPLIANCE SYSTEMS, WHICH LED VIOLATIONS OF FIDUCIARY DUTY AS AN INVESTMENT ADVISOR, AMONG OTHER THINGS. ON JULY 29TH, 1999, BASED ON THE ABOVE FINDINGS, THE FSA IMPOSED THE SANCTIONS SET FORTH BELOW.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-29-1999
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
1. PROHIBITION 2. THE BUSINESS IMPROVEMENT
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FSA IMPOSED THE FOLLOWING ADMINISTRATIVE ACTIONS: 1. AN ORDER TO PROHIBIT THE CONCLUSION OF A NEW CONTRACT RELATING TO INVESTMENT ADVISORY AND DISCRETIONARY INVESTMENT MANAGEMENT BUSINESS FROM AUGUST 5TH TO SEPTEMBER 4TH, 1999. (PURSUANT TO LAWS REGULATING SECURITIES INVESTMENT ADVISORY BUSINESS ARTICLE 38 [EXECUTIVE AUTHORITY OF THE HEAD OF THE LOCAL FINANCE BUREAU] 2. A BUSINESS IMPROVEMENT ORDER TO CLARIFY LOCUS OF RESPONSIBILITY, TO IMPLEMENT PREVENTION MEASURES AGAINST RECURRENCE, TO SOLIDIFY AND STRENGTHEN INTERNAL CONTROL SYSTEM, AND TO SECURE STRICT COMPLIANCE, AMONG OTHER THINGS. (PURSUANT TO LAWS REGULATING SECURITIES INVESTMENT ADVISORY BUSINESS ARTICLE 37 [EXECUTIVE AUTHORITY OF THE HEAD OF THE LOCAL FINANCE BUREAU])
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE PROHIBITION EXPIRED ON SEPTEMBER 4TH, 1999 (THE END DATE OF THE APPLICABLE PROHIBITION PERIOD).
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SWISS BANKERS ASSOCIATION ("SBA")
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
SEE ITEM 12
3. Date Initiated (MM/DD/YYYY)
11-25-2005
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
98/4 CDB ["NO.303"]
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
DOCUMENTATION OF IDENTITY
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
VIOLATION OF ESTABLISHING THE DOCUMENTATION OF THE IDENTITY OF THE CONTRACTING PARTY AND BENEFICIAL OWNER. VIOLATION OF DOCUMENTATION OF IDENTITY FOR ACCOUNT OPENINGS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
04-05-2007
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
CONTRACTUAL PENALTY CHE 900,000
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
A CONTRACTUAL PENALTY OF SWISS FRANCS 900,000, WHICH WAS LEVIED AGAINST THE CONTROL AFFILIATE CREDIT SUISSE, WAS ACCEPTED WITHOUT ADMISSION OR DENIAL OF THE ALLEGATIONS AND PAID IN FULL ON APRIL 5, 2007.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
DIFFERENT VIOLATIONS OF SBA'S CONTRACTUAL CODE OF CONDUCT ON ESTABLISHING THE DOCUMENTATION OF THE IDENTITY OF THE CONTRACTING PARTNER AND THE BENEFICIAL OWNER
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
THE UK'S FINANCIAL SERVICES AUTHORITY (UK FSA)
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
MONETARY FINE
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
08-13-2008
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CS INTERNATIONAL AND CS SECURITIES (EUROPE) LIMITED (THE "UK SUBSIDIARIES") WERE FOUND TO HAVE BREACHED THE UK FINANCIAL SERVICES AUTHORITY'S ("UKFSA") PRINCIPLE 2 REQUIRING A FIRM TO CONDUCT ITS BUSINESS WITH DUE SKILL, CARE AND DILIGENCE AND PRINCIPLE 3 REQUIRING A FIRM TO TAKE REASONABLE CARE TO ORGANIZE AND CONTROL ITS AFFAIRS RESPONSIBLY AND EFFECTIVELY, WITH ADEQUATE RISK MANAGEMENT SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
08-13-2008
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$10,473,866.98
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE UK SUBSIDIARIES AGREED TO PAY A FINE OF GBP 5.6 MILLION TO THE UK FSA.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE UKFSA ISSUED FINAL NOTICE CONCLUDING THAT UK SUBSIDIARIES BREACHED PRINCIPLES FOR BUSINESS AS A RESULT OF MISPRICING ASSET BACKED SECURITIES IN THE STRUCTURED PRODUCTS BUSINESS WITHIN CS'S INVESTMENT BANK. CS DETERMINED THAT MISMARKS AND PRICING ERRORS WERE, IN PART, RESULTS OF INTENTIONAL MISCONDUCT BY A SMALL NUMBER OF TRADERS. THESE EMPLOYEES HAVE EITHER BEEN TERMINATED OR SUSPENDED. CONTROLS IN PLACE TO PREVENT OR DETECT MISMARKS AND PRICING ERRORS, INCLUDING SUPERVISION AND MONITORING OF THE VALUATIONS AND RELATED PRICE TESTING AND SUPERVISION, WERE INEFFECTIVE. CS HAS REASSIGNED TRADING RESPONSIBILITY FOR THE BUSINESS AND IS ENHANCING RELATED CONTROL PROCESSES. CS REMEDIATION PLAN INCLUDES IMPROVING SUPERVISORY REVIEWS, FORMALIZING ESCALATION PROCEDURES, IMPROVING COORDINATION AMONG TRADING, PRODUCT CONTROL AND RISK MANAGEMENT, ADDING ADDITIONAL RESOURCES, IMPROVING TRAINING AND ENHANCING TOOLS AND TECHNICAL RESOURCES AVAILABLE TO CS PERSONNEL

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE SECURITIES (EUROPE)LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
THE UK'S FINANCIAL SERVICES AUTHORITY (UK FSA)
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
MONETARY FINE
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
08-13-2008
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CS INTERNATIONAL AND CS SECURITIES (EUROPE) LIMITED (THE "UK SUBSIDIARIES") WERE FOUND TO HAVE BREACHED THE UK FINANCIAL SERVICES AUTHORITY'S ("UKFSA") PRINCIPLE 2 REQUIRING A FIRM TO CONDUCT ITS BUSINESS WITH DUE SKILL, CARE AND DILIGENCE AND PRINCIPLE 3 REQUIRING A FIRM TO TAKE REASONABLE CARE TO ORGANIZE AND CONTROL ITS AFFAIRS RESPONSIBLY AND EFFECTIVELY, WITH ADEQUATE RISK MANAGEMENT SYSTEMS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
08-13-2008
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$10,473,866.98
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE UK SUBSIDIARIES AGREED TO PAY A FINE OF GBP 5.6 MILLION TO THE UK FSA.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE UKFSA ISSUED FINAL NOTICE CONCLUDING THAT UK SUBSIDIARIES BREACHED PRINCIPLES FOR BUSINESS AS A RESULT OF MISPRICING ASSET BACKED SECURITIES IN THE STRUCTURED PRODUCTS BUSINESS WITHIN CS'S INVESTMENT BANK. CS DETERMINED THAT MISMARKS AND PRICING ERRORS WERE, IN PART, RESULTS OF INTENTIONAL MISCONDUCT BY A SMALL NUMBER OF TRADERS. THESE EMPLOYEES HAVE EITHER BEEN TERMINATED OR SUSPENDED. CONTROLS IN PLACE TO PREVENT OR DETECT MISMARKS AND PRICING ERRORS, INCLUDING SUPERVISION AND MONITORING OF THE VALUATIONS AND RELATED PRICE TESTING AND SUPERVISION, WERE INEFFECTIVE. CS HAS REASSIGNED TRADING RESPONSIBILITY FOR THE BUSINESS AND IS ENHANCING RELATED CONTROL PROCESSES. CS REMEDIATION PLAN INCLUDES IMPROVING SUPERVISORY REVIEWS, FORMALIZING ESCALATION PROCEDURES, IMPROVING COORDINATION AMONG TRADING, PRODUCT CONTROL AND RISK MANAGEMENT, ADDING ADDITIONAL RESOURCES, IMPROVING TRAINING AND ENHANCING TOOLS AND TECHNICAL RESOURCES AVAILABLE TO CS PERSONNEL
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
"THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM"
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox checked Other
If Other is selected, please describe
ORDERED TO SUBMIT AND ADOPT AN ENHANCED GLOBAL REGULATORY CO
3. Date Initiated (MM/DD/YYYY)
12-16-2009
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
09-210-B-FB
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE ORDER RECITES THAT CREDIT SUISSE AG IS A FOREIGN BANK AS DEFINED IN SECTION 3101(7) OF THE INTERNATIONAL BANKING ACT AND HAS ENTERED INTO SETTLEMENT AGREEMENTS TO RESOLVE INVESTIGATIONS BY THE U.S. DEPARTMENT OF JUSTICE, THE DISTRICT ATTORNEY FOR THE COUNTY OF NEW YORK, NY, AND THE OFFICE OF FOREIGN ASSET CONTROL (OFAC) OF THE U.S. DEPARTMENT OF THE TREASURY CONCERNING THE TRANSMISSION OF FUNDS TO AND FROM THE UNITED STATES BY AND THROUGH ENTITIES AND INDIVIDUALS SUBJECT TO SANCTIONS REGIMES IMPOSED UNDER THE INTERNATIONAL EMERGENCY ECONOMIC POWERS ACT ("IEEPA"), 50 U.S.C. 1701-06, WHICH IS ADMINISTERED BY OFAC.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
12-16-2009
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
ORDERED TO SUBMIT AND ADOPT AN ENHANCED GLOBAL REGULATORY COMPLIANCE PROGRAM AND TO SUBMIT WRITTEN PROGRESS REPORTS ON COMPLIANCE WITH THE ORDER.
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
N/A
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
CS AG HAS ENTERED INTO SETTLEMENT AGREEMENTS TO RESOLVE INVESTIGATIONS BY THE U.S. DOJ, THE DISTRICT ATTORNEY FOR THE COUNTY OF NY, NY, AND THE TREASURT DEPARTMENT OFFICE OF FOREIGN ASSET CONTROL (OFAC) CONCERNING THE TRANSMISSION OF FUNDS TO AND FROM THE U.S. BY AND THROUGH ENTITIES AND INDIVIDUALS SUBJECT TO SANCTIONS REGIMES IMPOSED UNDER THE INTERNATIONAL EMERGENCY ECONOMIC POWERS ACT ("IEEPA"), 50 U.S.C. 1701-06, WHICH IS ADMINISTERED BY OFAC. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CREDIT SUISSE AG WAS ORDERED TO ADOPT AND SUBMIT AN ENHANCED GLOBAL REGULATORY COMPLIANCE PROGRAM AND TO SUBMIT WRITTEN PROGRESS REPORTS RELATING TO COMPLIANCE WITH THE ORDER. PURSUANT TO THE SETTLEMENTS, CS AG AGREED TO PAY A TOTAL OF $536,000,000 IN SATISFACTION OF OBLIGATIONS UNDER CONTEMPORANEOUS DEFERRED PROSECUTION AGREEMENTS BETWEEN CS AG AND THE NY COUNTRY DISTRICT ATTORNEY'S OFFICE AND THE U.S. DOJ.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
"U.S. DEPARTMENT OF THE TREASURY, OFFICE OF FOREIGN ASSETS CONTROL"
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
12-16-2009
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
MUL-473923
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
SETTLEMENT AGREEMENT BETWEEN OFAC AND CREDIT SUISSE AG RESULTING IN PAYMENT OF $536,000,000 IN GLOBAL SETTLEMENT OF ALLEGED VIOLATIONS OF THE INTERNATIONAL EMERGENCY ECONOMIC POWERS ACT ("IEEPA"), 50 U.S.C. 1701-06, THE TRADING WITH THE ENEMY ACT ("TWEA"), 50 U.S.C. 1-44, CERTAIN EXECUTIVE ORDERS, AND CERTAIN OFAC REGULATIONS, AND IN SATISFACTION OF CREDIT SUISSE AG'S PAYMENT OBLIGATIONS UNDER CONTEMPORANEOUS DEFERRED PROSECUTION AGREEMENTS BETWEEN CREDIT SUISSE AG AND THE NEW YORK COUNTRY DISTRICT ATTORNEY'S OFFICE AND THE UNITED STATES DEPARTMENT OF JUSTICE.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
12-16-2009
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$536,000,000.00
B. Other Sanctions Ordered:
N/A
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
N/A
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
ACCORDING TO THE SETTLEMENT AGREEMENT WITH OFAC, IN WHICH CREDIT SUISSE AG NEITHER ADMITTED NOR DENIED THE ALLEGATION, CREDIT SUISSE AG PROCESSED ELECTRONIC FUNDS TRANSFERS THROUGH FINANCIAL INSTITUTIONS LOCATED IN THE UNITED STATES TO THE BENEFIT OF CERTAIN COUNTRIES, PERSONS AND/OR ENTITIES SUBJECT TO U.S. ECONOMIC SANCTIONS. PURSUANT TO THE SETTLEMENT,CREDIT SUISSE AG AGREED TO PAY A TOTAL OF $536,000,000 IN SATISFACTION OF OBLIGATIONS UNDER CONTEMPORANEOUS DEFERRED PROSECUTION AGREEMENTS BETWEEN CREDIT SUISSE AG AND THE NEW YORK COUNTRY DISTRICT ATTORNEY'S OFFICE AND THE UNITED STATES DEPARTMENT OF JUSTICE.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
05-19-2014
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
CREDIT SUISSE AG
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE ALLEGATIONS ARE RELATED TO CSAG'S OPERATION OF A REPRESENTATIVE OFFICE IN NEW YORK CITY WHICH WAS UTILIZED BY THE BANK'S ILLEGAL CROSS-BORDER BANKING BUSINESS THAT KNOWINGLY AND WILLFULLY AIDED AND ASSISTED U.S. CLIENTS IN OPENING AND MAINTAINING UNDECLARED ACCOUNTS AND CONCEALING THEIR OFFSHORE ASSETS AND INCOME FROM THE IRS AND NEW YORK AUTHORITIES. NONE OF THE ALLEGED CONDUCT IS ATTRIBUTABLE TO THE REGISTRANT OR ANY CSAG AFFILIATE THAT IS REGISTERED WITH THE COMMISSION AS AN INVESTMENT ADVISER OR BROKER-DEALER.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
05-19-2014
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$715,000,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CSAG SHALL PAY A CIVIL MONETARY PENALTY TO THE DEPARTMENT IN THE AMOUNT OF $715,000,000, WITHIN TEN DAYS OF EXECUTING THE CONSENT ORDER
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
ON MAY 19, 2014, CSAG ENTERED INTO A CONSENT ORDER WITH THE DFS THAT RESOLVES AN INVESTIGATION RELATING TO THE OPERATION OF AN ILLEGAL CROSS-BORDER BANKING BUSINESS THAT AIDED AND ASSISTED U.S. CLIENTS IN OPENING AND MAINTAINING UNDECLARED ACCOUNTS AND CONCEALING OFFSHORE ASSETS AND INCOME FROM THE IRS AND NY AUTHORITIES. CSAG UTILIZED THE BANK'S NY REPRESENTATIVE OFFICE (CLOSED IN 2009) BY HOSTING MEETINGS, PROVIDING ACCOUNT STATEMENTS, AND OTHERWISE ASSISTING U.S. CLIENTS FILING FALSE AND FRAUDULENT U.S. TAX REPORTING DOCUMENTS; ADVISING U.S. CLIENTS NOT TO MAINTAIN ACCOUNT RECORDS; AND MAINTAINING INEFFECTIVE POLICIES, TRAINING, AND AUDITS THAT WERE UNSUCCESSFUL IN PREVENTING EMPLOYEES' ILLEGAL CONDUCT OR REMEDYING MISCONDUCT. IN THE CONSENT ORDER, CSAG AGREED TO PAY A CIVIL PENALTY OF $715,000,000; ENGAGE AN INDEPENDENT MONITOR TO CONDUCT A REVIEW OF THE BANK'S POLICIES AND PROCEDURES; MAINTAIN AND MAKE AVAILABLE RELEVANT RECORDS; AND TERMINATE THREE EMPLOYEES.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
05-19-2014
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
14-009-B-FB; 14-009-CMP-FB
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
CREDIT SUISSE AG
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE ALLEGATIONS ARE RELATED TO THE OPERATION BY CREDIT SUISSE AG ("CSAG") OF A REPRESENTATIVE OFFICE IN NEW YORK CITY WHICH ENGAGED IN INVESTMENT ADVISORY ACTIVITIES THAT WERE NOT PERMISSIBLE FOR A REPRESENTATIVE OFFICE TO CONDUCT UNDER PROVISIONS OF THE IBA AND REGULATION K OF THE BOARD OF GOVERNORS; AND WHICH FACILITATED ACTIVITIES OF CSAG REPRESENTATIVES IN OPENING FINANCIAL ACCOUNTS FOR U.S. TAXPAYERS THAT, IN CERTAIN INSTANCES, WERE NOT REPORTED TO THE U.S. GOVERNMENT. THE ALLEGATIONS ALSO CONCERN THE PROVISION OF INFORMATION TO THE FEDERAL RESERVE BANK OF NEW YORK THAT CONCEALED RELEVANT INFORMATION ABOUT THE OPERATIONS OF THE REPRESENTATIVE OFFICE. NONE OF THE ALLEGED CONDUCT IS ATTRIBUTABLE TO THE REGISTRANT OR ANY CSAG AFFILIATE THAT IS REGISTERED WITH THE COMMISSION AS AN INVESTMENT ADVISER OR BROKER-DEALER.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
05-19-2014
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$100,000,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CSAG SHALL PAY A CIVIL MONETARY PENALTY TO THE DEPARTMENT IN THE AMOUNT OF $100,000,000, PAID AT THE EXECUTION OF THE ORDER ON MAY 19, 2014.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
ON MAY 19, 2014, CSAG AGREED TO THE ISSUANCE OF A CEASE AND DESIST ORDER AND CIVIL MONEY PENALTY ASSESSMENT ISSUED BY THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM, AGREEING TO PAYMENT OF A CIVIL MONEY PENALTY IN THE AMOUNT OF $100,000,000; A LIMITATION ON REPRESENTATIVE OFFICE ACTIVITIES; ACCOUNTABILITY FOR EMPLOYEES INVOLVED IN MISCONDUCT; AND ADOPTION OF A WRITTEN MANAGEMENT OVERSIGHT PLAN. THE AGREEMENT RESOLVED CLAIMS THAT CSAG OPERATED A REPRESENTATIVE OFFICE IN NEW YORK CITY - CLOSED IN 2009 - THAT: ENGAGED IN IMPERMISSIBLE ADVISORY ACTIVITIES AND FACILITATED ACTIVITIES OF CSAG EMPLOYEES IN OPENING UNREPORTED FINANCIAL ACCOUNTS FOR U.S. TAXPAYERS; AND CONCEALED RELEVANT INFORMATION ABOUT THE OPERATIONS OF THE OFFICE FROM THE FEDERAL RESERVE BANK OF NEW YORK.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
FINANCIAL CONDUCT AUTHORITY
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
06-16-2014
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
CAPITAL PROTECTED STRUCTURED PRODUCT
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE FINANCIAL CONDUCT AUTHORITY ALLEGED INADEQUACIES IN CERTAIN FINANCIAL PROMOTIONS FOR CAPITAL PROTECTED STRUCTURED DEPOSIT PRODUCTS SOLD TO UK RETAIL CUSTOMERS BETWEEN NOVEMBER 2009 AND JUNE 2012.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
06-16-2014
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$2,398,100.00
B. Other Sanctions Ordered:
CONDUCT A PAST BUSINESS REVIEW UNDER WHICH AFFECTED RETAIL CUSTOMERS WILL BE ELIGIBLE TO CLAIM COMPENSATION.
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
PURSUANT TO A SETTLEMENT AGREEMENT, THE UK FINANCIAL CONDUCT AUTHORITY IMPOSED ON CREDIT SUISSE INTERNATIONAL ("CSI") A FINANCIAL PENALTY OF GBP 2,398,100. CSI IS ALSO REQUIRED TO CONDUCT A PAST BUSINESS REVIEW (IN CONJUNCTION WITH DISTRIBUTORS OF THE PRODUCTS) UNDER WHICH AFFECTED RETAIL CUSTOMERS WILL BE ELIGIBLE TO CLAIM COMPENSATION. THE CSI DOES NOT BELIEVE THAT THE LIKELY COSTS OF THE PAST BUSINESS REVIEW WILL MATERIALLY IMPACT ITS FINANCIAL POSITION.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE EQUITIES (AUSTRALIA)
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION (ASIC)
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-18-2015
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
MDP03/16
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CREDIT SUISSE EQUITIES (AUSTRALIA) WAS FINED FOR A "FAT-FINGER" TYPE ERROR WHICH LED TO THE PRICE OF TWO LITTLE-TRADED STOCKS INCREASING BY 42% AND 19 % RESPECTIVELY. THIS WAS AN ISOLATED INCIDENT WITH ONE SHARE TRADED IN EACH SECURITY. CS DID NOT DERIVE ANY BENEFIT FROM THE TRANSACTIONS AND CS HAS FULLY COOPERATED WITH ASIC AND TAKEN THE NECESSARY STEPS TO PREVENT REOCCURRENCE OF THE BREACH.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
05-20-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$74,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED $74,000.00 (AUSTRALIAN DOLLARS.)
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
MONETARY AUTHORITY OF SINGAPORE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
09-03-2016
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
BASED ON AN ON-SITE AML INSPECTION OF CREDIT SUISSE AG SINGAPORE BRANCH ("CSSB"), THE MONETARY AUTHORITY OF SINGAPORE ("MAS") IDENTIFIED CERTAIN AML CONTROL WEAKNESSES THAT IT CONCLUDED AMOUNTED TO SEVEN CATEGORIES OF BREACHES OF SINGAPORE'S PRINCIPAL AML REGULATION, MAS NOTICE 626. THESE FINDINGS PERTAIN TO WEAKNESSES IN AML CONTROLS GENERALLY AND ARE NOT LIMITED TO THE MANAGEMENT AND MONITORING OF ANY PARTICULAR ACCOUNTS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
05-30-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$1,700,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
SGD 1.7 MLN FINE PAID IN ONE LUMP SUM TO MAS (PAID ON 31 MAY 2017) AND THE APPOINTMENT OF AN INDEPENDENT PARTY TO ASSESS AND REPORT TO MAS ON THE EFFECTIVENESS OF REMEDIAL MEASURES ENACTED BY THE BANK.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE MAS CONCLUDED THAT CSSB BREACHED MAS NOTICE 626 IN RELATION TO ACCOUNTS THAT WERE THE SUBJECT OF THE MAS'S INSPECTION. CSSB HAS MADE A COMMITMENT TO IMPLEMENT SPECIFIC MEASURES TO STRENGTHEN ITS AML CONTROLS AND PROCESSES (IN ADDITION TO RECENT ENHANCEMENTS WHICH HAVE ALREADY BEEN MADE OVER THE PAST 12 MONTHS). THE MAS HAS FINED CSSB S$1.7M FOR THE IDENTIFIED BREACHES OF MAS NOTICE 626 FOLLOWING THE AML INSPECTION. THE MAS HAS ATTRIBUTED S$700K OF THIS FINE TO BREACHES OF AML REQUIREMENTS AND SUSPICIOUS TRANSACTIONS THAT MAY BE CONNECTED TO 1MDB AND IT IS THIS S$700K FINE THAT WAS PUBLICLY ANNOUNCED. HOWEVER, THE MAS DID NOT DETECT PERVASIVE CONTROL WEAKNESSES WITHIN CS. THE FINE WILL NOT AFFECT CSSB'S OPERATIONS AND THE BANK DOES NOT EXPECT ANY FURTHER ENFORCEMENT ACTION BY MAS ON THE MATTER.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button checked State   Radio button not checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
11-13-2017
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
NOT APPLICABLE
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
FOREIGN EXCHANGE
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE DFS'S ALLEGATIONS RELATE TO CREDIT SUISSE'S FOREIGN EXCHANGE(FX) VOICE AND ELECTRONIC TRADING BUSINESSES, INCLUDING THAT (1)CREDIT SUISSE FX VOICE TRADERS MAY HAVE MANIPULATED FX RATES BY ENGAGING IN COORDINATED TRADING OR SHARING CONFIDENTIAL INFORMATION, (2) CREDIT SUISSE INAPPROPRIATELY USED AND DISCLOSED A TRADING FEATURE KNOWN AS "LAST LOOK," AND (3) CREDIT SUISSE PROGRAMMED AN ALGORITHM THAT MAY HAVE FRONT RUN CLIENT ORDERS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
11-13-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$135,000,000.00
B. Other Sanctions Ordered:
CREDIT SUISSE WILL SUBMIT TO THE DFS WRITTEN REMEDIATION PLANS AND PROGRAMS REGARDING ITS FX BUSINESS. CREDIT SUISSE WILL ALSO ENGAGE A THIRD-PARTY CONSULTANT TO REVIEW CREDIT SUISSE'S REMEDIAL EFFORTS WITH REGARD TO ITS FX BUSINESS.
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE WAS FINE $135,000,000.00, AND WILL SUBMIT TO THE DFS WRITTEN REMEDIATION PLANS AND PROGRAMS REGARDING ITS FX BUSINESS. CREDIT SUISSE WILL ALSO ENGAGE A THIRD-PARTY CONSULTANT TO REVIEW CS'S REMEDIAL EFFORTS WITH REGARD TO ITS FX BUSINESS.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE EQUITIES (AUSTRALIA) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
AUSTRALIA SECURITIES EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
01-30-2017
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE ASX CHIEF COMPLIANCE OFFICER, HAS DETERMINED THAT CREDIT SUISSE EQUITIES (AUSTRALIA) LIMITED ("CSEAL") DID NOT COMPLY WITH ITS OBLIGATIONS UNDER: 1) ASX SETTLEMENT OPERATING RULE ("ASX SR") 4.18.1, TO HAVE ADEQUATE RESOURCES AND PROCESSES TO COMPLY WITH ITS OBLIGATIONS AS A PARTICIPANT; AND 2) ASX SR 4.7.1(B), TO MEET THE TECHNICAL AND PERFORMANCE REQUIREMENTS APPLICABLE TO PARTICIPANTS BY FAILING TO HAVE SUCH SETTLEMENT AND RECORDING SYSTEMS AS ARE NECESSARY FOR ITS OPERATIONS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
11-27-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$30,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE WAS FINED $30,000
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
AUSTRALIA SECURITIES EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
06-11-2017
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
ASX CLEAR (FUTURES)
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
MATTER 1:THE CCO HAS DETERMINED THAT CREDIT SUISSE AG, SYDNEY BRANCH ("CS-AG") DID NOT COMPLY WITH ASX CLEAR (FUTURES) OPERATING RULE ("ASX CFR") 46.5 AND RULE 46.5 OF THE ASX CLEAR (FUTURES) PROCEDURES, DETERMINATIONS AND PRACTICE NOTES (THE "DIRECTION"), BY FAILING TO CLOSE OUT BACK-TO-BACK OPEN POSITIONS IN ACCORDANCE WITH THE DIRECTION, RESULTING IN ITS REPORTED DAILY BENEFICIAL OWNERSHIP REPORT ("DBOR") DAY 1 POSITIONS BEING INACCURATE IN CONTRAVENTION OF ASX 24 OPERATING RULE 6704 (EACH A "CONTRAVENTION"). MATTER 2: CS AG CONDUCTED A REVIEW OF THE PRE-SUBMISSION RECONCILIATION CHECK FOR DBOR REPORTING. THE REVIEW IDENTIFIED THAT THE SAME OMNIBUS ACCOUNT SYSTEM SHOWED A POSITION OF 1 LONG AND 1 SHORT IN PARTICULAR CONTRACT FOR A RELATED ENTITY, WHILE IN CS-AG'S SYSTEM THESE TWO POSITIONS WERE NETTED TO ZERO. CS-AG WENT ON TO IDENTIFY FOUR AFFILIATED ENTITIES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
08-24-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$50,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE AG, SYDNEY BRANCH WAS FINE $50,000.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SECURITIES AND FUTURES COMMISSION OF HONG KONG
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-08-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
AS DESCRIBED MORE FULLY IN RESPONSE TO QUESTION 7 BELOW, THIS MATTER WAS A COMPENDIOUS RESOLUTION OF A NUMBER OF HISTORICAL, LEGACY INTERNAL CONTROL ISSUES IN THE HONG KONG EQUITIES AND PRIVATE BANKING BUSINESSES.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON 2/8/2018, HONG KONG SFC ANNOUNCED IT HAD REACHED RESOLUTION WITH 3 HONG KONG CS ENTITIES TO RESOLVE REGULATORY BREACHES AND INTERNAL CONTROL FAILURES RELATING TO CS'S HONG KONG-BASED EQUITIES AND PRIVATE BANKING BUSINESSES. RESOLUTION RELATES TO THE FOLLOWING: 1) SHORT POSITION REPORTING 2) SEGREGATION OF CLIENT SECURITIES 3) REGULATORY REPORTING OF DIRECT BUSINESS TRANSACTIONS 4) SHORT SELLING ACTIVITIES 5) ENSURING SUITABILITY OF RISK MISMATCH TRANSACTIONS FOR PRIVATE BANKING CLIENTS 6) ELECTRONIC TRADING AND 7) DISCLOSURE IN CONTRACT NOTES AND CHARGING OF COMMISSIONS TO PRIVATE BANKING CLIENTS. SFC AND CS JOINTLY ENGAGED INDEPENDENT REVIEWERS TO REVIEW CS'S INTERNAL SYSTEMS AND CONTROLS. IN REACHING RESOLUTION, SFC TOOK INTO ACCOUNT THAT CS HAD SELF-REPORTED ITS BREACHES AND INVOLVED SENIOR MANAGEMENT AT EARLY STAGES TO ADDRESS SFC CONCERNS, THAT CS HAD FULLY COOPERATED IN SFC INQUIRIES AND IN RESOLVING SFC REGULATORY CONCERNS, AND HAD TAKEN REMEDIAL ACTIONS TO STRENGTHEN INTERNA
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-08-2018
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$5,025,575.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE (HONG KONG) LIMITED WAS FINED $2,301,790.00, CREDIT SUISSE SECURITIES (HONG KONG) LIMITED WAS FINED $1,150,895.00, AND CREDIT SUISSE AG, HONG KONG BRANCH WAS FINED $1,572,890.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE FINE WAS PAID ON FEBRUARY 8, 2018.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE (HONG KONG) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SECURITIES AND FUTURES COMMISSION OF HONG KONG
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-08-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
AS DESCRIBED MORE FULLY IN RESPONSE TO QUESTION 7 BELOW, THIS MATTER WAS A COMPENDIOUS RESOLUTION OF A NUMBER OF HISTORICAL, LEGACY INTERNAL CONTROL ISSUES IN THE HONG KONG EQUITIES AND PRIVATE BANKING BUSINESSES.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON 2/8/2018, HONG KONG SFC ANNOUNCED IT HAD REACHED RESOLUTION WITH 3 HONG KONG CS ENTITIES TO RESOLVE REGULATORY BREACHES AND INTERNAL CONTROL FAILURES RELATING TO CS'S HONG KONG-BASED EQUITIES AND PRIVATE BANKING BUSINESSES. RESOLUTION RELATES TO THE FOLLOWING: 1) SHORT POSITION REPORTING 2) SEGREGATION OF CLIENT SECURITIES 3) REGULATORY REPORTING OF DIRECT BUSINESS TRANSACTIONS 4) SHORT SELLING ACTIVITIES 5) ENSURING SUITABILITY OF RISK MISMATCH TRANSACTIONS FOR PRIVATE BANKING CLIENTS 6) ELECTRONIC TRADING AND 7) DISCLOSURE IN CONTRACT NOTES AND CHARGING OF COMMISSIONS TO PRIVATE BANKING CLIENTS. SFC AND CS JOINTLY ENGAGED INDEPENDENT REVIEWERS TO REVIEW CS'S INTERNAL SYSTEMS AND CONTROLS. IN REACHING RESOLUTION, SFC TOOK INTO ACCOUNT THAT CS HAD SELF-REPORTED ITS BREACHES AND INVOLVED SENIOR MANAGEMENT AT EARLY STAGES TO ADDRESS SFC CONCERNS, THAT CS HAD FULLY COOPERATED IN SFC INQUIRIES AND IN RESOLVING SFC REGULATORY CONCERNS, AND HAD TAKEN REMEDIAL ACTIONS TO STRENGTHEN INTERNA
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-08-2018
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$5,025,575.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE (HONG KONG) LIMITED WAS FINED $2,301,790.00, CREDIT SUISSE SECURITIES (HONG KONG) LIMITED WAS FINED $1,150,895.00, AND CREDIT SUISSE AG, HONG KONG BRANCH WAS FINED $1,572,890.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE FINE WAS PAID ON FEBRUARY 8, 2018.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE SECURITIES (HONG KONG) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
SECURITIES AND FUTURES COMMISSION OF HONG KONG
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-08-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
AS DESCRIBED MORE FULLY IN RESPONSE TO QUESTION 7 BELOW, THIS MATTER WAS A COMPENDIOUS RESOLUTION OF A NUMBER OF HISTORICAL, LEGACY INTERNAL CONTROL ISSUES IN THE HONG KONG EQUITIES AND PRIVATE BANKING BUSINESSES.
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON 2/8/2018, HONG KONG SFC ANNOUNCED IT HAD REACHED RESOLUTION WITH 3 HONG KONG CS ENTITIES TO RESOLVE REGULATORY BREACHES AND INTERNAL CONTROL FAILURES RELATING TO CS'S HONG KONG-BASED EQUITIES AND PRIVATE BANKING BUSINESSES. RESOLUTION RELATES TO THE FOLLOWING: 1) SHORT POSITION REPORTING 2) SEGREGATION OF CLIENT SECURITIES 3) REGULATORY REPORTING OF DIRECT BUSINESS TRANSACTIONS 4) SHORT SELLING ACTIVITIES 5) ENSURING SUITABILITY OF RISK MISMATCH TRANSACTIONS FOR PRIVATE BANKING CLIENTS 6) ELECTRONIC TRADING AND 7) DISCLOSURE IN CONTRACT NOTES AND CHARGING OF COMMISSIONS TO PRIVATE BANKING CLIENTS. SFC AND CS JOINTLY ENGAGED INDEPENDENT REVIEWERS TO REVIEW CS'S INTERNAL SYSTEMS AND CONTROLS. IN REACHING RESOLUTION, SFC TOOK INTO ACCOUNT THAT CS HAD SELF-REPORTED ITS BREACHES AND INVOLVED SENIOR MANAGEMENT AT EARLY STAGES TO ADDRESS SFC CONCERNS, THAT CS HAD FULLY COOPERATED IN SFC INQUIRIES AND IN RESOLVING SFC REGULATORY CONCERNS, AND HAD TAKEN REMEDIAL ACTIONS TO STRENGTHEN INTERNA
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-08-2018
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$5,025,575.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE (HONG KONG) LIMITED WAS FINED $2,301,790.00, CREDIT SUISSE SECURITIES (HONG KONG) LIMITED WAS FINED $1,150,895.00, AND CREDIT SUISSE AG, HONG KONG BRANCH WAS FINED $1,572,890.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE FINE WAS PAID ON FEBRUARY 8, 2018.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE FUTURES EUROPE
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
WRITTEN WARNING
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
10-18-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
FUTURES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE FUTURES EUROPE CONDUCTED AN INVESTIGATION INTO THE CLOSING OF A SPOT MONTH POSITION BY CSI WHICH VIOLATED ICE RULE F8.1(C), WHICH FORBIDS POSITION TRANSFERS WHICH HAVE THE EFFECT OF OFF-SETTING (CLOSING-OUT) EXISTING OPEN POSITIONS IN THE SPOT MONTH OF THE CONTRACT. THE WARNING ACKNOWLEDGES THAT ALTHOUGH CSI DID TAKE VARIOUS ISSUES INTO CONSIDERATIONS PRIOR TO THE POSITION TRANSFER IT FAILED TO CONSIDER THE EFFECT OF AUTO NETTING.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
11-21-2018
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox not checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
B. Other Sanctions Ordered:
SEE BELOW
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
WRITTEN WARNING WHICH ACKNOWLEDGES THAT ALTHOUGH CSI DID TAKE VARIOUS ISSUES INTO CONSIDERATIONS PRIOR TO THE POSITION TRANSFER IT FAILED TO CONSIDER THE EFFECT OF AUTO NETTING.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
THE WARNING MAY BE TAKEN INTO CONSIDERATION SHOULD ANY FURTHER INCIDENTS OF A SIMILAR NATURE ARISE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox not checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE(SINGAPORE) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button not checked SRO   Radio button checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
KOREAN FINANCIAL SERVICES COMMISSION (FSC)
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-24-2021
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
THE KOREAN FINANCIAL SERVICES COMMISSION (FSC) IMPOSED AN ADMINISTRATIVE FINE UPON CREDIT SUISSE (SINGAPORE) LIMITED (CSSL) IN CONNECTION WITH THREE POTENTIAL UNCOVERED SHORT SALES OF KOREAN-LISTED SECURITIES DATING FROM JANUARY AND JUNE 2018. THE POTENTIAL UNCOVERED SHORT SALES WERE ISOLATED AND UNINTENTIONAL IN NATURE. IN EACH CASE, CSSL WAS ABLE TO SECURE THE INVENTORY NECESSARY TO ENSURE THERE WERE NO SETTLEMENT FAILURES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-24-2021
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$87,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE KOREAN FINANCIAL SERVICES COMMISSION IMPOSED A FINE OF KRW 97,200,000, APPROXIMATELY $87,000 USD. AFTER EARLY PAYMENT DISCOUNT FROM FSC, CSSL ULTIMATELY PAID KRW 77,760,000, APPROXIMATELY $68,600 USD.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
WE UNDERSTAND THAT CSSL'S NAME WILL BE REDACTED FROM THE PUBLIC RECORD OF THE HEARINGS AND ADMINISTRATIVE SANCTION.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
000007973
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button checked Yes Radio button not checked No
NAME
SWISS AMERICAN SECURITIES INC.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button checked Yes Radio button not checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
FIRST BOSTON FUTURES INC.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
THE CHICAGO MERCANTILE EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-07-1989
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
89-CH-8906
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ALLEGED LATE DELIVERY OF CURRENCIES UNDERLYING CERTAIN FUTURES CONTRACTS.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
03-27-1989
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$1,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
FIRST BOSTON FUTURES INC. WAS FINED $1000.00 BY THE CHICAGO MERCANTILE EXCHANGE
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
000007973
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button checked Yes Radio button not checked No
NAME
SWISS AMERICAN SECURITIES INC.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button checked Yes Radio button not checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FIRST BOSTON (EUROPE) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
CHICAGO BOARD OF TRADE FLOOR GOVERNORS COMMITTEE ("COMMITTEE")
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
SEE BELOW
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
03-26-2002
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2002-INV-1B
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
CREDIT SUISSE FIRST BOSTON (EUROPE) LIMITED
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
WITHOUT ADMITTING OR DENYING ANY VIOLATION, CSFB CONSENTED TO THE ENTRY OF A CONCLUSION THAT THE FLOOR GOVERNORS COMMITTEE HAD REASON TO BELIEVE THAT CSFB VIOLATED REGULATION 9B.16, IN THAT ORDERS ARISING FROM PRE-EXECUTION DISCUSSIONS FACILITATED BY CSFB'S FOREIGN AFFILIATE WERE NOT ENTERED IN ACCORDANCE WITH PRESCRIBED REQUIREMENTS; AND REGULATION 9B.16A, IN THAT CSFB'S FOREIGN AFFILIATE KNOWINGLY ASSUMED THE OPPOSITE SIDE OF ORDERS ENTERED ON BEHALF OF ITS OWN ACCOUNT.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
05-16-2002
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$15,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
A FINE OF $15,000.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE CLEAR CREDIT LLC
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
SEE BELOW
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-23-2015
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2015-404B-028
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
INDEX END-OF-DAY PRICES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE CLEAR CREDIT DETERMINED THAT CREDIT SUISSE INTERNATIONAL FAILED TO SUBMIT 252 SINGLE NAME END-OF-DAY PRICES AND 32 INDEX END-OF-DAY PRICES ON JUNE 15, 2015, IN VIOLATION OF ICE CLEAR CREDIT RULE 404(B).
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
08-11-2015
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$102,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM IS FINED $102,000.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
CBOE FUTURES EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
10-30-2013
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
CFE 15-0011
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON SEPTEMBER 30, 2015, THE BUSINESS CONDUCT COMMITTEE FOR THE CBOE FUTURES EXCHANGE ACCEPTED A LETTER OF CONSENT FROM CREDIT SUISSE AG RELATING TO CERTAIN ALLEGED TECHNICAL VIOLATIONS OF CFE RULE 412B (REPORTABLE POSITIONS). THE SETTLEMENT AGREEMENT, WHICH CREDIT SUISSE AG ENTERED INTO ON A WITHOUT-ADMITTING-OR-DENYING BASIS, (A) INCLUDES FINDINGS THAT ON VARIOUS OCCASIONS FROM OCTOBER 2013 THROUGH MAY 2015, CREDIT SUISSE AG FAILED TO FILE LARGE TRADER REPORTABLE POSITIONS TO THE CBOE FUTURES EXCHANGE ELECTRONICALLY, VIA THE SECURITIES INDUSTRY AUTOMATION CORPORATION ("SIAC") IN VIOLATION OF CFE RULE 412B; AND (B) REFLECTS CREDIT SUISSE AG'S AGREEMENT TO PAY A $15,000 FINE.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
09-30-2015
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$15,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE AG WAS FINED $15,000.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
CREDIT SUISSE AG CONSENTED, WITHOUT ADMITTING OR DENYING THE FINDINGS, TO A SETTLEMENT WITH CBOE FUTURES EXCHANGE (CFE) OF POTENTIAL CHARGES ARISING OUT OF ALLEGED TECHNICAL VIOLATIONS OF CFE RULE 412B (REPORTABLE POSITIONS) FOR THE PERIOD OCTOBER 2013 THROUGH MAY 2015. AS PART OF THE SETTLEMENT, CREDIT SUISSE AG AGREED TO PAY A $15,000 FINE.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE CLEAR CREDIT LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
01-06-2016
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2015-404B-048
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox checked Other
If Other is selected, please describe
CREDIT DEFAULT SWAP
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE CLEAR CREDIT LLC DETERMINED THAT CREDIT SUISSE INTERNATIONAL FAILED TO SUBMIT FIFTY-THREE (53) INDEX END OF DAY PRICES ON DECEMBER 11, 2015, IN VIOLATION OF RULE 404B.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-01-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$53,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED $53,000.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE CLEAR CREDIT LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
06-02-2016
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2016-404B-017
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE CLEAR CREDIT DETERMINED THAT CREDIT SUISSE INTERNATIONAL FAILED TO SUBMIT 2 INDEX END OF DAY PRICES DURING MAY 2016, IN VIOLATION OF ICE CLEAR CREDIT RULE 404(B).
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
06-20-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$2,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED $2,000
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
CHICAGO MERCANTILE EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-22-2014
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
15-0151-BC
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
PURSUANT TO A SETTLEMENT AGREEMENT IN WHICH CREDIT SUISSE INTERNATIONAL ("CSI") NEITHER ADMITTED NOR DENIED THE RULE VIOLATIONS UPON WHICH THE PENALTY IS BASED, THE CME FINDS THAT ON JUNE 23, 2014, CSI ENTERED INTO AN EXCHANGE FOR RELATED POSITION ("EFRP") TRANSACTION WHEREBY IT BOUGHT E-MINI S&P 500 FUTURES AND SOLD SPDR S&P 500 EXCHANGE TRADED FUND ("SPY") CONTRACTS. CONTEMPORANEOUS WITH THE EXECUTION OF THE EFRP, CSI BOUGHT THE SPY CONTRACTS AND SOLD CBOE SEPTEMBER 2014 1950 STRIKE S&P 500 INDEX ("SPX") OPTION COMBOS WITH THE SAME COUNTERPARTY. THE SPY CONTRACTS, USED AT THE RELATED POSITION IN THE EFRP TRANSACTION, WERE IMMEDIATELY OFFSET. FURTHER, THE EXECUTIONS OF THE TWO TRANSACTIONS INVOLVING THE SPY CONTRACTS WERE NOT INDEPENDENT TRANSACTIONS EXPOSED TO MARKET RISK AND THEREFORE RESULTED IN A "TRANSITORY" EFRP. MOREOVER, THE CME CONCLUDED THAT THIS WAS NOT A BONA FIDE EFRP AND THAT CSI VIOLATED CME RULE 538.A.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
06-21-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$15,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED $15,000
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
BLOOMBERG SEF LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
03-23-2016
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox checked Other
If Other is selected, please describe
CREDIT DEFAULT SWAP
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CREDIT SUISSE INTERNATIONAL HAS VIOLATED BSEF RULE 516 BY FAILING TO NOTIFY AND RECEIVE APPROVAL FROM BSEF PRIOR TO ENTERING INTO OFFSETTING AND CORRECTING TRADES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
06-27-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$1,250.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CREDIT SUISSE INTERNATIONAL WAS FINED $1250.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE CLEAR CREDIT LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
08-01-2016
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
ICE CLEAR CREDIT MATTER NO. 2016-404B-027
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE CLEAR CREDIT LLC ALLEGED THAT CREDIT SUISSE INTERNATIONAL("CSI") FAILED TO SUBMIT ONE INDEX END OF DAY PRICE IN ACCORDANCE WITH THE ICE CLEAR CREDIT RULES AND PROCEDURES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
08-23-2016
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$1,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
ON AUGUST 23, 2016, ICE CLEAR CREDIT ASSESSED A $1,000 PENALTY AGAINST CSI TO BE BILLED IN A MONTHLY CLEARING FEE INVOICE.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
BLOOMBERG SEF, LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
01-30-2017
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
N/A
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
BLOOMBERG SEF (BSEF) HAS CONCLUDED THAT CSI VIOLATED BSEF RULE 516.A, "TRADE CANCELLATION, CORRECTION, OFFSET AND ADJUSTMENT" BY INCLUDING TICKETING COSTS IN THE PRICE OF THE OFFSETTING TRADE AND FAILING TO MATCH ALL OFFSETTING TERMS WITH THE CORRESPONDING ERROR TRADE. BSEF RULE 516.A(G) REQUIRES THAT "OFFSETTING TERMS" MATCH ALL OF THE TERMS OF THE CORRESPONDING ERROR TRADE ASIDE FROM THE DIRECTION OF THE TRADE. SPECIFICALLY, CSI AND WESTERN ASSET MANAGEMENT COMPANY ("WESTERN ASSET") AGREED TO EXECUTE OFFSETTING AND CORRECTING TRADES TO CORRECT AN INITIAL TRANSACTION THAT WAS EXECUTED AT THE WRONG PRICE. THE PARTIES RECEIVED THE PRIOR APPROVAL OF BSEF TO OFFSET AND CORRECT THE ERROR TRADE. HOWEVER, THE CORRECTION TRADE WAS EXECUTED AT A PRICE THAT WAS ADJUSTED TO INCLUDE THE TICKET COSTS OF THE OFFSETTING AND CORRECTION TRADES, IN VIOLATION OFBSEF RULE 516.A(G). CSI WAS FINED $1,750 FOR THIS VIOLATION, AS THIS WAS THE THIRD VIOLATION OF BSEF RULE 516 IN 2016.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
01-30-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$1,750.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED $1750.00
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE CLEAR CREDIT LLC
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
07-07-2017
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
ICE CLEAR CREDIT MATTER NO. 2017-404B-014
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button not checked Other
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ICE CLEAR CREDIT LLC ALLEGED THAT CSI FAILED TO SUBMIT 72 SINGLE NAME AND 1 INDEX END-OF-DAY PRICES IN ACCORDANCE WITH THE ICE CLEAR CREDIT RULES AND PROCEDURES.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
07-27-2017
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$61,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
THE FIRM WAS FINED.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
ON JULY 27, 2017, ICE CLEAR CREDIT ASSESSED A $61,000 PENALTY AGAINST CSI TO BE BILLED IN A MONTHLY CLEARING FEE INVOICE. THE INVOICE IS EXPECTED TO BE ISSUED ON SEPTEMBER 5, 2017 AND DUE FOR COLLECTION ON SEPTEMBER 21, 2017.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
NEW YORK MERCANTILE EXCHANGE
2. Principal Sanction: (check appropriate item) Radio button checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button not checked Other
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
05-30-2018
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
NYMEX 18-0956-BC
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
FUTURES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
ON THE MORNING OF MAY 30, 2018, THE EXCHANGE NOTIFIED CSI THAT IT HELD A FUTURES-EQUIVALENT SHORT POSITION OF 239 NYMEX JUNE 2018 PALLADIUM FUTURE ("JUNE18 PA") CONTRACTS AND THE POSITION OF 50 JUN18 PA WOULD BE GOING INTO EFFECT AT THE CLOSE OF BUSINESS ON MAY 30, 2018. DESPITE SUCH NOTICE, CSI DID NOT REDUCE ITS POSITION BELOW THE APPLICABLE LIMIT BY THE CLOSE OF BUSINESS ON MAY 30, 2018 AND THEREFORE EXCEEDED THE POSITION LIMIT IN THE JUN18 PA CONTRACT BY 189 CONTRACTS OR 378%.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button not checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
01-31-2019
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$95,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
CSI ORDERED TO PAY A FINE TO THE EXCHANGE IN THE AMOUNT OF $95,000.00.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
CSI NEITHER ADMITS NOR DENIES THE FINDINGS OR RULE VIOLATION UPON WHICH THE PENALTY IS BASED. THE BCC PANEL FINDS THAT CSI VIOLATED EXCHANGE RULE 562 AND ORDERED CSI TO PAY A FINE TO THE EXCHANGE IN THE AMOUNT OF $95,000.
This Disclosure Reporting Page [(DRP SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14C, 14D, 14E, 14F, or 14G of Form SBSE; Radio button not checked INITIAL Radio button checked AMENDED
Check item(s) being responded to:
14C. Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever:
Checkbox not checked (1) Found the principal to have made a false statement or omission?
Checkbox not checked (2) Found the principal to have been involved in a violation of its regulations or statutes?
Checkbox not checked (3) the principal to have been a cause of an investment-related business having its authorization to do business denied, revoked, or restricted?
Checkbox not checked (4) Entered an order against the principal in connection with investment-related activity?
Checkbox not checked (5) Imposed a civil money penalty on the principal, or ordered the principal to cease and desist from any activity?
14D. Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority:
Checkbox not checked (1) Ever found the principal to have made a false statement or omission or been dishonest, unfair, or unethical?
Checkbox not checked (2) Ever found the principal to have been involved in a violation of investment-related regulations or statutes?
Checkbox not checked (3) Ever found the principal to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) In the past ten years, entered an order against the principal in connection with an investment-related activity?
Checkbox not checked (5) Ever denied, suspended, or revoked the principal's registration or license or otherwise, by order, prevented it from associating with an investment-related business or restricted its activities?
14E. Has any self-regulatory organization or commodities exchange ever:
Checkbox not checked (1) found the principal to have made a false statement or omission?
Checkbox checked (2) found the principal to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the U.S. Securities and exchange Commission)?
Checkbox not checked (3) found the principal to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted?
Checkbox not checked (4) Disciplined the principal by expelling or suspending it from membership, barring or suspending its association with other members, or otherwise restricting its activities?
14F.
Checkbox not checked Has the applicant's or a control affiliate's authorization to act as an attorney, accountant, or federal contractor ever been revoked or suspended?
14G.
Checkbox not checked Is the applicant or a control affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of 14C, D, or E?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page.

One event may result in more than one affirmative answer to Items 14C, 14D, 14E, 14F or 14G. Use only one DRP to report details related to the same event. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE INTERNATIONAL
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE FUTURES U.S., INC.
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
MONETARY FINE
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-27-2020
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2018-37
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
MSCI EMERGING MARKETS INDEX FUTURE
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CREDIT SUISSE INTERNATIONAL ("CSI") AND CREDIT SUISSE SECURITIES (EUROPE) LIMITED ("CSSEL") AGREED ON A WITHOUT-ADMITTING-OR DENYING BASIS TO RESOLVE THE MATTER. ICE FUTURES U.S. ("IFUS") EXCHANGE DETERMINED THAT CSSEL AND CSI MAY HAVE VIOLATED EXCHANGE RULE 4.02(C) IN ONE INSTANCE BY EXECUTING A BLOCK TRADE BETWEEN EACH OTHER THAT RESULTED IN A WASH TRADE, AND EXCHANGE RULE 4.07(C) IN ONE INSTANCE BY REPORTING THE BLOCK TRADE TO THE EXCHANGE PAST THE 15-MINUTE WINDOW FROM ITS EXECUTION. THE IFUS BUSINESS CONDUCT COMMITTEE (BCC) FURTHER DETERMINED THAT CSSEL MAY HAVE VIOLATED EXCHANGE RULE 4.07(C) IN AN ADDITIONAL INSTANCE BY REPORTING THE BLOCK TRADE TO THE EXCHANGE AS A BLOCK AT INDEX CLOSE (BIC) WHEN THE TRADE DID NOT MEET THE DEFINITION OF A BIC TRADE
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-27-2020
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$40,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
IFUS IMPOSED A $15,000 FINE ON CSI, AND A $25,000 FINE ON CSSEL.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE SECURITIES (EUROPE) LIMITED
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate(s) is registered through the CRD, has the control affiliate(s) submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Regulatory Action initiated by: Radio button not checked SEC   Radio button not checked Other Federal   Radio button not checked State   Radio button checked SRO   Radio button not checked Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state or SRO)
ICE FUTURES U.S., INC.
2. Principal Sanction: (check appropriate item) Radio button not checked Civil and Administrative Penalty(ies)/Fine(s)
Radio button not checked Bar
Radio button not checked Cease and Desist
Radio button not checked Censure
Radio button not checked Denial
Radio button not checked Disgorgement
Radio button not checked Expulsion
Radio button not checked Injunction
Radio button not checked Prohibition
Radio button not checked Reprimand
Radio button not checked Restitution
Radio button not checked Revocation
Radio button not checked Suspension
Radio button not checked Undertaking
Radio button checked Other
If Other is selected, please describe
MONETARY FINE
Other Sanctions:
Checkbox not checked Civil and Administrative Penalty(ies)/Fine(s)
Checkbox not checked Bar
Checkbox not checked Cease and Desist
Checkbox not checked Censure
Checkbox not checked Denial
Checkbox not checked Disgorgement
Checkbox not checked Expulsion
Checkbox not checked Injunction
Checkbox not checked Prohibition
Checkbox not checked Reprimand
Checkbox not checked Restitution
Checkbox not checked Revocation
Checkbox not checked Suspension
Checkbox not checked Undertaking
Checkbox not checked Other
3. Date Initiated (MM/DD/YYYY)
02-27-2020
Specify if Date Initiated is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4.Docket/Case Number:
2018-37
5. Control Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
MSCI EMERGING MARKETS INDEX FUTURE
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
7. Describe the allegations related to this regulatory action. (The information must fit within the space provided.):
CREDIT SUISSE INTERNATIONAL ("CSI") AND CREDIT SUISSE SECURITIES (EUROPE) LIMITED ("CSSEL") AGREED ON A WITHOUT-ADMITTING-OR DENYING BASIS TO RESOLVE THE MATTER. ICE FUTURES U.S. ("IFUS") EXCHANGE DETERMINED THAT CSSEL AND CSI MAY HAVE VIOLATED EXCHANGE RULE 4.02(C) IN ONE INSTANCE BY EXECUTING A BLOCK TRADE BETWEEN EACH OTHER THAT RESULTED IN A WASH TRADE, AND EXCHANGE RULE 4.07(C) IN ONE INSTANCE BY REPORTING THE BLOCK TRADE TO THE EXCHANGE PAST THE 15-MINUTE WINDOW FROM ITS EXECUTION. THE IFUS BUSINESS CONDUCT COMMITTEE (BCC) FURTHER DETERMINED THAT CSSEL MAY HAVE VIOLATED EXCHANGE RULE 4.07(C) IN AN ADDITIONAL INSTANCE BY REPORTING THE BLOCK TRADE TO THE EXCHANGE AS A BLOCK AT INDEX CLOSE (BIC) WHEN THE TRADE DID NOT MEET THE DEFINITION OF A BIC TRADE.
8. Current Status ? Radio button not checked Pending   Radio button not checked On Appeal   Radio button checked Final

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.

10. How was matter resolved: (check appropriate item) Radio button not checked Acceptance, Waiver & Consent (AWC)
Radio button not checked Decision & Order of Offer of Settlement
Radio button not checked Decision
Radio button not checked Consent
Radio button not checked Dismissed
Radio button not checked Order
Radio button checked Settled
Radio button not checked Stipulation and Consent
Radio button not checked Vacated
11. Resolution Date (MM/DD/YYYY)
02-27-2020
Specify if Resolution Date is Exact or needs an Explanation:
Radio button checked Exact Radio button not checked Explanation
12. A. Were any of the following Sanctions Ordered? (Check all appropriate items): Checkbox checked Monetary/Fine
Checkbox not checked Revocation/Expulsion/Denial
Checkbox not checked Censure
Checkbox not checked Cease and Desist/Injunction
Checkbox not checked Disgorgement/Restitution
Checkbox not checked Bar
Checkbox not checked Suspension
Amount:
$40,000.00
B. Other Sanctions Ordered:
C. Sanction Detail: If suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial Operations Principal, etc.). If requalification, by exam/retraining was a condition of the sanction, provide length of time given to re-qualify/retrain, type of exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation, provide total amount, portion levied against principal, date paid and if any portion of penalty was waived.
IFUS IMPOSED A $15,000 FINE ON CSI, AND A $25,000 FINE ON CSSEL.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates. (The information must fit within the space provided.)
SEE ABOVE

CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (SBSE)

GENERAL INSTRUCTIONS

You must provide a valid response to each question on every section of this DRP before any of your information can be saved. Invalid or incomplete responses will prevent you from closing the DRP with your information saved. It is recommended that you consult the Print Form of this DRP to make sure you have gathered all the required information before beginning your entry of information online.

This Disclosure Reporting Page [DRP (SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14H of Schedule D of Form SBSE; Radio button checked INITIAL Radio button not checked AMENDED
Check item(s) being responded to:
14H (1) Has any domestic or foreign civil judicial court:
Checkbox checked (a) in the past ten years, enjoined the applicant or a control affiliate in connection with any investment-related activity?
Checkbox checked (b) ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
Checkbox checked (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the applicant or a control affiliate by a state or foreign financial regulatory authority?
14H (2)
Checkbox checked Is the applicant or a control affiliate now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of 14H(1)?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item 14H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
000000816
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button checked Yes Radio button not checked No
NAME
CREDIT SUISSE SECURITIES (USA) LLC
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button checked Yes Radio button not checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

This Disclosure Reporting Page [DRP (SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14H of Schedule D of Form SBSE; Radio button checked INITIAL Radio button not checked AMENDED
Check item(s) being responded to:
14H (1) Has any domestic or foreign civil judicial court:
Checkbox not checked (a) in the past ten years, enjoined the applicant or a control affiliate in connection with any investment-related activity?
Checkbox not checked (b) ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
Checkbox not checked (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the applicant or a control affiliate by a state or foreign financial regulatory authority?
14H (2)
Checkbox checked Is the applicant or a control affiliate now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of 14H(1)?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item 14H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
ASSET BACKED SECURITIES CORPORATION
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PEOPLE OF THE STATE OF NEW YORK BY ERIC SCHNEIDERMAN, ATTORNEY GENERAL
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW YORK
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox not checked Injunction
Checkbox checked Money Damages (Private/Civil Complaint)
Checkbox checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ACCOUNTING
3. Filing Date of Court Action (MM/DD/YYYY)
11-20-2012
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE BACKED SECURITIES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPREME COURT OF THE STATE OF NEW YORK
Location of Court
City or County
COUNTY OF NEW YORK
State or Country
NEW YORK
Docket /Case Number
451802/2012
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THENYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
11-28-2012
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THE NYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PEOPLE OF THE STATE OF NEW YORK BY ERIC SCHNEIDERMAN, ATTORNEY GENERAL
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW YORK
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox not checked Injunction
Checkbox checked Money Damages (Private/Civil Complaint)
Checkbox checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ACCOUNTING
3. Filing Date of Court Action (MM/DD/YYYY)
11-20-2012
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE BACKED SECURITIES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPREME COURT OF THE STATE OF NEW YORK
Location of Court
City or County
COUNTY OF NEW YORK
State or Country
NEW YORK
Docket /Case Number
451802/2012
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THENYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
11-28-2012
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THE NYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PEOPLE OF THE STATE OF NEW YORK BY ERIC SCHNEIDERMAN, ATTORNEY GENERAL
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW YORK
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox not checked Injunction
Checkbox checked Money Damages (Private/Civil Complaint)
Checkbox checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ACCOUNTING
3. Filing Date of Court Action (MM/DD/YYYY)
11-20-2012
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE BACKED SECURITIES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPREME COURT OF THE STATE OF NEW YORK
Location of Court
City or County
COUNTY OF NEW YORK
State or Country
NEW YORK
Docket /Case Number
451802/2012
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THENYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
11-28-2012
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THE NYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
DLJ MORTGAGE CAPITAL INC.
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PEOPLE OF THE STATE OF NEW YORK BY ERIC SCHNEIDERMAN, ATTORNEY GENERAL
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW YORK
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox not checked Injunction
Checkbox checked Money Damages (Private/Civil Complaint)
Checkbox checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ACCOUNTING
3. Filing Date of Court Action (MM/DD/YYYY)
11-20-2012
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE BACKED SECURITIES
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPREME COURT OF THE STATE OF NEW YORK
Location of Court
City or County
COUNTY OF NEW YORK
State or Country
NEW YORK
Docket /Case Number
451802/2012
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THENYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
11-28-2012
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON NOVEMBER 20, 2012, THE NEW YORK ATTORNEY GENERAL ("NYAG") FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, F/K/A CREDIT SUISSE FIRST BOSTON LLC, DLJ MORTGAGE CAPITAL, INC., CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORPORATION, ASSET BACKED SECURITIES CORPORATION AND CREDIT SUISSE MORTGAGE ACCEPTANCE CORPORATION (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN PROMOTING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES. IN PARTICULAR, THE NYAG ALLEGES THAT CREDIT SUISSE MISREPRESENTED ITS DUE DILIGENCE AND QUALITY CONTROL PROCESSES
This Disclosure Reporting Page [DRP (SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14H of Schedule D of Form SBSE; Radio button checked INITIAL Radio button not checked AMENDED
Check item(s) being responded to:
14H (1) Has any domestic or foreign civil judicial court:
Checkbox not checked (a) in the past ten years, enjoined the applicant or a control affiliate in connection with any investment-related activity?
Checkbox not checked (b) ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
Checkbox not checked (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the applicant or a control affiliate by a state or foreign financial regulatory authority?
14H (2)
Checkbox checked Is the applicant or a control affiliate now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of 14H(1)?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item 14H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button not checked Applicant and one or more control affiliate(s)
Radio button checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
JOHN J. HOFFMAN, ACTING ATTORNEY GENERAL OF NEW JERSEY ON BEHALF OF
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW JERSEY
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button not checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox checked Injunction
Checkbox not checked Money Damages (Private/Civil Complaint)
Checkbox not checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
RESCISSION
3. Filing Date of Court Action (MM/DD/YYYY)
12-18-2013
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE-BACKED
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPERIOR COURT OF NEW JERSEY, CHANCERY DIVISION
Location of Court
City or County
MERCER COUNTY,NEW JERSEY
State or Country
NEW JERSEY
Docket /Case Number
MER-C-000137-13.
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON DECEMBER 18, 2013, THE NEW JERSEY ATTORNEY GENERAL ON BEHALF OF THE NEW JERSEY BUREAU OF SECURITIES FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP., AND DLJ MORTGAGE CAPITAL (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE MADE MATERIAL MISREPRESENTATIONS OR OMITTED TO DISCLOSE MATERIAL FACTS AS WELL AS ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN OFFERING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES TO INSTITUTIONAL INVESTORS
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
12-18-2013
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON DECEMBER 18, 2013, THE NEW JERSEY ATTORNEY GENERAL ON BEHALF OF THE NEW JERSEY BUREAU OF SECURITIES FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP., AND DLJ MORTGAGE CAPITAL (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE MADE MATERIAL MISREPRESENTATIONS OR OMITTED TO DISCLOSE MATERIAL FACTS AS WELL AS ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN OFFERING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES TO INSTITUTIONAL INVESTORS

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
DLJ MORTGAGE CAPITAL INC
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
JOHN J. HOFFMAN, ACTING ATTORNEY GENERAL OF NEW JERSEY ON BEHALF OF
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
STATE OF NEW JERSEY
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button not checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button checked Restitution
Radio button not checked Restraining Order
Radio button not checked Other
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox checked Civil Penalty(ies)/Fine(s)
Checkbox checked Disgorgement
Checkbox checked Injunction
Checkbox not checked Money Damages (Private/Civil Complaint)
Checkbox not checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
RESCISSION
3. Filing Date of Court Action (MM/DD/YYYY)
12-18-2013
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
RESIDENTIAL MORTGAGE-BACKED
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
SUPERIOR COURT OF NEW JERSEY, CHANCERY DIVISION
Location of Court
City or County
MERCER COUNTY, NEW JERSEY
State or Country
NEW JERSEY
Docket /Case Number
NO. MER-C-000137-13.
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
ON DECEMBER 18, 2013, THE NEW JERSEY ATTORNEY GENERAL ON BEHALF OF THE NEW JERSEY BUREAU OF SECURITIES FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP., AND DLJ MORTGAGE CAPITAL (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE MADE MATERIAL MISREPRESENTATIONS OR OMITTED TO DISCLOSE MATERIAL FACTS AS WELL AS ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN OFFERING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES TO INSTITUTIONAL INVESTORS
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
12-18-2013
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
ON DECEMBER 18, 2013, THE NEW JERSEY ATTORNEY GENERAL ON BEHALF OF THE NEW JERSEY BUREAU OF SECURITIES FILED A LAWSUIT AGAINST CREDIT SUISSE SECURITIES (USA) LLC, CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP., AND DLJ MORTGAGE CAPITAL (TOGETHER "CREDIT SUISSE") ALLEGING THAT CREDIT SUISSE MADE MATERIAL MISREPRESENTATIONS OR OMITTED TO DISCLOSE MATERIAL FACTS AS WELL AS ENGAGED IN CERTAIN FRAUDULENT AND DECEPTIVE ACTS IN OFFERING AND SELLING RESIDENTIAL MORTGAGE-BACKED SECURITIES TO INSTITUTIONAL INVESTORS
This Disclosure Reporting Page [DRP (SBSE)] is an INITIAL OR AMENDED response to report details for affirmative responses to Items 14H of Schedule D of Form SBSE; Radio button checked INITIAL Radio button not checked AMENDED
Check item(s) being responded to:
14H (1) Has any domestic or foreign civil judicial court:
Checkbox not checked (a) in the past ten years, enjoined the applicant or a control affiliate in connection with any investment-related activity?
Checkbox not checked (b) ever found that the applicant or a control affiliate was involved in a violation of investment-related statutes or regulations?
Checkbox not checked (c) ever dismissed, pursuant to a settlement agreement, an investment-related civil judicial action brought against the applicant or a control affiliate by a state or foreign financial regulatory authority?
14H (2)
Checkbox checked Is the applicant or a control affiliate now the subject of any civil judicial proceeding that could result in a "yes" answer to any part of 14H(1)?

Use a separate DRP for each event or proceeding. An event or proceeding may be reported for more than one person or entity using one DRP. File with a completed Execution Page. One event may result in more than one affirmative answer to Item 14H. Use only one DRP to report details related to the same event. Unrelated civil judicial actions must be reported on separate DRPs.

It is not a requirement that documents be provided for each event or proceeding. Should they be provided, they will not be accepted as disclosure in lieu of answering the questions on this DRP.

If a control affiliate is an individual or organization registered through the CRD, such control affiliate need only complete Part I of the applicant's appropriate DRP (SBSE). Details of the event must be submitted on the control affiliate's appropriate DRP (BD) or DRP (U-4). If a control affiliate is an individual or organization not registered through the CRD, provide complete answers to all the items on the applicant's appropriate DRP (SBSE). The completion of this DRP does not relieve the control affiliate of its obligation to update its CRD records.

PART I

A. The person(s) or entity(ies) for whom this DRP (SBSE) is being filed is (are): Radio button not checked The Applicant
Radio button checked Applicant and one or more control affiliate(s)
Radio button not checked One or more control affiliate(s)

If this DRP is being filed for a control affiliate, give the full name of the control affiliate below (for individuals, Last name, First name, Middle name).
If the control affiliate is registered with the CRD, provide the CRD number. If not, indicate "non-registered" by checking the appropriate checkbox.

SBSE - Applicant

Name of Applicant
CREDIT SUISSE AG/
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the applicant from the record? Radio button not checked Yes Radio button checked No

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PRIVATE PLAINTIFF - CITY OF LIVONIA
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
PRIVATE PLAINTIFF - CITY OF LIVONIA
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button not checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button checked Other
If Other selected, please describe
SEE BELOW
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox not checked Disgorgement
Checkbox not checked Injunction
Checkbox not checked Money Damages (Private/Civil Complaint)
Checkbox not checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ADJUDGE THAT DEFENDANTS VIOLATED FEDERAL AND STATE LAWS; AWARD PLAINTIFFS AND MEMBERS OF THE CLASS TREBLE DAMAGES; AWARD REASONABLE ATTORNEY'S FEES AND COSTS OF SUIT; AWARD PRE- AND POST-JUDGMENT INTEREST; ESTABLISH A CONSTRUCTIVE TRUST INTO WHICH DE
3. Filing Date of Court Action (MM/DD/YYYY)
01-31-2019
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
LIBOR
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK;
Location of Court
City or County
NEW YORK
State or Country
NEW YORK
Docket /Case Number
CASE 1:19-CV-00965
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A "PROFIT-MOTIVATED CONSPIRACY" TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE "LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD." TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: "AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?" PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE "INTERBANK" FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
01-31-2019
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button not checked Exact Radio button checked Explanation
If not exact, provide explanation:
WHILE THE COMPLAINT WAS FILED ON 01/31/2019; IT HAS NOT YET BEEN FORMALLY SERVED.

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A "PROFIT-MOTIVATED CONSPIRACY" TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE "LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD." TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: "AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?" PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE "INTERBANK" FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS.

SBSE DRP - CONTROL AFFILIATE

CRD NUMBER
UIC NUMBER (if any)
This Control Affiliate is Radio button checked Firm Radio button not checked Individual
Is the control affiliate registered Radio button not checked Yes Radio button checked No
NAME
CREDIT SUISSE GROUP AG
Is this DRP an amendment that seeks to remove a previously filed DRP concerning the control affiliate from the record? Radio button not checked Yes Radio button checked No
B. If the control affiliate is registered through the CRD, has the control affiliate submitted a DRP (with Form U-4) or DRP (BD) to the CRD System for the event? Radio button not checked Yes Radio button checked No

If the answer is "Yes," no other information on this DRP must be provided: If "No," complete Part II.
Note: The completion of this Form does not relieve the control affiliate of its obligation to update its CRD records.

PART II

1. Court Action initiated by: (Name of regulator, foreign financial regulatory authority, SRO, commodities exchange, agency, firm, private plaintiff, etc.)
Name of Person Who initiated the action
PRIVATE PLAINTIFF - CITY OF LIVONIA
Type of Person who initiated the action
Radio button not checked Foreign Financial Regulatory Authority
Radio button not checked SRO
Radio button not checked Commodities Exchange
Radio button not checked Agency
Radio button not checked Firm
Radio button not checked Private Plaintiff
Radio button not checked Regulatory Authority
Radio button checked Other
If Other is selected, please describe
PRIVATE PLAINTIFF - CITY OF LIVONIA
2. Principal Relief Sought: (check appropriate item) Radio button not checked Cease and Desist
Radio button not checked Civil Penalty(ies)/Fine(s)
Radio button not checked Disgorgement
Radio button not checked Injunction
Radio button not checked Money Damages (Private/Civil Complaint)
Radio button not checked Restitution
Radio button not checked Restraining Order
Radio button checked Other
If Other selected, please describe
SEE BELOW
Other Relief Sought:
Checkbox not checked Cease and Desist
Checkbox not checked Civil Penalty(ies)/Fine(s)
Checkbox not checked Disgorgement
Checkbox not checked Injunction
Checkbox not checked Money Damages (Private/Civil Complaint)
Checkbox not checked Restitution
Checkbox not checked Restraining Order
Checkbox checked Other
If Other selected, please describe
ADJUDGE THAT DEFENDANTS VIOLATED FEDERAL AND STATE LAWS; AWARD PLAINTIFFS AND MEMBERS OF THE CLASS TREBLE DAMAGES; AWARD REASONABLE ATTORNEY'S FEES AND COSTS OF SUIT; AWARD PRE- AND POST-JUDGMENT INTEREST; ESTABLISH A CONSTRUCTIVE TRUST INTO WHICH DE
3. Filing Date of Court Action (MM/DD/YYYY)
01-31-2019
Specify if Filing Date of Court Action is Exact or needs an Explanation
Radio button checked Exact Radio button not checked Explanation
4. Principal Product Type: (check appropriate item) Radio button not checked Annuity(ies) - Fixed
Radio button not checked Annuity(ies) - Variable
Radio button not checked Banking Products (other than CD(s))
Radio button not checked CD(s)
Radio button not checked Commodity Option(s)
Radio button not checked Debt - Asset Backed
Radio button not checked Debt - Corporate
Radio button not checked Debt - Government
Radio button not checked Debt - Municipal
Radio button not checked Derivative(s)
Radio button not checked Direct Investment(s) - DPP & LP Interest(s)
Radio button not checked Equity - OTC
Radio button not checked Equity Listed (Common & Preferred Stock)
Radio button not checked Futures - Commodity
Radio button not checked Futures - Financial
Radio button not checked Index Option(s)
Radio button not checked Insurance
Radio button not checked Investment Contract(s)
Radio button not checked Money Market Fund(s)
Radio button not checked Mutual Fund(s)
Radio button not checked No Product
Radio button not checked Options
Radio button not checked Penny Stock(s)
Radio button not checked Unit Investment Trust(s)
Radio button checked Other
If Other is selected, please describe
LIBOR
Other Product Type:
Checkbox not checked Annuity(ies) - Fixed
Checkbox not checked Annuity(ies) - Variable
Checkbox not checked Banking Products (other than CD(s))
Checkbox not checked CD(s)
Checkbox not checked Commodity Option(s)
Checkbox not checked Debt - Asset Backed
Checkbox not checked Debt - Corporate
Checkbox not checked Debt - Government
Checkbox not checked Debt - Municipal
Checkbox not checked Derivative(s)
Checkbox not checked Direct Investment(s) - DPP & LP Interest(s)
Checkbox not checked Equity - OTC
Checkbox not checked Equity Listed (Common & Preferred Stock)
Checkbox not checked Futures - Commodity
Checkbox not checked Futures - Financial
Checkbox not checked Index Option(s)
Checkbox not checked Insurance
Checkbox not checked Investment Contract(s)
Checkbox not checked Money Market Fund(s)
Checkbox not checked Mutual Fund(s)
Checkbox not checked No Product
Checkbox not checked Options
Checkbox not checked Penny Stock(s)
Checkbox not checked Unit Investment Trust(s)
Checkbox not checked Other
5. Formal Action was brought in (include name of the Federal, State, or Foreign Court; Location of Court – City or County and State or Country, Docket/Case Number): Radio button not checked Federal Court   Radio button checked State Court   Radio button not checked Foreign Court
Name of Federal, State, or Foreign Court
UNITED STATES DISTRICT COURT, SOUTHERN DISTRICT OF NEW YORK
Location of Court
City or County
NEW YORK
State or Country
NEW YORK
Docket /Case Number
CASE 1:19-CV-00965
6. Control Affiliate Employing Firm when activity occurred which led to the civil judicial action (if applicable):
7. Describe the allegations related to this civil judicial action. (The information must fit within the space provided.):
THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A "PROFIT-MOTIVATED CONSPIRACY" TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE "LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD." TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: "AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?" PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE "INTERBANK" FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS.
8. Current status? Radio button checked Pending   Radio button not checked On Appeal   Radio button not checked Final
10. If pending, date notice/process was served (MM/DD/YYYY)
01-31-2019
Specify if notice/process date of Court Action is Exact or needs an Explanation
Radio button not checked Exact Radio button checked Explanation
If not exact, provide explanation:
WHILE THE COMPLAINT WAS FILED ON 01/31/2019; IT HAS NOT YET BEEN FORMALLY SERVED.

If Final or On Appeal, complete all items below. For Pending Actions, complete Item 14 only.

14. Provide a brief summary of details related to action(s), allegation(s), disposition(s) and/or finding(s) disclosed above. (The information must fit within the space provided.)
THE COMPLAINT ALLEGES THAT THE USD ICE LIBOR RATE FROM 2014 TO THE PRESENT HAS COLLUSIVELY BEEN SET ARTIFICIALLY LOW BY ALL DEFENDANTS, WHO INCLUDE THE PANEL BANKS AND CERTAIN AFFILIATES AND ICE AND ITS AFFILIATES. PLAINTIFF ALLEGES A "PROFIT-MOTIVATED CONSPIRACY" TO SET USD ICE LIBOR LOWER SO THAT THE PANEL BANK DEFENDANTS COULD MAKE LOWER INTEREST PAYMENTS ON FLOATING RATE NOTES AND INTEREST RATE SWAPS. IN ADDITION TO THE MOTIVE, PLAINTIFF CONTENDS THAT DEFENDANTS HAD THE OPPORTUNITY TO CONSPIRE THROUGH THE ICE PROCESS AND RECIDIVISM (ALLEGED MISCONDUCT WITH RESPECT TO LIBOR RATES IN THE PAST) SUPPORTS THE PRESENT CONSPIRACY. PLAINTIFF ALSO ASSERTS THAT ICE AND THE PANEL BANK DEFENDANTS FURTHERED THE CONSPIRACY BY CONCEALING THE "LACK OF INTERBANK FUNDING UNDERLYING USD ICE LIBOR DURING THE CLASS PERIOD." TO SET ICE LIBOR, THE PANEL BANKS WERE INSTRUCTED TO ANSWER THE QUESTION: "AT WHAT RATE COULD YOU BORROW FUNDS, WERE YOU TO DO SO BY ASKING FOR AND THEN ACCEPTING INTERBANK OFFERS IN A REASONABLE MARKET SIZE JUST PRIOR TO 11AM?" PLAINTIFF ASSERTS THAT TO ANSWER OR EVEN ASK THIS QUESTION SUGGESTED THE EXISTENCE OF AN ACTIVE "INTERBANK" FUNDING MARKET; HOWEVER, THERE WAS NO SUCH UNDERLYING MARKET, THE PLAINTIFF CLAIMS. PLAINTIFF HAS ASSERTED TWO CLAIMS: ONE FOR PRICE-FIXING UNDER THE SHERMAN ACT AND ONE FOR UNJUST ENRICHMENT, BOTH PURPORTEDLY ON BEHALF OF A CLASS OF ALL PERSONS OR ENTITIES RESIDING IN THE UNITED STATES THAT DIRECTLY TRANSACTED WITH A PANEL BANK DEFENDANT IN AN ICE LIBOR-LINKED FLOATING RATE DEBT INSTRUMENT OR SWAP DURING THE CLASS PERIOD. CITY OF LIVONIA HAS NOT ALLEGED ANY SPECIFIC TRADES WITH CREDIT SUISSE, AND THERE ARE NO CREDIT SUISSE-SPECIFIC ALLEGATIONS OTHER THAN ICE LIBOR SUBMISSION DATA AND RELATED STATISTICS.