|
Custodians Record:
1 |
i. Full name | BNP PARIBAS SECURITIES SERVICES |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | HSBC BANK PLC |
ii. LEI, if any | MP6I5ZYZBEU3UXPYFY54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWEDEN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | UNICREDIT BANK AUSTRIA AG |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | BROWN BROTHERS HARRIMAN & CO. |
ii. LEI, if any | 5493006KMX1VFTPYPW14 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
6 |
i. Full name | BNP PARIBAS SECURITIES SERVICES, MILAN BRANCH |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
7 |
i. Full name | EUROCLEAR BK SA NV |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
8 |
i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), OSLO BRANCH |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NORWAY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
9 |
i. Full name | HSBC BANK PLC |
ii. LEI, if any | 635400HXOIM8APX8QV60 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
10 |
i. Full name | CACEIS BANK |
ii. LEI, if any | 96950023SCR9X9F3L662 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
11 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
12 |
i. Full name | BANCO BILBAO VIZCAYA ARGENTARIA SA |
ii. LEI, if any | K8MS7FD7N5Z2WQ51AZ71 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SPAIN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
13 |
i. Full name | CLEARSTREAM BANKING SA |
ii. LEI, if any | 549300OL514RA0SXJJ44 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
LUXEMBOURG
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
14 |
i. Full name | CREDIT SUISSE (SWITZERLAND) LTD. |
ii. LEI, if any | 549300CWR0W0BCS9Q144 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
15 |
i. Full name | BNP PARIBAS SECURITIES SERVICES |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PORTUGAL
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
16 |
i. Full name | BNP PARIBAS SECURITIES SERVICES, FRANKFURT BRANCH |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
17 |
i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), DANMARK BRANCH |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
DENMARK
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
18 |
i. Full name | BNP PARIBAS SECURITIES SERVICES |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
19 |
i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL), HELSINKI BRANCH |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FINLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | DEUTSCHE CAPITAL MARKETS AUSTRALIA LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900J30GWJRSJWJL27 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Chennai |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
3 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale New Delhi |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
4 |
a. Full name | DEUTSCHE BANK SOCIETA PER AZIONI |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900SS7ZWCX82U3W60 |
e. State, if applicable | |
f. Foreign country, if applicable |
ITALY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
5 |
a. Full name | HARVEST GLOBAL CAPITAL INVESTMENTS LIMITED |
b. SEC file number | N/A |
c. CRD number | 000157964 |
d. LEI, if any | 254900AZBIHNESRQXO19 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
6 |
a. Full name | DEUTSCHE SECURITIES, SA DE CV, CASA DE BOLSA |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900G9Z4I79FGUE649 |
e. State, if applicable | |
f. Foreign country, if applicable |
MEXICO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | DEUTSCHE SECURITIES INC. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900CK34A0NLD3NN83 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | Deutsche Bank Securities Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900AZS6GG6GBDMN90 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Manila |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
PHILIPPINES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Stockholm |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
SWEDEN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Deutsche Oppenheim Family Office AG |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5299003G9CMV5CY1FU81 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
12 |
a. Full name | DWS Distributors, Inc., New Jersey Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
NEW JERSEY
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
13 |
a. Full name | DEUTSCHE SECURITIES ASIA LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900D90NAWLSQNTI12 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
14 |
a. Full name | Deutsche Bank Aktiengesellschaft |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | HGI (USA) INVESTMENTS LLC |
b. SEC file number | 008-69176 |
c. CRD number | 000165614 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Deutsche Bank Securities Inc., Chicago Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | DEUTSCHE BANK SECURITIES INC. |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Seoul |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
19 |
a. Full name | DWS Distributors, Inc., Jacksonville Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
FLORIDA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
20 |
a. Full name | DWS Distributors, Inc., Chicago Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
21 |
a. Full name | DWS Distributors, Inc., New York Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
22 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Prag |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
CZECHIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
23 |
a. Full name | DB INTERNATIONAL (ASIA) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900396G5HWCV38G39 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
24 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Ungarn |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
HUNGARY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
25 |
a. Full name | DEUTSCHE BANK, SOCIEDAD ANONIMA ESPANOLA |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900SICIK5OVMVY186 |
e. State, if applicable | |
f. Foreign country, if applicable |
SPAIN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
26 |
a. Full name | DWS Distributors, Inc. |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
27 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Mumbai |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
28 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Hongkong |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
29 |
a. Full name | DWS Investments Japan Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900GOHDG5JKIJXT78 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
30 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Dubai (DIFC) |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
31 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Colombo - Foreign Currency Banking Unit |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
SRI LANKA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
32 |
a. Full name | Yieldbroker Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300QRJM24CLE17N18 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
33 |
a. Full name | TFS-ICAP, LLC |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300E9RR7X18FR6M91 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
34 |
a. Full name | DWS Distributors, Inc., San Francisco Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
35 |
a. Full name | TFS-ICAP Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300ETKP1MFYX3RQ19 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
36 |
a. Full name | DWS Distributors, Inc., Boston Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
37 |
a. Full name | Deutsche Bank Securities Inc., Jacksonville Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
FLORIDA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
38 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Athens |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
GREECE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
39 |
a. Full name | Deutsche Bank Securities Inc., San Francisco Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
40 |
a. Full name | Deutsche Bank Securities Inc., Los Angeles Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
41 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Bangkok |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
THAILAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
42 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Bangalore |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
43 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Riad |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
SAUDI ARABIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
44 |
a. Full name | DWS Investments Hong Kong Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900RX8DKTJ81MHL26 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
45 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Zurich |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
46 |
a. Full name | Deutsche Securities Saudi Arabia (a closed joint stock company) |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900CKC4TXHVRKX638 |
e. State, if applicable | |
f. Foreign country, if applicable |
SAUDI ARABIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
47 |
a. Full name | DEUTSCHE SECURITIES KOREA CO. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900J0N5FYROZOL786 |
e. State, if applicable | |
f. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
48 |
a. Full name | Deutsche Bank Aktiengesellschaft, Filiale Kalkutta |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 7LTWFZYICNSX8D621K86 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
49 |
a. Full name | Deutsche Bank Securities Inc., Miami Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
FLORIDA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
50 |
a. Full name | OOO "DEUTSCHE BANK" |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900EHFBA8MNCV8M81 |
e. State, if applicable | |
f. Foreign country, if applicable |
RUSSIAN FEDERATION
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
51 |
a. Full name | Deutsche Bank Securities Inc., Boston Branch |
b. SEC file number | 008-17822 |
c. CRD number | 000002525 |
d. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
52 |
a. Full name | DEUTSCHE EQUITIES INDIA PRIVATE LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 529900K9ENYPTKECK071 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
53 |
a. Full name | DWS Distributors, Inc., Costa Mesa Branch |
b. SEC file number | 008-47765 |
c. CRD number | 000037306 |
d. LEI, if any | 5299007T18XBURKJ1V64 |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
54 |
a. Full name | iGoldenbeta Securities Company Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |