Computershare Investor Services (Ireland) Limited

Issued by: Central Bank of Ireland (CBI)

On 15 December 2015, the Central Bank fined Computershare €322,500.00 and reprimanded it for breaches of the Client Asset Requirements (the “CAR”) imposed pursuant to Regulation 79 European Communities (Markets in Financial Instruments) Regulations 2007 (S.I. No. 60 of 2007, as amended) (the “MiFID Regulations”). The breaches related to the principle of certainty of ownership of client assets as set out in the CAR and access to client assets in the event of the insolvency of the Firm. The Firm failed to: (i) arrange for the appropriate registration of certain client financial instruments in the name of its client or an eligible nominee in contravention of Requirement 6.4.1 of the CAR; and (ii) have in place, prior to opening an account, required acknowledgements regarding the manner in which client financial instruments were held in contravention of Requirement 6.5.1 of the CAR.