securities commission of the bahamas licensees under the ...

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered PersonnelPierre Andre Perucca,1. Managing SecuritiesJorge.moreira@amps-ltd.comHalsbury Commercial CenterAbaco Global Advisors Ltd.394-4182 394-4183SS-19689 Pierre Monnard, Karl Hoerkens, Jorge Barrow2. Advising on Securitiesgenman@abaco-ltd.comNassau, BahamasMoreiraAkelius Invest Ltd.Alliance Investment Management Ltd.AlphaCove Advisors Limited1. Managing Securities2. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities367-2030 367-5788 demetris.syllouris@akeliusinvest.com326-7333 326-7336arelcock@allianceinvest.com;jrbrown@allianceinvest.com676-3796 676-3725 info@alphacove.com700 Don Mackay BoulevardAbaco, Bahamas AB-20415 Demetrius Georgiou SyllourisGround FloorBritish Colonial Hilton Centre of Commerce1 Bay StreetNassau, Bahamas7 Caves Professional CentreWest Bay StreetNassau, BahamasSS-19051SP-63866Julian Brown; Avril Elcock-Major; Nolan AsquithJohnsonReto Wiget, Michael Del BiancoAlternative Asset Advisors S.A.Analytical Research Advisors, LLCAndbanc (Bahamas) LimitedAnsbacher (Bahamas) LimitedArbitral Securities Ltd.Arner Bank & Trust (Bahamas) Ltd.Autana Capital Management1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities702-1400 327-6629 miguel.gonzalez@syzbank.com322-5448 325-8445 info@sterling-bahamas.com322-4081 322-4071 manel@agricol.com322-1161 326-5020 carlton.mortier@ansbacher.bs(305)374-8111(305)372-9933andre@arbitral.com327-6594 327-6584 david.thain@arnerbank.ch327-3947 327-3958 jme@autanacapital.comAxia Partners 1. Managing Securities 394-4182 394-4183 Jorge.moreira@apms-ltd.comBayside Executive ParkWest Bay Street & Blake RoadNassau, Bahamas205ASaffrey SquareBank Lane and Bay StreetNassau, BahamasSuite 304British Colonial Hilton Centre of Commerce1 Bay StreetNassau, Bahamas4th FloorColina Imperial Building#308 East Bay StreetNassau, BahamasFort Nassau CentreMarlborough StreetNassau, BahamasSuite 2Building 2Caves VillageNassau, BahamasCaves VillageWest Bay StreetNassau, BahamasVillage Road NorthNassau, BahamasN-1089 Miguel GonzalezN-9934 Jean-Stephane Marie LodsAP-59223N-7768SP-64093Manuel Martinez Campos; Claudine FarquharsonKendrick G. Albury, Sandra Brice, Catherine L.Fadely, Ricardo Rolle, Mary Rodland, CarltonNewton Mortier; Ginarenae Chuno, LashelleWhite; Katherine RolleAndre Mendes Senra Souza; Fernando MauricioDa Rocha Pereira LeiteN-3917 David G. Thain; David RounceN-7776 Jean-Marc EmdenSS-19689Karl HoerkensUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Axxets Management Inc.Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Managing Securities2. Advising on SecuritiesBahamas Central Securities Depository Clearing Facility kdavies@bisxbahamas.comBahamas International Securities Exchange (BISX) Exchange 323-2330 323-2320Bahamas Securities (1987) LimitedBanca del Sempione (Overseas) Ltd.Banco Santander Bahamas International LimitedBank of the Bahamas LimitedBanque Privee Edmond de Rothschild Ltd.Bearbull Degroof International LimitedBehring International Asset Management LimitedBerkeley (Bahamas) Limited1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Arranging Deals2. Managing Securities3. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities502-7010 394-3253 guiora@axxets.com Village Road North CB-12407 Guiora Esrubilskyinfo@bisxbahamas.com;holland@bisxbahamas.com;kdavies@bisxbahamas.com325-6591 325-6592 cculmer@bdomannjudd.com322-8015 356-2030 bmeier@bancasempione.ch502-7900 322-3585 joseGdeC@bstnas.com326-2560 325-7162 info.bob@bankbahamas.com702-8000 702-8008 gfpinoesch@bper.ch362-5959 362-5973 l.lowe@bearbull.com356-0107 322-1612 behring@batelnet.bs393-8395 394-6841 trader1@bahamas.net.bs2nd Floor of the Fort Nassau CentreBritish Colonial HiltonNassau, Bahamas2nd Floor of the Fort Nassau CentreBritish Colonial HiltonNassau, Bahamas3rd FloorAnsbacher HouseBank LaneNassau, Bahamas3rd FloorGeorge HouseGeorge StreetNassau, Bahamas3rd FloorGoodman's Bay Corporate CentreWest Bay StreetNassau, BahamasClaughton HouseShirley & Charlotte StreetsNassau, BahamasLyford Financial CentreLyford Cay #2West Bay StreetNassau, BahamasUnit 2Old Fort BayLyford CayNassau, BahamasSuite 52nd FloorPlaza-on-the-WayWest Bay StreetNassau, Bahamas2nd FloorOne Montague PlaceNassau, BahamasEE-15672EE-15672Keith DaviesKeith DaviesF-42498 George C. Culmer; Myles J. CulmerN-8159 Beat Viktor Meier; Neil DeCordova BakerN-1682 Jose Gonzalez de CastejonN-7118SP-63948Paul McWeeney,Renee Davis, HubertEdwards,Yvette Johnson,Laura Williams, DarioLundy- Mortimer; Michael Basden; Philice AlburyRoberto Genovese, Christine Malard, GianPinosch, Celina Thompson, Duhiza Smith; MichelleReckley; Brendan Davis; Marie-Claude TremblayN-4287 Nicole M. Dupuy; Linda L. Lowe;N-747 Arthur Chase; Philip BenebyN-3927 Warren T. Roberts, Christopher I. ThompsonUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as AgentBayside House2. Arranging DealsBayside Executive ParkMonique L. Major; Matthew Gibbons; ShanikaBinnacle Advisors Limited3. Managing Securities502-8822 502-8840 diane@groupclaymore.comAP-59213West Bay Street & Blake RoadRochelle Pearson4. Advising on SecuritiesNassau, BahamasBinnacle Investment Group Ltd.Black Isle Management Services LtdBraun & CIE Ltd.BSI Overseas (Bahamas) Ltd.BSI Trust Corporation (Bahamas) Limited1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities502-8822 502-8840 diane@groupclaymore.com427-06061-(866) 807-1383ian@blackislemanagement.com325-6591 325-6592 jbrown@allianceinvest.com502-2200 502-2300 michele.balice@bsibank.com702-1201 702-1250 michele.balice@bsitrustbah.comBayside HouseBayside Executive ParkWest Bay Street & Blake RoadNassau, Bahamas2nd FloorCentre of Commerce1 Bay StreetNassau, BahamasAnsbacher HouseEast StreetNassau, BahamasGoodman's Bay Corporate CentreWest Bay Street & Seaview DriveNassau, Bahamas3rd FloorGoodman’s Bay Corporate CenterNassau, BahamasAP-59213SS-19501Matthew GibbonsIan BlackN-10144 Julian BrownN-7130N- 10976Jennifer Wells; Alain Torchon-Newry; MatteoRaimondo; Fabrizio Alberta Tuletta; Vasilia VictoriaMavros; Domenico Tomaselli; Gino Ragazzini;Saverio Balice; Alec Rolle; Brenda Ferguson- Jones;Denise Campbell; Tonya Sweeting; JulianAdderley; Andrea Fronzoni; Pierluigi Pecorini;Joseph Lella; Andrea Crescini; Luca TamburiniButterfield Bank (Bahamas) LimitedCBH (Bahamas) Ltd.1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities393-8200 393-3772 julienmartel@butterfieldbah.bs394-6161 394-6262 pcreary@cbhbank.comMontague Sterling CentreEast Bay StreetNassau, BahamasCBH HouseEast Bay StreetNassau, BahamasN-3242 Julien MartelN-1724Herman-Josef Hermanns, Pauline Lightbourne,Steven I. Miller, Ursula Rolle, Frank NegriCFAL1. Managing Securities2. Advising on Securities502-7010 356-3677 sthurtston@cfal.com308 East BayEast Bay StreetNassau, BahamasCB-12407Anthony Ferguson; Pamela MusgroveCFAL Securities Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities502-7010 356-3677 sthurtston@cfal.com4th Floor308 East BayEast Bay StreetNassau, BahamasCB-12407Anthony Ferguson; Shafegah Duncanson, PamelaQuise Musgrove, Sophia Patrice Thurston, TiffanyAngelique Smith; Dwayne Swann; Jamaal Stubbs;Jeanelle Christal Francis; Anna Zervos; KevinBurrows; Giovannah EvansUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered PersonnelCIBC Trust Company (Bahamas) Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities356-1800 322-3692 ben.gillooly@wi.cibc.comGoodman's Bay Corporate CentreWest Bay Street & Seaview DriveNassau, BahamasN-3933 Sean R. Harrington; Carlis Chisolm; Norma MajorCIBC Trust Company (Bahamas) Limited Ancillary Facility 356-1800 322-3692Citco Bank & Trust Company (Bahamas) Ltd.Colonial Pension Services (Bahamas) LimitedCorner Bank (Overseas) LimitedCredit Agricole Suisse (Bahamas) Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securitiesben.gillooly@wi.cibc.comcarlis.chisholm@wi.cibc.com502-5300 394-0701 clientdesknassau@citco.com502-7526 502-7501 Larry.Gibson@atlantichouse.com.bs394-4977 394-5264 infobank@corner.bs502-8100 502-8166 Anjamarie.charles@ca-suisse.bsGoodman's Bay Corporate CentreNassau, BahamasOne Montaque PlaceEast Bay StreetNassau, Bahamas2nd FloorAtlantic HouseCollins AvenueNassau, Bahamas1st Floor308 East Bay StreetNassau, BahamasGoodman's Bay Corporate CentreWest Bay Street & Seaview DriveNassau, BahamasN-3933 Carlis ChisholmN-4906SS-6246Natasha M. Dean; Tamar M. Armbrister-Delancey;Lyla A. Hepburn; Rupert WalleLarry Gibson; Desiree L. ParkerN-7134 Colyn Roberts, Michelle ClivioN-3015Anjamarie Charles, Claude Lussier, FontellaChipman, Jennifer Rolle-Cox, Antoine CandiottiCredit Suisse AG ( Nassau Branch) Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities356-8100 326-6589 jeunesse.osadebay@credit-suisse.com4th FloorThe Bahamas Financial CentreShirley & Charlotte StreetsNassau, BahamasN-4928Locksley Virgil Knowles II; Muriel Mackey; AndreComery; Delric Beneby; Michael Ranson, ShardonHanna, Bernadette Heastie, Aisha Johnson, SandraHeastie-Wells; Sheena Deveaux; AlexandreSampedro, Marco Fuoco Junior, Tonice Hamilton,Doreen Pratt, Renato de Matos, BrennetteFerguson, Valentino Brown, Latoya Gibson, ,Marcio Claudino Macedo; Sergios dos Santos,Philippe Szymanowski; Leonardo Brayner; CarloAzzi; Daniel Marc Brunner; Jeunesse OsadebayBullard; Ezzard Charles; Francisco Goncalves.Credit Suisse Brazil (Bahamas) Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities302-4000 302-4049 doreen.pratt@csfb.comThe Bahamas Financial CentreShirley & Charlotte StreetsNassau, BahamasN-3241Doreen A. Pratt; Tonice Hamilton; Marco Fuocco;Renato de Matos, Marcio Claudino Macedo;de la Fontaine & Associates Ltd. 1. Managing Securities 394-0128 394-4183 Jorge.moreira@amps-ltd.comHalsbury Commercial CentreVillage RoadNassau, BahamasSS-19689Ralf Huber, Pierre Monnard; Karl HoerkensUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as AgentDeltec Bank & Trust Ltd.2. Arranging Deals3. Managing Securities4. Advising on Securities302-4100 362-4623 tis@deltecbank.comDeltec HouseLyford CayNassau, BahamasN-3229Terrance Girling; David McNaughtan; James Moss;Sherene Saunders; Lianne Johnson; DamianEustan ForbesEFG Bank & Trust (Bahamas) Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities502-5400 502-5428 theresa.haven-adderley@efgbank.com2nd FloorCentre of Commerce1 Bay StreetNassau, BahamasSS-6289Karen Pinder,Edward Cooper,RosalynD'Aleyn,Robert Morrison,ChristopherSouthgate,Miles Evans,Jaspreet Dhaliwal, JamesFrancisco Stewart; Brent Haines; Vivienne Watts;Theresa Haven-Adderley; Luciana SilveraPerdoma, Jorge Zeballos, Andrew Raenden;Ludovic Jaques Chechin-LaurensElco Securities Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities367-2558 367-2568 elcobank@batelnet.bsLoyalist Plaza,Don Mackey Boulevard,Marsh Harbour, AbacoAB-20377John D. Benjamin; Ellison Collie; Lawrence Collie;David Hoang, Linda Caroline LeanardonEurobanco Bank LimitedEuro-Dutch Trust Company (Bahamas) Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-4157 327-4159 ebenitez@eurobancobankltd.com325-1033 323-7918 ceo@euro-dutch.comSuite 12Caves Professional CenterWest Bay Street & Blake RoadNassau, BahamasTempleton BuildingLyford CayNassau, BahamasN-1114 Natividad Esther BenitezN-9204Dawn E. Goodwin-Davies; Antonius L. Inder-Rienden; Eric StrachanF.I. Management Ltd.FAB Portfolio Management (Bahamas) Ltd.1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities502-7020 393-5002 n.silvestri@irv.edu322-5444 325-8445 brunopletscher@gmail.com308 East Bay StreetNassau, BahamasSuite 205ASaffrey Square BuildingBay StreetNassau, The BahamasN-9058 Nicola SilvestriN-9934 Alan Edward Cole, Fabrizio ZanaboniFC Capital Investments Ltd.1. Managing Securities2. Advising on Securities677-9661 356-5875 leo@fccibahamas.comDominion HouseMontrose AvenueNassau, BahamasSS-19027Leo Betschart, Beverly RahmingFG Capital Markets Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities396-4000 393-1100 info@familyguardian.comFamily Guardian Corporate Centre,East Bay & Shirley StreetsSS-6232Patricia Hermanns; Lyrone Burrows; JohnPercentie Jr.; Cardinal McCardy; Stuart AmbroseKellyFirst Overseas Bank Limited1. Dealing in Securities as Principal& Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-4775 327-4776 info@firstoverseasbank.comOffice #1, Building #2Caves Village Professional CentreWest Bay StreetNassau, BahamasCB-11903Jorge Horacio Shedden; Carlos Patricio WaltonUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as PrincipalSean Blyden, Ianthe Moxey, Paul Major, Sharon& AgentCharlotte HouseFirstCarribbean International Bank (Bahamas)Deveaux, Bernadette Cartwright, Ingrid Carey,2. Arranging Deals.325-7384 323-1087 sherrylyn.bastian@firstcaribbeanbank.com Shirley & Charlotte StreetsN-3221LImitedRandy Taylor, Marie Rodland-Allen, Catherine3. Managing SecuritiesNassau, BahamasGibson, Gina MacKenzie4. Advising on SecuritiesGEM Global Equities Management S.A.Gems Management LimitedGestfinanz (Bahamas) LimitedGlobal Advisors Partners Ltd.1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities677-5270 362-5257 ceo@euro-dutch.com326-1905 326-3839 gems@batelnet.bs356-4114 356-4125 jerome.gomez@gestfinanzbahamas.com362-6006 362-5788 pklonaris@klonarislaw.comTempleton BuildingWest Bay StreetNassau, BahamasNorfolk HouseFrederick StreetNassau, BahamasThe Deanery28 Cumberland StreetNassau, BahamasLyford Financial CentreNassau, BahamasN-9204 Anthony L-M. Inder-RiedenCB-12809N-1991Cedric Carroll; Sheldon Cartwright; TinessaSweeting-Diallo; David ElkriefOliver Camponovo; Franco Rossini; MichaelHalkitisN-7776 Ivano Alliata; Alexaner VancoffGlobal Private Portflio Management Limited1. Managing Securities2. Advising on Securities327-1097 327-1070 gppm@batelnet.bsSuite 232, 2nd Floor,Island Lane Building,Olde Towne, SandyportN-4487Henry A. Podlewski; Micheal I. Slack; ElsworthMossGonet Bank & Trust LimitedGreen Cay Private Client Ltd.Hasenbichler Asset Management Inc.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities362-5406 362-5405 pthompson@bankgonet.com362-6400 362-6402 jb@greencay.com.bs 502-7020 393-5002 info@genesisfundservices.comOffices at Old Fort BayWest Bay St.Nassau, BahamasLyford Cay DriveNassau, Bahamas4th Floor308 East Bay StreetP.O. Box N-9058Nassau, BahamasSP-61302Pascal Hammerer ; Reniskha Missick; RaquelJacqueline Duncombe;N-7776 Jane Marie Siebels; Joseph ByrneN-9058 Bernd Michael HasenbichlerHeath Bank & Trust LimitedHolowesko Advisors Ltd.1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities322-3533 322-3537 mmorris@heathbank.com362-7800 362-6733 mholowesko@holoweskopartners.com2nd FloorCumberland House27 Cumberland StreetNassau, BahamasShipston HouseWest Bay StreetLyford CayNassau, BahamasSP-63137Michael Morris; Bonnielyn Adderley;N-7776 Richard Farrington; Mark HoloweskoHottinger Bank & Trust Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities362-7000 362-7007 compliance@hottingerbank.bsLyford ManorWest Bay StreetNassau, BahamasCB-13012Francis Thompson; Portia Yvette Smith; IngridIndeira Taylor; Bernard Young, Alfred Schaller;Devaughn EdgecombeUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Huber Management LimitedIndependent Advisory Services LimitedItau Bank & Trust Bahamas Ltd.J. Safra Asset Management LimitedName Categories Phone Fax Email Address P. O. Box Registered PersonnelJulius Baer Bank & Trust (Bahamas) Limited1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities325-4885 323-7284ums@serviceco-bs.com;bh@huberint.com327-6057 327-6058 info@inadservices.com502-3100 328-2750 natasha.moreee@itau.com677-6555 677-6550 w.penino@safra.bs394-9100 394-9140 rochelle.rolle@juliusbaer.com3rd FloorAtlantic HouseLagoon Court Suite 215Olde Town MallSandyportNassau, BahamasCharlotte HouseCharlotte & Shirley StreetsNassau, BahamasBuilding IIIBayside Executive ParkWest Bay Street & Blake RoadNassau, BahamasOcean CentreMontague ForeshoreNassau, BahamasN-529 Bernard HuberSP-63924N-3930CB-10988N-4890Adolfo F. Miranda; Beat WernliIsrael BorbaMaria Tsavousis-Darville;Rochelle Rolle; Jean-MarcAlphonse Fellay; Nicolaus Martin Good; RemoCaderas; Patrick FeuzK.P. Investment Advisors Ltd. 1. Managing Securities 394-4182 394-4183 Jorge.moreira@apms-ltd.comLambda Asset Management1. Managing Securities2. Advising on Securities3631528 3631528 fabio@lambdaam.comHalsbury Commercial CentreKarl Hoerkens; Pierre M. Monnard; MoreiraVillage RoadSS-19689Nassau,7 Venetian Barrow Jorge IsaacBahamasLaneOld Fort BayP.O. Box CR-56766 #218Nassau, Bahamas N-4875 Fabio AlloccoLeno Corporate Services Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities364-2806 364-5880 slongley@lenocorporateservices.com2nd FloorPineapple PlaceNassau, BahamasN-7535 Sean Longley; Khalil BraithwaiteLibeco Asset Management Ltd. 1. Managing Securities 394-4182 394-4183 jorge.moreira@apms-ltd.comSuite No. 2Halsbury Commercial CenterVillage RoadNassau, BahamasSS-19689Pierre Biraben, Pierre Monnard, Karl HoerkensLighthouse Asset Mangement Ltd.1. Managing Securities2. Advising on Securities327-6594 327-6584 david.thain@lighthouse-am.comCaves VillageWest Bay Street & Blake RoadNassau, BahamasN-3917 David ThainLOM Securities (Bahamas) Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities323-0032 323-0084 craig.lines@lom.comSuite 309British Colonial Hilton Centre of Commerce1 Bay StreetNassau, BahamasCB-12762Craig Lines; Semoy Scully; Nigel BellUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as Agent2. Arranging DealsGoodman's Bay Corporate CentreLombard Odier Darier Hentsch Private Bank &3. Managing Securities302-2100 302-2101 niekia.horton@lodh.comWest Bay Street & Seaview DriveTrust Ltd.4. Advising on SecuritiesNassau, BahamasN-4938 Niekia Horton; Christian Coquoz ; William JardimMacro Bank Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-6418 327-6427 acalvo@macrobank.com.uyCaves Village Professional CentreWest Bay StreetNassau, BahamasN-4444 Carlos Calvo Lopez; Alejandro Maciel; Ellen KeyMagellan Securities Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities326-2700 326-2710 bdavidowski@magellansecurities.netGoodman's Bay Corporate Centre2nd FloorNassau, BahamasCB-12762Robert DavidowskiMaritime Securities Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-4463 328-0892 tmoss@maritimesecurities.comSuite 200Priderock Corporate CentreBay & East StreetsNassau, BahamasCB-10969Herman R.T. MossMetropolitan Bank (Bahamas) LimitedMignon (Nassau) Limited1. Dealing in Securities as Principal& Agent2. Arranging Deals in Securities1. Managing Securities2. Advising on Securities 327-6618327-6806 327-6617677-1925 394-2142 jacquie.bain@metrobankbahamas.comdlt@mignon.bsMillennium Investment Advisors Ltd. 1. Managing Securities 394-4182 394-4183 Jorge.moreira@apms-ltd.comMMG Bank & Trust Ltd.Nordica Investment Management Limited1.Dealing in Securities as Agent2. Managing Securities3. Advising on Securities1. Managing Securities2. Advising on Securities326-2400 322-5567 heather.bellot@mmgbank.com327-2600 325-8445 acole@sterling-bahamas.comSuite 7002nd FloorNew Providence Financial CentreEast Bay St.Nassau, BahamasCaves VillageWest Bay Street & Blake RoadNassau, BahamasHalsbury Commercial CentreVillage RoadNassau, BahaasSuite 102Saffrey SquareBay Street & Bank LaneNassau, BahamasSuite 205ASaffrey SquareBay Street & Bank LaneNassau, BahamasCR-56766AP-59223SS-19689Jacqueline Bain; Brenda McAlpine; IndrawatiGibson; John LawrenceDorothea ThompsonKarl Hoerkens; Pierre M. MonnardN-4889 Ernestine D. Moss; Heather BellotN-10222 Daniel Hedkrok; Anna HedkrokOctogone Fund Management Limited1. Managing Securities2. Advising on Securities362-4995 3624996 rcm@octogone.com.bsNo. 3 OfficesOld Fort BayNassau, BahamasSP-63157R. Clive MooreUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Old Fort FinancialName Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as AgentOffices at Old Fort Bay2. Arranging Dealsshameka.fernander@oldfortfinancial.com; Buidling #4Robert P. Jensen; C. James Schaefer; Shameka3. Managing Securities362-6900 362-6901SP-63771cjames.schaefer@oldfortfinancial.com Western RoadFernander4. Advising on SecuritiesNassau, BahamasOracle Capital Advisors Ltd.1. Managing Securities2. Advising on Securities322-5448 325-5448 info@sterling-bahamas.comPacifico Global Advisors Ltd. 1. Managing Securities 394-4182 394-4183 jorge.moreira@apms-ltd.comSaffrey SquareBank Lane and Bay StreetNassau, BahamasN-9934 Maxim LyutikovHalsbury Commercial CentreNassau, Bahamas SS-19689 Arturo Klein; Karl Hoerkins; Pierre MonnardPasche Bank & Trust LimitedPictet Bank & Trust Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-1512 327-1514 gschanen@pasche.ch302-2222 327-6610 kmontgomery@pictet.comUnit 1Western Commercial CentreMt. Pleasant VillageWestern RoadNassau, BahamasBayside Executive ParkWest Bay Street & Blake RoadNassau, BahamasAP-59241 Gilles Arnold Schanen; Thamara SaundersN-4837Yves V. Lourdin; Erich W. Messmer; Jan F-C.MezulanikPNC Asset Management Ltd.1. Managing Securities2. Advising on Securities322-4579 325-8445 info@sterling-bahamas.comPriFund Counseil (Bahamas) S.A. 1. Advising on Securities 362-6317 362-5788 eeichmann@bper.ch2nd FloorSuite 205ASaffery Square BuildingN-9934Alan Edward Cole,Elena Emanuela PrandoniLyford Financial CenterLyford Cay #2Nassau, Bahamas SP-63948 Eric EichmannPrivaCapital Management S.A.Private Investment Bank Limited1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities362-4995 362-4996 ltaylor@privatetrustco.com302-5950 302-5970 pibbank@pib.bsNo.3 Offices at Old Fort BayNassau, BahamasDevonshire HouseQueen StreetNassau, BahamasSP-63157N-3918Lana TaylorCarla Roach; Jacqueline Bain; Vanessa Coleby;Glenice Thompson; Jaqueline Bain; Carla Roach;Valerio ZanchiProvidence Advisors LimitedR.I.A.F. LtdRBC Dominion Securities (Global) Limited1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities328-7115 328-7129 monique.cooper@providenceadvisors.net601-5334 601-5339 methompson@riafbahamas.com362-6740 362-6744 sofia.mckenzie@rbc.com3rd FloorGoodman's Bay Corporate CentreNassau, BahamasNo. 1 Bay Executive ParkWest Bay StreetNassau, BahamasLyford ManorLyford CayNassau, BahamasAP-59223-409Carrol E. Burrows; Monique N. Cooper; Bradley S.Cunningham; Olive C. Gaitor; Kenwood N. Kerr;Agatha G. Moncur; Florabelle Rodgers; ClaudetteLoretta Estwick; Darcell Christa BainN-3937 Danielle SassonN-3234John R. Bond; Andrew R. McCartney; Sophia E.McKenzie; Carol D. NewboldUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered PersonnelRIG Investment Advisors Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities362-7200 362-7210 aroberts@rigadvisors.comWinterbotham PlaceMarlborough & Queen Sts.Nassau, BahamasN-3026 Roberto A. Roberts; Robert IngreyRoyal Fidelity Capital Markets LimitedRoyal Fidelity Merchant Bank & Trust Limited1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities356-7764 326-3000 phillippa.wilson@fidelitybahamas.com356-7764 326-3000 judy.higgs@fidelitybahamas.comFidelity Financial Centre51 Frederick StreetNassau, BahamasFidelity Financial Centre51 Frederick StreetNassau, BahamasCB-12337CB-12337Michael A. Anderson; Phillipa Ferguson-Wilson;Sherell Woodside; Paulette Lozaique; BelindaPayneCleora Farquharson; Joseph James EuteneunerRQSI Limited1. Managing Securities2. Advising on Securities502-7020 393-5002 sbain@genesisfundservices.com4th Floor308 East Bay StreetNassau, BahamasN-9058Christopher Wesley Satterfield; Neil PatrickRamseySafra Asset Management (Bahamas) LimitedScotiabank (Bahamas) Ltd.Scotiabank Caribbean Treasury Limited1. Managing Securities2. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1. Managing Securities2. Advising on Securities677-6555 677-6550 w.penino@safra.bs356-1433 356-1618 robin.scavella@scotiabank.com302-2960 328-7432 brodie.townley@scotiabank.com1st FloorKing's CourtBay StreetNassau, BahamasRawson SquareBay StreetNassau, BahamasSuite 300British Colonial Hilton Centre of Commerce1 Bay StreetNassau, BahamasCB-10988N-7518Daniel Nissim KamkhajiDeno Moss; Marcia Laramore; Robin Scavella;Kevin Teslyk, Lisa Taylor, Penny FergusonN-7518 Brodie TownleySerficom Family Office Inc.1. Managing Securities2. Advising on Securities702-2900 362-6186 schanengi@cm-bpgroup.comUnit 1 Commercial CentreMount PleasantWestern New ProvidenceNassau, BahamasAP-59241Elonido Encinar RamirezSociete Generale Private Banking (Bahamas) Ltd.1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities302-5000 302-6709 loran.sturrup@socgen.com2nd FloorLyford Cay HouseWestern RoadNassau, BahamasN-7785William Bostwick Godet; Janice Anita Johnson;Dominique J. Lefevre; Linda Mackey; TheresseHudsonSwiss America Securities, Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities468-6173 324-6963 info@suretrader.comSwiss Investment Solutions (SIS) Ltd. 1. Managing Securities 601-5345 601-5340 zemira.montemarano@sis-solutions-ltd.comSuite # 17Elizabeth on Bay PlazaElizabeth Ave. & Bay StreetNassau, BahamasBayside Executive ParkWest Bay Street & Blake RoadNassau, BahamasEE-17971SP-64111Phillip Dorsett, Guy GentileZemira Montemarano; Michelle MillerUpdated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered PersonnelSyz & Co. Bank & Trust Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities327-6633 327-6629 miguel.gonzalez@syzbank.comBayside Executive ParkWest Bay Street & Blake RoadNassau, BahamasN-1089Miguel Gonzalez; Venetia Ruth Dekle-Maura;Jacqueline Townend; Zakiya Dominique ButlerTempleton Global Advisors LimitedThe Bank of Nova ScotiaTrust Company (Bah) Ltd.The Private Trust Corporation LimitedThe Winterbotham Trust Company Ltd.1. Managing Securities2. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities1.Dealing in Securities as Agent2. Arranging Deals1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities362-4600 362-5281 tsands@templeton.com502-5700 326-0991 ravi.jesubatham@scotiatrust.com323-8574 326-8388 acj@privatetrustco.com356-5454 356-9432 nassau@winterbotham.comTempleton HouseLyford CayNassau, BahamasScotia House404 East Bay StreetNassau, BahamasCharlotte HouseShirley & Charlotte StreetsNassau, BahamasWinterbotham PlaceMarlborough & Queen StreetsNassau, BahamasN-7759N-3016N-65N-3026Lisa Myers; James Harper, Cynthia Sweeting,Edgerton Scott III, Matthew NagleSonia Beneby; Robert James Stooke; Yves Martel;John Ravindra Jesubatham; Gerrine McDonald;Lisa Wilcox; Shamini Symonette-GibsonAdrian Crosbie-Jones; Bruno Roberts; Charlene Y.StorrIvan G. Hooper; David Rounce; ChrisopherHooper; Jessica ThornleyTillerman Securities Ltd.1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities356-3244 356-3245 info@TillermanSecurities.com1 George StreetNassau, BahamasSS-19820Hans C. Saunders; Cherisse Forbes; MorelisaNesbitt; Vichell RobertsUBS (Bahamas) Ltd.1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities394-9300 396-3312 andreas.ito@ubs.comUBS HouseEast Bay StreetNassau, BahamasN-7757Marcia V. Adderley; Jose A.M. Aguilar Millan;Cherise Nottage; Kevin Price; Karen A. Turnquest;Ian Atkins; George Mallis; Andres EscheverryGomez; Marcel Ott; Jamaal Wright; Erick Bruno;Beat Roman Paoletto; Felicia Candacy Boyle-Bazard; Juliana De Campos Oliveira Passos ;Thibaud Halewyck; Fabian Felix Jenny; CarlosD'Alessandro; Marc Mueller; Rene' Baumgartner;Brian Jones; Emmanuel Fiaux; Andreas Ito; JoelOreiller; Gustavo Baeni; Daniel Saralegui; GayleCarter-Whyms; Thomas Gossele.Union Bancaire Privee (Bahamas) Limited1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities362-4207 362-4338 edy@ubp.ch5th FloorLyford Cay HouseWest Bay StreetNassau, BahamasN-7529Eric M. Dyer; Vandyke Saunders; Peter Butler;Brenda Powell; Davawn Turner; Paul Russell;Jennifer McPhee; Coffi McPhee;Updated as at March 18, 2013

SECURITIES COMMISSION OF THE BAHAMASLICENSEES UNDER THE SECURITIES INDUSTRY ACT, 2011Name Categories Phone Fax Email Address P. O. Box Registered Personnel1. Dealing in Securities as Agent5th Floor2. Arranging DealsEric M. Dyer; Brenda Powell; Davawn Turner; VandykeSaunders; Paul Russell; Jennifer McPhee;Lyford Cay HouseUnion Bancaire Privee, UBP SA3. Managing Securities325-6755 325-6765 edy@ubp.chN-7529West Bay Street4. Advising on SecuritiesCoffi McPhee, Peter ButlerNassau, BahamasVan Daalen International Ltd.Vauban Asset Management LimitedVenoge Wealth Advisory Ltd.Votorantim Bank LimitedWeiser Asset Management Ltd.1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Managing Securities2. Advising on Securities1. Dealing in Securities as Agent2. Arranging Deals3. Managing Securities4. Advising on Securities1. Dealing in Securities as Principal& Agent2. Arranging Deals.3. Managing Securities4. Advising on Securities328-1042 328-1044 vandaalen@coralwave.com327-4170/327-4174 327-4176 vauban@coralwave.com356-5454 356-9432 cweech@winterbotham.com328-0981 328-0983 mpavan@votorantimbank.com325-0922 325-0911 icassar@equitybahamas.com3rd FloorKing's CourtBay StreetNassau, BahamasSuite 2122nd FloorThe Olde TowneLagoon Court BuildingWest Bay StreetNassau, BahamasWinterbotham PlaceMarlborough & Queen StreetsNassau, BahamasSuite 204Saffrey Square BuildingBay Street & Bank LaneNassau, BahamasN-1417 Alain KunzSP-61708James BurrowsN-3026 Joao Carlos ChedeN-951 Mario R.K. Pavan; Samuel J.H. Wilkinsonde la Plaine HouseNassau, Bahamas N-10697 Dillon Dean; Ivylyn CassarWells Capital Management Inc.1. Managing Securities2. Advising on Securities(415)396-8000(415)975-7621tania.blanford@wellscap.comLyford ManorWestern RoadNassau, BahamasN-7776Windemere Corporate Management Limited 1. Managing Securities 677-1922 394-8326 john@windermerecm.comWMCG Ltd. 1. Managing Securities 394-4182 394-4183 Jorge.moreira@apms-ltd.comSuite 1000New Providence Financial CentreEast Bay StreetNassau, BahamasCR-56766 John LawrenceVillage Road NorthNassau, Bahamas SS-19689 Peter FletcherWMG Management Ltd.1. Managing Securities2. Advising on Securities502-7020 393-5002 info@genesisfundservices.com1st Floor308 East Bay StreetNassau, BahamasN-9058 Al BilgramiXL Performance Partners Ltd.1. Managing Securities2. Advising on Securities356-4114 323-2154 jpgomez@btgomez.comGlobal HouseCumberland CourtOne Cumberland StreetNassau, BahamasN-1991 Michael HalkitisUpdated as at March 18, 2013