2.1.14 Can securities that you hold in an omnibus account, or an omnibus account itself, be restricted for any reason other than a valid court order? ( ) Yes ( ) No Comments: 2.1.15 Please specify what protection and compensation is available to our organisation if you are unable to meet your obligations. 2.2 Your accounts 2.2.1 Are you able to identify assets / securities held in your omnibus accounts as client assets? ( ) Yes ( ) No Comments: 2.2.2 Acting as custodian, do you provide segregation: ( ) Yes a) between your proprietary holdings and ( ) No clients’ holdings? b) between clients’ proprietary holdings and ( ) Yes ( ) No your client’s clients’ holdings? ( ) Yes c) throughout the custody chain including at CSD ( ) No level? Comments: 2.2.3 Are assets settled directly into a segregated client account or are they settled into a
2.1.14 Can securities that you hold in an omnibus account, or an omnibus account itself, be restricted for any reason other than a valid court order? ( ) Yes ( ) No Comments: 2.1.15 Please specify what protection and compensation is available to our organisation if you are unable to meet your obligations. 2.2 Your accounts 2.2.1 Are you able to identify assets / securities held in your omnibus accounts as client assets? ( ) Yes ( ) No Comments: 2.2.2 Acting as custodian, do you provide segregation: a) between your proprietary holdings and clients’ holdings? ( ) Yes ( ) No b) between clients’ proprietary holdings and your client’s clients’ holdings? ( ) Yes ( ) No c) throughout the custody chain including at CSD level? ( ) Yes ( ) No Comments: 2.2.3 Are assets settled directly into a segregated client account or are they settled into a
afme-ddq-final-version-december-2016.docx