Prohibited Company List
All Covered Securities for These Companies are Restricted
Effective Date: February 1, 2019
The companies highlighted in blue have been added effective February 1, 2019.
NOTE: Associates must obtain pre-clearance approval from the Ethics Team before divesting of any securities
issued by Prohibited List companies.
AGRICULTURAL BANK OF CHINA FASTPARTNER AB MORGAN STANLEY
ASX LTD GOLDMAN SACHS MOSCOW EXCHANGE
AVANZA BANK AB GROUP CRÉDIT AGRICOLE NOMURA HOLDINGS INC.
BANK OF AMERICA NZX LIMITED
HELLENIC EXCHANGES SA
BANK OF CHINA OSLO BORS ASA
HONG KONG EXCHANGES AND
CLEARING LIMITED ROYAL BANK OF CANADA
BANK OF NEW YORK MELLON
BARCLAYS HSBC AKA HSBC HOLDINGS PLC SANTANDER AKA BANCO
SANTANDER, S.A.
BGC PARTNERS, INC. INDUSTRIAL AND COMMERCIAL BANK
OF CHINA LTD SINGAPORE EXCHANGE LTD
BM&FBOVESPA SA
INFRONT AS SOCIÉTÉ GÉNÉRALE
BNP PARIBAS
ING BANK AKA ING GROUP, NV STANDARD CHARTERED PLC
BOLSA MEXICANA DE VALORES
STATE STREET
INTERACTIVE BROKERS GROUP, INC.
BOLSAS Y MERCADOS
SUMITOMO MITSUI
INTERCONTINENTAL EXCHANGE INC.
BSE LIMITED
THOMSON REUTERS CORP
INVESCO PLC
BURSA MALAYSIA BHD TMX GROUP LIMITED
INVESTMENT TECHNOLOGY
CBOE HOLDINGS, INC. TP ICAP PLC
GROUP, INC.
CHINA CONSTRUCTION BANK UBS
JAPAN EXCHANGE GROUP
CITIGROUP UNICREDIT GROUP
JP MORGAN CHASE
CME GROUP INC. VIRTU FINANCIAL, INC.
JSE LIMITED
CREDIT SUISSE WARSAW STOCK EXCHANGE
LONDON STOCK EXCHANGE
DEUTSCHE BANK GROUP PLC
WELLS FARGO
DEUTSCHE BOERSE AG MARKETAXESS HOLDINGS, INC. XCHANGING SOLUTIONS LTD
DUBAI FINANCIAL MARKET MITSUBISHI UFJ FG
EURONEXT NV MIZUHO FG
Removed as of February 1, 2019: Nex Group FKA ICAP PLC, Nordea, Royal Bank of Scotland
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