Where a communication is being directed at persons who are professionals, it is directed at persons in the Asia Pacific Regions as defined below.
“Professional investor” as defined by the Securities and Futures Ordinance (“SFO”) for the Hong Kong Special Administrative Region.
“Accredited Investors” as defined in Section 4A of the Securities Futures Act (Chapter 289).
“Professional investor” as defined by the Financial Instruments and Exchange Laws (“FIEL”) for the Japan region. It is not intended for persons (i) who do not fall within the definition of professional investor as specified in Article 2, paragraph 31 of the FIEL and the relevant cabinet ordinances thereof or (ii) who are professional investors but regarded as not being professional investors due to application of Article 34-2, paragraph 5 of the FIEL.
Barclays Securities Japan Limited is a joint-stock company incorporated in Japan with registered office of 6-10-1, Roppongi, Minato-ku, Tokyo 106-6131, Japan. It is a subsidiary of Barclays Bank PLC and a registered financial instruments firm regulated by the Financial Services Agency of Japan. Registered Number: Kanto Zaimukyokucho (kinsho) No. 143.
“Wholesale client” as defined by the Australian Corporations Act 2001.
Please further note that the Australian Securities and Investments Commission (ASIC) has provided certain exemptions to Barclays Capital Asia Limited 巴克萊亞洲有限公司 (BCAL), Barclays Capital Securities Limited (BCSL) and Barclays Capital Inc. (BCI) under paragraph 911A(2)(l) of the Corporations Act 2001 from the requirement to hold an Australian financial services licence (AFSL) in respect of financial services provided to Australian wholesale clients, on the basis that:
• BCAL is regulated by the Hong Kong Securities and Futures Commission (HK SFC) under Hong Kong laws.
• BCSL is authorised by the Prudential Regulation Authority of the United Kingdom (PRA) and regulated by the Financial Conduct Authority (FCA) of the United Kingdom and the PRA under United Kingdom laws.
• BCI is regulated by the United States Securities and Exchange Commission (US SEC) under United States laws.
All of the abovementioned jurisdictions have laws which differ from Australian laws. When providing financial services to Australian wholesale clients, BCAL, BCSL and BCI rely on the relevant exemption from the requirement to hold an AFSL. Accordingly, BCAL, BCSL and BCI do not hold an AFSL.
Barclays Bank PLC has relinquished its AFSL and going forward will provide financial services to Australian clients by relying on certain exemptions that are available to it in relation to the requirement to hold an AFSL.